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22 STEP 6: IDENTIFY KEY MANAGEMENT, STEP 7: PRIORITIZE ESSENTIAL FUNCTIONS TECHNICAL, AND SUPPORTING PERSONNEL Use Worksheet 17 to complete this step. Instead of using first day or first week, an agency may wish to use number of Use Worksheet 16 to complete this step. For each essen- hours or number of days. Once all essential functions have tial function, identify the personnel required to carry out the been identified, prioritize the functions according to those function and the number of personnel needed. This informa- activities that are vital to resuming operations. Prioritization tion will support the creation of the COOP teams necessary requires determination of the following: to activate and sustain the COOP plan. Every employee is important to achieving the agency's · Time criticality of each essential function, mission; however, as is true for processes and services, each essential function has associated key personnel and positions · Sequence for recovery of essential functions and their that are vital to the continuity of agency operations. If these key processes, and positions are left unstaffed, the agency will not be able to ful- · Personnel availability and mobilization to begin the fill its essential functions. Therefore, the agency identifies essential function. and staffs certain positions. To address personnel staffing issues during COOP emergencies, the transportation agency An essential function's time criticality is related to the can use Worksheet 16 to document the following for each amount of time that function can be suspended before it essential function: adversely affects the agency's core mission. In transporta- tion, measures of time criticality and recovery sequence are · Key management and technical positions required for often specified by whether an essential function is to be per- each essential function, formed within the first day after an emergency or can be · Classifications of supporting personnel to perform essen- brought on line within the first week after an emergency. tial functions, and The sequence of recovery also affects this assessment. · Number of supporting personnel needed. Some key processes and systems that support other systems or activities would be re-established before the performance This activity may require some transportation agencies, par- of those other activities. In another example, inspection, ticularly public transit systems, to consider carefully the levels damage assessment, and emergency repair functions would of service required to perform essential functions. For exam- be performed before returning elements of the transportation ple, how many bus operators, supervisors, dispatchers, and system to service. maintenance personnel will be required? How many routes Finally, the ability of the transportation agency to mobi- can be put into service relying entirely on manual modes of lize identified staff to perform essential functions is also con- operation and limited or no communications capability? A rule of thumb is that for each essential function, the sidered. In some instances, advance teams can be quickly transportation agency designates fewer personnel than usu- assembled and deployed to bring up computer systems and ally perform this function as supporting COOP operations. telecommunications systems in an alternate facility. Person- For example, during the first few days of COOP implemen- nel can effectively begin work in the alternate location after tation, bus operations at a medium-sized agency may by lim- this occurs. Based on careful review of the time-criticality, ited to one shift and the number of support personnel may be sequencing, and personnel mobilization requirements for limited. These personnel may be designated to operate a lim- each essential function, the transportation agency can prior- ited number of routes and to support emergency responders. itize its list. Table 5 lists the essential functions identified for As the emergency situation is brought under control, addi- a DOT, prioritized according to the activities that the DOT tional personnel will be activated, and additional routes can has said it would be required to perform within the first day be returned to service. or first week after the emergency. TABLE 5 Prioritized essential functions for state DOT Highway Maintenance FD Perform emergency maintenance of state highways and, if appropriate, help local road authorities with emergency maintenance FD Remove snow and ice from state highways to keep roads open to the public FD Provide traffic services, including traffic control and traffic monitoring FW Maintain bridges FW Provide construction engineering support for emergency highway reports FW Operate DOT facilities that are needed to support highway maintenance activity Railroads FD Monitor safety at rail crossings FD Monitor rail operations Aviation FW Maintain state airports
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23 TABLE 5 (Continued) Support Services FD Contract with vendors for emergency supplies, services, and other public works emergency needs FD Make emergency signs FD Issue forms and supplies needed by DOT emergency responders FD Transport needed equipment and supplies to DOT emergency responders throughout the state FD Provide field mechanics to make on-site emergency repairs to DOT equipment located in the field FD Make emergency repairs to DOT equipment at established repair shops FD Conduct safety inspections of DOT facilities and obtain contractor services if necessary to ensure safety FD Secure DOT buildings and facilities; provide maintenance of utilities at DOT buildings; and make immediate repairs to damaged buildings FW Ensure necessary mail gets to DOT personnel FW File originals of emergency agreements and contracts and Director's Office documents FW Use DOT's photography and video resources to document damage caused by the emergency FW Provide reproductions of highway/facility drawings FW Transfer DOT fuel and equipment as needed to support response activities Information Systems FD Control access to and maintain security of DOT's computer systems FD Maintain DOT's computer network and mainframe operations FD Maintain DOT's radio system FW Maintain telecommunications systems needed by DOT's responders FW Maintain DOT's server operations FW Provide computer support for engineering and Geographic Information System functions to support emergency response FW Provide computer assistance and personal computer support to DOT personnel to support emergency response Public Affairs FD Provide emergency information to the public Financial Information FD Conduct basic fiscal operations, manually if necessary FD Make vendor payments, manually if necessary FW Collect Motor Carrier weight-mile taxes Driver and Motor Vehicle Services FD Provide driver and motor vehicle related information to law enforcement and emergency services personnel FW Resume driver suspensions/reinstatements, driver convictions/accidents, driver financial responsibility, and hearings Motor Carriers FD Issue permits for trucks hauling over-dimension loads to protect the traveling public from traffic hazards and to minimize damage to highways FW Conduct truck and driver safety inspections and weigh and check truck size and weight limit compliance FW Inspect trucks and drivers at the roadside and at carriers' terminals; manage police and sheriffs who inspect trucks and drivers at roadside FW Identify and record carrier and truck information and record and track tax and registration payments FW Operate the truck weigh station pre-clearance system that provides for automatic vehicle identification and weighing at highways speeds Transportation Inventory and Mapping FD Develop and provide maps and transportation system data to support emergency response actions and to brief decision makers Note: FD = first day; FW = first week