Mandating Implementation of Security Measures, Quick Response Protocols and Investigation of Transportation-Related Incidents

January 9, 2012

DOTC DEPARTMENT ORDER NO. 001-12

 

WHEREAS, it is the mandate of the Department of Transportation and Communications (DOTC) to promote, develop, and regulate a dependable and coordinated network of transportation system as well as safe, fast, efficient and reliable transportation services;

WHEREAS, owners and operators of common carriers/public transportation companies are mandated by law to exercise extraordinary diligence in ensuring the safe, fast, efficient and reliable conveyance of passengers;

WHEREAS, several transportation-related incidents occurred in the past months, particularly in the maritime sector;

WHEREAS, towards ensuring the safe conveyance of all passengers by public transportation and ensuring responsible owners and operators of common carriers/public transportation companies, the DOTC will see to it that all agencies regulating and/or operating transportation facilities prescribe and/or observe appropriate regulations to ensure that passenger rights are observed, precautionary, safety and security measures and quick response procedures and protocols are adhered to at all times so that foreseeable transportation-related incidents are prevented, their effects are anticipated and mitigated, and the DOTC and its sectoral and attached agencies and corporations are fully prepared and capable to respond to transportation-related incidents when they occur. HaTSDA

NOW, THEREFORE, all agencies regulating and/or operating transportation facilities are directed to promulgate their respective regulations implementing the policy directions provided herein.

I. Observance of Passenger Rights

1. All agencies regulating transportation providers shall ensure that the following rights of all passengers are observed at all times:

1.1. Every public transport vehicle 1 conveying passengers and cargo is duly registered with the concerned regulating agency and possesses the required safety and security certificates.

1.2. Every public transport vehicle has been inspected and declared to be fit (roadworthy/seaworthy/airworthy) for the conveyance of passengers.

1.3. Every public transport vehicle is manned by qualified, competent and duly-licensed crew. The names of the crew and copies of their licenses are prominently displayed in the vehicle together with an indication of the dates of expiration and next renewal.

1.4. Every public transport vehicle has passed all requisite pre-departure checks before it departs from the terminal/station/port/airport.

1.5. All crew, passengers and cargo to board the public transport vehicle shall have undergone security screening.

1.6. Every public transport vehicle conveying passengers is equipped with the required communications equipment, lifesaving appliances, fire fighting equipment, and other necessary emergency equipment.

1.7. Copies of the public transport vehicle's Certificate of Public Convenience (CPC), inspection, safety, security, and other certificates are prominently displayed in the vehicle together with an indication of the dates of expiration and next renewal or inspection. CTEaDc

1.8. Emergency numbers are posted on conspicuous places within the public transport vehicle.

1.9. Every public transport operator shall ensure that clean and comfortable amenities are provided to passengers within the public transport vehicle and the passenger terminal.

1.10. Public transport vehicles shall strictly observe the schedule of their trips as far as practicable, provided that any deviation from the schedule of trips must go through the procedures for amending said schedule as prescribed by the appropriate regulating agency.

II. Strict Implementation of Precautionary, Safety and Security Measures, for All Modes of Transportation

1. All transportation providers shall be required to adopt and strictly implement precautionary, safety and security measures as a standard operating procedure.

2. Pre-departure inspections shall be conducted to ensure that the public transport vehicle is fit (roadworthy/railworthy/seaworthy/airworthy) for the conveyance of passengers; is manned by qualified, competent and duly-licensed crew; its crew, passengers, and cargo have undergone security screening; and is equipped with the required communications equipment, lifesaving appliances and fire fighting equipment.

3. Safety procedures, including emergency numbers, hotlines and names of responsible personnel, must be clearly communicated to passengers and the general public prior to embarkation and during the conveyance through all practicable modes of communication, such as posters and other printed materials, public address systems, demonstration by crew or personnel, and the like at passenger terminals and within the public transport vehicle/s.

4. The Office of Transportation Security (OTS) shall promulgate Transport Security Regulations (TSRs) for all modes of transportation. All public transportation providers shall adhere to these TSRs, subject themselves to security audit and assessment by OTS, and secure the necessary security certificates from OTS.

5. The Maritime Industry Authority (MARINA) and the Philippine Coast Guard (PCG) shall categorize and identify all navigational areas which are hazardous for certain types of watercrafts or vessels and shall issue the appropriate regulations prohibiting these types of watercrafts or vessels from operating in said areas.

6. During extreme weather conditions, all agencies regulating transportation providers should proactively issue travel advisories and impose departure clearances in affected areas, particularly the PCG for maritime travel and especially to small watercrafts such as motor bancas, the Civil Aviation Authority of the Philippines (CAAP) for commercial and general aviation aircrafts, and the Land Transportation Franchising & Regulatory Board (LTFRB) and the Philippine Ports Authority (PPA) for provincial buses using Roll-on Roll-off (RoRo) vessels, to prevent mishaps, stranding of passengers and other dangers and inconveniences to passengers.

