National Academies Press: OpenBook

Continuity of Operations (COOP) Planning Guidelines for Transportation Agencies (2005)

Chapter: Chapter 3 - Initiating the COOP Process (Task 1)

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Suggested Citation:"Chapter 3 - Initiating the COOP Process (Task 1)." National Academies of Sciences, Engineering, and Medicine. 2005. Continuity of Operations (COOP) Planning Guidelines for Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/13553.
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Suggested Citation:"Chapter 3 - Initiating the COOP Process (Task 1)." National Academies of Sciences, Engineering, and Medicine. 2005. Continuity of Operations (COOP) Planning Guidelines for Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/13553.
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Page 10
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Suggested Citation:"Chapter 3 - Initiating the COOP Process (Task 1)." National Academies of Sciences, Engineering, and Medicine. 2005. Continuity of Operations (COOP) Planning Guidelines for Transportation Agencies. Washington, DC: The National Academies Press. doi: 10.17226/13553.
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Page 11

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9CHAPTER 3 INITIATING THE COOP PROCESS (TASK 1) In the transportation environment, as for many other pub- lic agencies, the COOP planning process typically contains eight tasks: • Task 1: Initiating the COOP Process; • Task 2: Capabilities Survey; • Task 3: Identifying Essential Functions; • Task 4: COOP Plan Development, Review, and Approval; • Task 5: Development of Supporting Procedures; • Task 6: Training Personnel; • Task 7: Testing the Plan; and • Task 8: Updating the Plan. The remainder of these guidelines discusses the activities to be performed by transportation agencies in each of these eight tasks. This chapter discusses the activities necessary to establish the COOP planning process and ensure develop- ment, review, and approval of an appropriate COOP plan (Task 1). Chapter 4 discusses capabilities surveys for trans- portation agencies (Task 2). Chapter 5 provides guidance on the identification of essential functions (Task 3). Chapter 6 supports the development of the remaining sections in the COOP plan (Task 4). Chapter 7 provides information on developing supporting COOP plan procedures (Task 5). Finally, Chapter 8 discusses training for, testing, and updat- ing the COOP plan (Tasks 6, 7, and 8). IMPORTANCE OF TOP MANAGEMENT SUPPORT As transportation agencies move through these eight tasks, it is important to remember that responsibility for COOP planning belongs not to a single unit, department, or division of a transportation agency, but ultimately to execu- tive leadership. In fulfilling this responsibility, the executive director or general manager can initiate the COOP planning process by • Appointing an agency COOP leader and team; • Allocating sufficient personnel and resources to develop, implement, and validate the COOP plan; • Coordinating intra-agency COOP planning efforts and initiatives with policies, plans, and activities related to infrastructure protection and preventive measures; • Training agency staff; • Participating in periodic interagency COOP exercises to ensure effective interagency coordination and mutual support; and • Notifying local, regional, and state agencies upon exe- cution of COOP plans. The executive director or general manager probably will delegate these tasks. Executive leadership should monitor COOP team efforts and coordinate between senior agency management and the team responsible for COOP planning. Experience has shown that COOP planning requires exec- utive management support in order to be successful. The transportation chief executive sets the tone by authorizing planning to take place and directing senior management to get involved. Developing the COOP program is a dynamic process; planning, although important, is not the only com- ponent. Other important functions are implementation and validation. Detailed knowledge of emergency management is not required. What is required is the authority to create the plan, visibility within the agency, and commitment from man- agement to ensure active participation at all levels. Because the COOP plan establishes the operational framework for an effective alternate operations capability for the entire agency, the COOP plan will require considerable effort in the development phase and continued diligence to maintain the program. DEVELOPING THE COOP PLAN In the transportation environment, developing the COOP plan can include • Establishing the COOP team; • An initial COOP meeting; • Assigning authority; • Milestones, schedule, and financial planning; and • Preparing for challenges. Each of these activities is discussed below.

