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24 CHAPTER 6 COOP PLAN DEVELOPMENT, REVIEW, AND APPROVAL (TASK 4) Once the capabilities survey is complete and essential functions have been chosen and prioritized, the COOP team can begin creating the COOP plan. The actual process for documenting the COOP plan may vary depending on orga- nizational practices; however, the methodology is often sim- ilar across transportation agencies. At each major stage in the drafting process, it is important to seek constructive criticism and review. Each agency is advised to ⢠Prepare the first draft; ⢠Coordinate review by each organizational unit on the first draft; ⢠Incorporate changes and develop a second draft; ⢠Seek external review by expert(s) and partners in local/ regional/state emergency response and management on the second draft; ⢠Incorporate changes and develop the final draft; ⢠Present the final draft to the appropriate senior leader- ship for approval and signature; ⢠Finalize the plan; ⢠Print and distribute the plan; and ⢠Review and update the plan annually or as major changes occur. Coordination of the plan with local responders is vital to the planâs success. Coordinating the plan with local responders also will reduce the duplication of efforts, provide a means for assigning scarce resources, and enhance the overall plan- ning process. Finally, sharing the COOP plan with partners in local, regional, and state emergency response and manage- ment agencies will enhance their understanding of the trans- portation agency and the agencyâs ability to provide support- ing services if an emergency disrupts internal transportation operations. USING ESSENTIAL FUNCTIONS TO BUILD THE COOP PLAN Essential functions are the basis for the plan the agency will create. Agencies following the process outlined in these guidelines will have begun looking at personnel, records, and resource needs as the prioritized essential functions were determined. Such formal documentation of what the agency intends to do, when it intends to do it, where it intends to do it, and how it intends to do it is often called a Concept of Operations (CONOPS). The agencyâs CONOPS then con- sists of implementation of the plan first. Implementation means agreement that the plan will be followed. The actual activation of the plan, when it is put into operation, is also addressed here. The plan will identify activities for ⢠Ensuring leadership succession and assignment of authority; ⢠Assigning specific teams to perform essential functions; ⢠Identifying and preparing alternate facilities; ⢠Protecting vital records and databases and communica- tion systems; and ⢠Maintaining the plan through training and testing, fol- lowed by evaluation and improvement planning. This section describes major activities to be performed to ⢠Determine conditions necessitating the activation of the COOP plan; ⢠Determine hours of operation; ⢠Identify alternate work sites from which to perform COOP functions (if the primary facilities are destroyed or disrupted); ⢠Create COOP teams; ⢠Delegate emergency authorities and manage orders of succession; ⢠Identify and protect vital records; and ⢠Address interoperable communications requirements. Each of these activities is discussed below. ACTIVATING THE COOP PLAN Whatever emergencies are anticipated, the agency can develop an executive decision process that allows for a review of the emergency situation and determination of the best course of action for response and recovery. Using a deci- sion matrix for implementing the COOP plan, the agency will avoid premature or inappropriate COOP activation. This matrix will also enable the transportation/transit agency to
25 evaluate its situation using a rational process developed before the onset of the emergency and taking into account various considerations that may not be identified or identifi- able in the emotionally charged environment surrounding the unfolding emergency. Table 6, a sample decision matrix, presents potential dis- ruptions resulting from emergencies classified in Emergency Levels 1 through 5. Using these emergency levels and exam- ples, the agency executive director or general manager, or a duly designated successor, will activate or partially activate the COOP plan. The decision matrix focuses on how the emergency may affect the capabilities of the transportation agency to provide its essential functions. To remain flexible in the various situations that could trigger activation or par- tial activation of the COOP plan, this matrix provides gen- eral guidance. Recommended effects and decisions may be modified based on the actual emergencies. Agencies can cre- ate their own matrices based on this example. HOURS OF OPERATION In addition to developing a process for activating the COOP plan, the COOP team is advised to develop hours of operation. Hours of operation will let the public, emergency responders, and transportation personnel and vendors know when essential functions will be performed, or when to expect certain activities necessary to bring additional functions on line. Although some larger public transportation agencies and TMCs provide 24/7 coverage, most transportation agencies have pre-determined duty and non-duty hours. During a major emergency, even the largest public transportation