7. All agencies regulating transportation providers shall promulgate the appropriate regulations and periodically review and assess the implementation of the same to ensure that precautionary, safety and security measures are adopted and implemented by transportation providers at all times and shall prescribe the appropriate penalties for non-compliance.

8. Copies of all such regulations, including any amendment, supplement or modification thereof, shall be submitted to the Secretary of Transportation and Communications (SOTC), through the Undersecretary for Operations, for monitoring and policy assessment.

III. Incident Categorization, in General

1. The DOTC and all its sectoral and attached agencies and corporations shall adopt and implement quick response procedures and protocols in order to ensure that they are prepared and capable of addressing all types of transportation-related incidents.

2. Transportation-related incidents shall be categorized based on alert levels to calibrate the type of quick response procedure or protocol which must be implemented.

3. Transportation-related incidents shall be categorized as Level 1 or Guarded Alert, Level 2 or Heightened Alert, and Level 3 or Full Alert, based on the general criteria listed below. The agencies concerned may categorize specific types of transportation-related incidents peculiar to the particular mode of transportation involved. EAcCHI

4. In general, the following are the transportation-related incidents or situations categorized as Level 1 or Guarded Alert:

4.1. Situations where the possibility of damage to life and property is slight if precautionary, safety and security measures are not observed or properly implemented.

4.2. Incidents where the damage to life and property already caused is minor to less serious.

4.3. Incidents or situations where their effect or potential effect is slight interference or interruption in the normal operations.

4.4. Incidents or situations which can be resolved as time allows using standard operating procedures with minimal management supervision and without adversely affecting operations.

4.5. Examples of such incidents or situations are Low Pressure Area or Inter-tropical Convergence Zone (Maritime); an emergency call from an aircraft (Air); common breakdown of equipment due to wear and tear (Rail); minor road mishaps that do not result in loss of lives or damage to property (Road).

5. In general, the following are the transportation-related incidents or situations categorized as Level 2 or Heightened Alert:

5.1. Situations where damage to life and property is certain if precautionary, safety and security measures are not observed or properly implemented.

5.2. Incidents where the damage to life or property already caused is serious.

5.3. Incidents or situations where their effect or potential effect is considerable interference or interruption in the normal operations.

5.4. Incidents or situations where their resolution will require the activation of on-call procedures and the use of additional agency resources to resolve. aASEcH

5.5. High passenger volume season such as Holy Week, opening of classes in June, All Saint's Day/All Soul's Day (Undas), Christmas break, long weekends, and the like.

5.6. Any other incident as may be declared as Level 2 or Heightened Alert by the SOTC.

5.7. Examples of such incidents or situations are Weather disturbance in the scale of Public Storm Warning Signal (PSWS) No. 1, engine breakdown or agrounding of a vessel (Maritime); a distress call from an aircraft (Air); power outage/train breakdown resulting in a major disruption of operations (Rail); major mishaps resulting in loss of lives and damage to property (Road). 

6. In general, the following are the transportation-related incidents or situations categorized as Level 3 or Full Alert:

6.1. Situations where damage to life and property is certain even if precautionary, safety and security measures are observed or properly implemented.

6.2. Incidents where grave or extensive damage to life or property has already been caused.

6.3. Incidents or situations where their effect or potential effect is a major interference or interruption in the normal operations.

6.4. Incidents or situations where their resolution requires immediate action using contingency plans and all resources of the concerned agency with the support of other agencies.

6.5. Any other incident as may be declared as Level 3 or Full Alert Status by the SOTC.

6.6. Examples of such incidents or situations are sinking of passenger vessels, collision involving a passenger vessel at sea, bombing of a passenger vessel or a passenger terminal, major oil spill; severe weather disturbance in the scale of PSWS No. 2 and above (Maritime); crash of a commercial plane, strike of Air Traffic Controllers, shut down of a major airport (Air); passenger train derailment, bombing of passenger train or train station, train collision (Rail); transport strikes, bombing of a passenger vehicle or a passenger terminal; traffic re-routing/closure due to floods or mishaps (Road); fire, floods, building collapse due to an earthquake or any major damage to facilities caused by natural calamities. STHAID

7. All agencies are directed to formulate and adopt quick response procedures and protocols per alert situation or incident and immediately implement the same when the alert situation or incident occurs. Said quick response procedures and protocols must contain the names, addresses and contact details (mobile, office and residence numbers; email addresses) of the DOTC Operations Center and the designated action officers and personnel per incident level.