Establishing a COOP Team Using a COOP team • Encourages participation by getting a range of trans- portation employees from different departments within the agency, • Enhances team member performance, • Enhances the visibility and stature of the planning process, • Provides additional resources to support development and support review and approval of the COOP plan, and • Provides for a broader perspective. The COOP team is most effective if it represents different organizational units and disparate functional areas within the transportation or transit agency; however, it is advisable to have one individual in charge of the planning process. This individual serves as the COOP leader and has overall respon- sibility for developing and coordinating the COOP plan. It is also understood that, during activation of the COOP plan, this individual would play a significant role. Worksheet 1 is a template that the transportation agency can use to document its selection of the COOP leader. References that can help transportation agencies in selecting a COOP team leader are available at http://www.trb.org/SecurityPubs/. The department or division leading the formal COOP planning effort probably will vary across state DOTs, TMCs, and public transportation agencies and may include risk man- agement, emergency services, safety office, office of the exec- utive director, office of maintenance and engineering, bridge division, transportation operations, and/or administration. The size of the COOP team will depend on the agency’s opera- tions, requirements, and resources. For smaller agencies, the COOP planning process may be managed by a team of two or three people. For larger agencies, the working team may include as many as 10 people, representing the departments with a role in COOP implementation and validation. Work- sheet 2 is a template for documenting the members of the COOP team. COOP team personnel can be selected on the basis of their knowledge and skills, including not only knowledge of the transportation system and its functioning, but also special skills that personnel bring to the job or exercise outside of their work lives. Those familiar with command structure, such as former military personnel or those involved in a vol- unteer capacity with fire, police, or emergency services, can be particularly helpful. Personnel can serve as team members or perhaps as reviewers of work as it is completed. Ideally, the COOP team should include personnel who can be active members and those who will serve as advisors. In most cases, one or two people will do most of the actual doc- umentation in a smaller agency, or within a specific area of responsibility in larger transit and transportation agencies. Rotation of membership on the COOP team may also be considered, with former active members serving in an advi- 10 sory capacity. The team is responsible not just for initial plan- ning, but for implementation, and the required plan update, maintenance, exercise, and improvement that will keep the COOP plan and personnel current. As indicated in Worksheet 2, each member of the COOP team may be appointed in writing by management. It is important to include members from all functional areas— operations, maintenance, planning, engineering and con- struction, human resources, safety, security, public informa- tion, information technology/telecommunications, finance and administration, labor union(s), public affairs, and legal. Finally, depending on the size of the transportation agency, it may prove worthwhile to establish subcommittees based on the following essential COOP elements: • Plans and procedures, • Essential functions, • Alternate facilities, • Communications, • Vital records and databases, • Logistics and administration, • Personnel, and • Training and exercises. Such subcommittees may facilitate organizing activities and coordinating deliverables. Initial COOP Meeting An initial meeting of the COOP team works best if it is held shortly after the team members are selected for the COOP team. During this meeting, key agenda issues can be discussed, including the organization of the COOP team. Worksheet 3 is a template for an agenda of this meeting. The COOP leader can work with the senior management to establish the exact agenda and procedure. Assigning Authority Senior management demonstrates its commitment to the COOP program by authorizing the team to take all the steps necessary to develop, implement, and validate the plan and capability. The COOP leader is most effective when it is someone who has sufficient stature and visibility within the agency to ensure the COOP team is effective. Clear lines of authority are established, but provisions can be made to allow flexibility in coordination and free flow of information from all levels. The COOP team can focus its work by choosing a mis- sion statement to demonstrate its commitment. The state- ment would normally include the team’s purpose, indicate organizational involvement at all levels, and define the team’s authority. Worksheet 4 is a template for such a mis- sion statement.