agencies may not be able to sustain 24/7 operations. Therefore, the COOP team needs to establish reasonable operational hours for the COOP plan. Depending on the essential functions provided, the avail- ability of transportation personnel, vendors, and contractors, and the anticipated needs of emergency responders, the COOP team can select in advance a schedule that supports the local, regional, and/or state needs for essential functions. At the same time, the team must recognize the limitations of the transportation agency as a disrupted organization. Some agencies adopt existing holiday, weekend, or seasonal hours of operation; while others may add limited nighttime hours, or begin and end earlier in the day. Some agencies may specify a preferred schedule and then revise it based on the conditions of the actual emergency experienced. Other agencies may select different hours of operations for different categories of essential functions. Level of Emergency Impact on Agency and COOP Decision 1 Impact: Disruption of up to 12 hours, with little effect on services or impact to essential functions or critical systems. Example: Major accident on highway or transit system. Decision: No COOP activation required. 2 Impact: Disruption of 12 to 72 hours, with minor impact on essential functions. Example: Computer virus, small fire or moderate flooding. Decision: Limited COOP activation, depending on transportation agency requirements. 3 Impact: Disruption to one or two essential functions or to a vital system for no more than three days. Example: Power outage, heightened Homeland Security Advisory System threat level. Decision: May require partial COOP activation to move certain personnel to an alternate facility or location in the primary facility for less than a week. 4 Impact: Disruption to one or two essential functions or to the entire agency with potential of lasting for more than three days but less than two weeks. Example: Snow/ice storm; hurricane, workplace violence, major telecommunications failure or major power outage. Decision: May require partial COOP plan activation. For example, orders of succession for some key personnel may be required; in addition, movement of some personnel to an alternate work site or location in the primary facility for more than a week may be necessary. Personnel not supporting essential functions may be instructed not to report to work, or be re-assigned to other activities. 5 Impact: Disruption to the entire agency with a potential for lasting at least two weeks. Example: Explosion in/contamination of primary facility; major fire or flooding; earthquake, tsunami. Decision: COOP plan activation. May require activation of orders of succession for some key personnel. May require movement of many, if not all, essential personnel to an alternate work site for more than two weeks. Personnel not supporting essential functions may be instructed not to report to work, or be re-assigned to other activities. TABLE 6 Sample decision matrix
26 ALTERNATE FACILITIES Another important element of a COOP plan is the desig- nation of alternate facilities or work sites and a relocation strategy. In some emergency scenarios, activation and execu- tion of a COOP plan may not necessitate relocation to an alter- nate facility, i.e., the agency will not be forced to abandon the primary work site. However, should leaving the primary work site be necessary, there is a three-step, time-phased process for relocation: (1) Alternate Facility Activation and Relocation; (2) Alternate Facility Operations; and (3) Reconstitution and COOP Termination: ⢠Alternate Facility Activation and RelocationâThe first step occurs in the first 12 hours after a disruption to agency operations requiring abandonment of the pri- mary facility. This step relies heavily upon communica- tion, not only among the decision makers within the transportation agency, but also between the agency and its vendors, who may be providing services to support the move to temporary quarters, and the public, who may rely on the transportation system for evacuation, reuniting with children and loved ones, or to commute to emergency facilities. Communication also occurs with local, regional, and state emergency response and management agencies, and, of course, with transporta- tion personnel. ⢠Alternate Facility OperationsâThe second step involves the conduct of operations in an alternate work site and lasts until senior leadership has declared an end to the emergency. Generally, operations in the alternate facility are limited to only the essential functions of the agency. All alternate facilities are expected to have the capability to sustain essential functions for up to 30 days or until normal operations can resume. ⢠Reconstitution and COOP TerminationâThe third step involves the return to regular agency facilities and resumption of normal agency operations. This step involves both the transition back to primary facilities and re-integration of all personnel back into normal operations. Alternate facilities or work sites are typically defined as locations where the agency can carry out essential functions when the primary facilities are inaccessible or made unusable due to damage. Alternate facilities may be established for single facilities or functions. For