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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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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