Milestones, Schedule, and Financial Planning Based on the mission statement, the COOP team, in coor- dination with senior management, also establishes project objectives, project deliverables, and a project schedule, which includes performance milestones. Timelines can be modified as priorities become more clearly defined during the process. Typically, in the transportation environment, development of the COOP plan takes between 6 months and 1 year. Work- sheets 5 and 6 are for use in documenting this activity. Additionally, a system for reporting on the progress of the COOP planning initiative can be established. This process will ensure that senior management is kept informed of the planning process and can support the resolution of any issues that emerge between or across departments. Worksheet 7 is a template for documenting this commitment. Once the team has established its mission statement, objec- tives, milestones, schedule, and reporting process, an initial budget can be prepared and approved by senior management. The budget can include such things as research, printing, seminars/workshops/meetings, consulting services, and other expenses that may be necessary during the preparation phase. Worksheet 8 can be used to identify costs. Preparing for Challenges To reduce the effect of the inevitable problems that arise during planning, the COOP team is advised to prepare for challenges. The use of program management techniques is recommended. Transportation agencies are advised to • Establish specific goals and milestones, • Prepare lists of tasks to be performed, • Assign responsibility for each task, • Select schedules for task completion, and • Determine how to address problem areas and resource shortfalls. In carrying out these activities, the COOP team may encounter resistance from within the agency. Possible responses and approaches to COOP planning objections and resistance are as follows: • The COOP plan will never be required. Describe the changing threat paradigm and the probability of low- 11 impact emergencies and explain their effect on the agency’s ability to fulfill its mission. Also, reference recent requirements and grant opportunities from the U.S. DHS (and subordinate agencies, such as the Office for Domestic Preparedness, the Transportation Security Administration (TSA), and FEMA). The regulatory envi- ronment surrounding transportation security and emer- gency preparedness makes it wise to address potential requirements in advance. • COOP plans duplicate plans already in place. Exam- ine the scope of existing plans. If necessary, explain that the focus of the COOP plan is on the transportation agency itself. The COOP plan does not specify what to do in an emergency, but instead focuses on how to restore internal operating capabilities within 12 hours and how to sustain critical services for 30 days. In addi- tion, although emergency response plans may address some COOP elements, they do not specify essential func- tions or ensure that, no matter what the disruption, the transportation agency will be able to provide services. Finally, many of the elements required for communica- tion with transportation personnel under COOP condi- tions are simply not addressed in other transportation plans or activities. • COOP plans need to address only significant emer- gencies. Explain the overall disruption over time caused by more probable emergencies. For example, fires and flooding cause far more damage than other more dramatic emergencies, such as workplace violence, terrorism, or even some types of natural disasters. If possible, draw on a historical example, an emergency that affected the local area or another area in the state, and demonstrate the ben- efits of COOP planning in managing that emergency. • Why allocate resources to COOP planning? Docu- ment the costs in terms of finances, community effect, reputation, and long-term consequences for failing to pre- pare. Transportation agencies actively work to serve cus- tomers regardless of the circumstances. Citizens have the right to expect their transportation systems will take rea- sonable measures to continue vital services at reasonable costs. Also, grants or other funds may be available to off- set these costs. Make note of these funds to demonstrate the diligence of the agency in addressing emergency pre- paredness requirements in the most cost-effective manner possible.

Next: Chapter 4 - Capabilities Survey (Task 2) »
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TRB’s National Cooperative Highway Research Program (NCHRP) Report 525: Surface Transportation Security and TRB’s Transit Cooperative Research Program (TCRP) Report 86: Public Transportation Security series publications have jointly published Continuity of Operations (COOP) Planning Guidelines for Transportation Agencies. The report is Volume 8 in each series. The report is designed to assist transportation agencies in evaluating and modifying existing operations plans, policies, and procedures, as called for in the National Incident Management System.

The planning guidelines in this report are supplemented online with downloadable worksheets, a template for a completed COOP plan, a series of brochures that can be used to explain the COOP planning process to staff, a draft PowerPoint presentation that may be customized and presented to transportation executive leadership, and more than 300 resource documents organized in an electronic COOP library. The supplement material can be downloaded in either a .ISO CD-ROM based format or a .ZIP format.

Download the TCRP/NCHRP COOP Library in the .ZIP format

Links to instructions on burning an .ISO CD-ROM and to the download site for the TCRP/NCHRP COOP CD-ROM are below.

Help on Burning an .ISO CD-ROM Image

Download the TCRP/NCHRP COOP Library in the .ISO CD-ROM Image format

NCHRP Report 525: Surface Transportation Security is a series in which relevant information is assembled into single, concise volumes—each pertaining to a specific security problem and closely related issues. The volumes focus on the concerns that transportation agencies are addressing when developing programs in response to the terrorist attacks of September 11, 2001, and the anthrax attacks that followed. Future volumes of the report will be issued as they are completed.

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