8. Each agency shall periodically review and assess said quick response procedures and protocols to ensure better efficiency in addressing the anticipated risks and contingencies.

9. Copies of all quick response protocols shall be submitted to the SOTC, through the Undersecretary of Operations, for monitoring and policy assessment.

IV. Immediate Implementation of Quick Response Procedures and Protocols, Delineation of Roles and Responsibilities, in General

1. The following are standard responses which shall be implemented for alert situations or incidents:

1.1 The designated action officers and personnel of concerned sectoral and attached agencies and corporations shall immediately report any alert situation or incident to the Head of Agency and implement the appropriate quick response procedures and protocols.

1.2 The Head of Agency assesses the situation or incident and its effect on the agency's operations, monitors the implementation of quick response procedures and protocols and reports to the SOTC, through the Undersecretary of Operations, every hour or as often as necessary.

2. The DOTC Operations Center shall automatically be activated by the Undersecretary for Operations during Level 2 (Heightened Alert) and Level 3 (Full Alert) transportation-related incidents or situations.

2.1. The DOTC Operations Center shall be responsible for coordinating and monitoring all activities in relation to the implementation of quick response procedures and protocols by all sectoral and attached agencies and corporations.

2.2. All operations or action centers of sectoral and attached agencies and corporations shall be under the operational control of the DOTC Operations Center during Level 2 and Level 3 transportation-related incidents and alert situations. SHTcDE

3. The DOTC Operations Center shall have a Secretariat headed by the Assistant Secretary for Administration. The Secretariat shall perform the following functions:

3.1 Establish efficient communication lines and facilities among operations or action centers and action officers to ensure that communication lines are kept open in order that all relevant information are relayed in a timely manner;

3.2 Schedule coordinating meetings and liaise with other government agencies;

3.3 Manage and analyse the database or reports on transportation-related incidents in support of decision-making; and,

3.4 Relay all relevant information about the alert situation or incident to the DOTC Public Information Division (PID). The Public Information Office of the agency concerned shall coordinate with the DOTC PID in answering queries from media in relation to the incident or situation, and in issuing media releases/reports.

4. During Level 2 and Level 3 alert situations, the heads of all sectoral and attached agencies and corporations shall submit hourly reports by Short Message Service (SMS or text message), phone or email, and a written consolidated report at the end of the day, on the implementation of their quick response procedures and protocols and the status of their operations to the Secretary, through the Undersecretary of Operations, and the Secretariat.

5. All public information/media officers of sectoral and attached agencies and corporations shall coordinate and course all press and media releases through the DOTC PID.

6. For Level 3 or Full Alert situations or incidents, the SOTC may convene an Emergency/Crisis Committee with the heads of the concerned agencies as among its members, especially in cases where the assistance and support of other government agencies, the National Government or the President may be required to come up with a coordinated response plan to address the incident or situation.

V. Post-Incident Protocols

1. Upon the resolution/termination of the incident or situation, all agencies concerned must submit a comprehensive incident report to the SOTC, through the Undersecretary for Operations, with the following details of the incident: ECHSDc

1.1. Date and time of the incident;

1.2. Place of the incident;

1.3. Weather situation;

1.4. Type of public transport vehicle involved;

1.5. Age and condition of the public transport vehicle;

1.6. Owner/operator of the public transport vehicle and the captain/driver and crew on board;

1.7. Number of passengers on board;

1.8. Probable cause of the incident;

1.9. Detailed description of how it transpired;

1.10. Detailed description of incident resolution;

1.11. Results of inquiries/investigation conducted by the agency concerned, if any; and

1.12. Disciplinary measures to be imposed by the agency concerned, if any.

2. For all incidents declared as Level 3 or Full Alert, or upon the directive of the SOTC, an assessment shall automatically be held the following morning at the Office of the Secretary, to be presided by the SOTC, or in his absence, the Undersecretary for Operations, and attended by all agencies and offices concerned. Among the matters to be discussed in the said conference are updated information about the incident, such as:

2.1. The type of public transport vehicle involved

2.2. Identity of the public transport vehicle

2.3. The owners/operators of the vehicles/vessels/aircrafts, etc.

2.4. The number of passengers/crew on board

2.5. The number of fatalities/injured/rescued (passengers/bystanders), their identities and other personal circumstances

2.6. Date and time of the incident

2.7. Place of the incident

2.8. Probable cause of the incident

2.9. Detailed description of how it transpired

2.10. The emergency actions taken by the agencies concerned

2.11. Remedial measures, e.g., injured/rescued brought to the hospital, fatalities brought to funeral parlor, families of victims given compensation, etc. aEHIDT

2.12. Preventive measures, e.g., preventive suspension of other vehicles/vessels under the Certificate of Public Convenience pending audit/investigation, etc.

2.13. Investigation, e.g., hearing before the LTFRB, Special Board of Marine Inquiry (SBMI), etc.

3. A DOTC press release on the incident shall be given after the post-incident conference but not later than 2:00 p.m., stating the details of the incident and the remedial and preventive measures taken and the investigation to be conducted. Prior to this, the agencies concerned should refrain from making official statements to the media or if unavoidable, clear all statements with the DOTC PID.

4. A Post-Incident Review/Directive from the SOTC shall be issued after each conference, detailing the actions to be undertaken.

VI. Immediate Investigation of the Cause of the Incident and Punishment of Erring Transport Providers and Crew

1. All agencies regulating transportation providers shall promulgate or modify their rules of procedure to ensure an expeditious and impartial investigation of the cause of the transportation-related incident.

1.1. Said rules and regulations shall be inquisitorial in nature, similar to fact-finding investigations, with the objective of determining the cause of the incident, and shall not depend solely on the presentation of the evidence by the parties involved such as in adversarial proceedings before courts of law. The parties and resource persons shall be required to submit sworn statements subject to clarificatory questioning during the proceedings.

1.2. The parties involved shall not be allowed to dictate the pace of the proceedings. The rules of procedure shall provide for continuous proceedings and deliberations until the termination of the investigation.

1.3. The investigation shall be completed not later than eight (8) weeks from the occurrence of the incident subject of the investigation.

1.4. To ensure the impartiality of the investigation, the usual rules for disqualification 2 shall apply to hearing officers and members of investigative bodies charged with the investigation of transportation-related incidents. In addition, for members of the SBMI constituted by the PCG under Chapter 16 of the 1976 Philippine Merchant Marine Rules and Regulations, no member shall be appointed to sit in the SBMI if he is a resident or has his domicile or place of business or employment in the same place where the principal place of business of the ship owner or operator subject of the investigation is located. TECIHD 

1.5. For maritime transportation-related incidents, the Maritime Industry Authority (MARINA) shall be made a necessary party to investigations of the Board of Marine Inquiry (BMI) and the SBMI while the PCG shall be made a necessary party to investigations conducted by MARINA to avoid conflicts in findings of fact on the same maritime transportation-related incidents.

1.6. For road transportation-related incidents, the investigation conducted by the LTFRB should make the Land Transportation Office (LTO) as a necessary party so that the appropriate penalty of suspension or cancellation of the driver's license or the registration of the erring driver/transport operator found liable for the incident can be imposed in the same proceeding.

1.7. For air transportation-related incidents, the Civil Aeronautics Board (CAB) shall be made a necessary party to investigations by the Air Accident Investigation and Inquiry Board (AAIIB) organized by the Director General of the CAAP.

1.8. In the event that a member of the ship's/aircraft's crew is found liable for the maritime/air transportation-related incident, the decision of the BMI and the SBMI for maritime and the recommendations of the AAIIB for air shall include the suspension or cancellation of the erring crew's license, as the case may be.

2. All agencies regulating transportation providers shall issue the appropriate regulations providing for the imposition of a system of administrative penalties on erring transport providers and crew, which should include, among others, provisions on administrative fines, suspension and cancellation of franchise of the transportation provider and the license of the crew.

3. As an additional precautionary measure to prevent further danger to passengers and damage to property, all agencies regulating transportation providers shall issue the appropriate regulations and procedures for the preventive suspension of the operations of a public transport vehicle involved in Level 2 and Level 3 incidents, including the operations of the entire fleet whenever warranted, until said vehicles have been subjected to and have passed a safety inspection or audit which shall be immediately conducted by the regulating agency to prevent serious disruption of transportation services in the affected areas. SECAHa

3.1. In situations where the public transport vehicle involved is servicing missionary or under-served routes, the regulating agency may allow the completion of the trip/voyage or temporary operation of the transport vehicle to meet an emergency, provided that additional safety measures are adopted, such as requiring safety or technical personnel of the transport provider or the regulating agency (LTFRB/LTO for land, PCG for maritime, and CAAP for air) to accompany the public transport vehicle throughout the trip/voyage.

3.2. Upon completion of the trip/voyage or cessation of the emergency, the public transport vehicle shall be immediately subjected to safety inspection/audit.

All other issuances or parts thereof inconsistent herewith are modified, amended or superseded accordingly.

This Order shall take effect immediately.

 

(SGD.) MAR ROXASSecretary

Footnotes

1. The term "public transport vehicle" herein shall be construed to include all types of Public Utility Vehicles (for Road), trains (for Rail), vessels (for Sea) and aircrafts (for Air).

2. Such as the rule on disqualification of Judges/Justices under the Rules of Court (Section 1, Rule 137), Code of Judicial Conduct (Rule 3.12).