example, vehicles normally maintained at one garage may be handled at another garage owned by the agency. Mailroom functions may be re-located to another floor or building owned by the agency. If an emergency forces a work area or an entire building to be evacuated, key agency personnel can relocate to an alternate work site or facility, which allows the agency to carry out its essential functions and meet the needs of emer- gency response personnel. Because the need to relocate may occur without warning, agencies are strongly advised to make every effort to pre-position, maintain, or provide for minimum essential equipment for continued operations of essential functions at the alternate operating facilities for a minimum of 30 days. Transportation Experience In identifying alternate facilities, transportation agencies often use the following: ⢠Facilities converted from an existing facility; ⢠Facilities leased from, borrowed from, or shared with another agency; ⢠Facilities newly built to serve as alternate facilities; and ⢠Other arrangements, including mobile command centers; use of existing field offices; partnerships with local, regional, or state agencies, or vendors and providers of disaster recovery services. In previous research, members of the transportation com- munity have expressed a range of opinions regarding the importance of alternate facilities. TMCs, which are perhaps the most dependent on equipment located in a single facility, typically express the greatest concern over the need for alter- nate locations and redundant systems to perform their func- tions. Some rail transit agencies, which have operating con- trol centers to manage automatic train control systems, also often place a high priority on alternate facilities and redun- dant systems. Over the past 5 years, most alternate facilities that have been newly built or renovated from existing field locations were designed for TMCs and rail transit agencies to address these concerns. These alternate facilities, with their support- ing redundant communications and information technology systems, are expensive, ranging from $200,000 to several million dollars, and are clearly beyond the financial capabil- ities of all but the largest agencies. State DOTs and some larger bus-only transit agencies, whose operations tend to be located in multiple facilities in separate geographic areas, typically express less concern with the need for alternate facilities. For these agencies, in many cases, disruption of service at one facility can be man- aged by another facility. For example, many state DOTs and larger transit agencies have multiple garages and redundant communications systems, as well as vehicle fleets stored at multiple facilities and operations and maintenance personnel reporting to multiple facilities. Of major concern to these agencies, however, is the need for temporary work proce- dures, which ensure that personnel know where to report and how to perform their jobs under conditions of limited or no communications. Alternate vehicle fleets are generally not available. Many agencies (e.g., rail transit and smaller bus transit agencies) store all vehicles in a single location. The concern is that it is
difficult to predict the effects that emergencies requiring COOP activation could have on these agencies. Some might have a significant part of the fleet out of the garage, and some might have a significant part of the fleet garaged at the time an emergency shuts off access. Some agencies may be able to rely on school buses and vehicles from other transit agen- cies or commercial motor coaches to help support emergency services needs. Access to fuel supplies and existing parts inventories is another concern, though many agencies plan for supplies and inventories to cover between 1 and 2 weeks. How and where fuel pumps might be powered and accessed, relationships with alternate providers of fuel and parts, and the ability of emergency parts and supply providers to reach the alternate facility are also of concern. Although concern exists over the ability to fuel and maintain vehicle fleets following a major emergency, some transportation agencies can sustain some level of service for several days after a disruption in supply, provided they have fuel pump power. Some transportation agencies also have back-up power supplies, or emergency generators, and most have priority status to receive electric- ity once power is restored. Many transportation agencies operate at least 16 hours a day; these agencies generally can be expected to have at least two shifts of trained and qualified management, maintenance, operating, and supervisory personnel on which to draw to provide service. Some agencies have indicated a belief that their agencies offer sufficient depth to survive the inaccessi- bility or loss of some management, operations, and/or main- tenance personnel. Some agencies believe that the distribution of their facili- ties and their staffing plans during normal operations limit their concern about the need for alternate facilities. All are mindful of the need for protection of technology systems required to support service: communications, train control and traffic management systems, and personnel management systems. Personnel management systems are perceived as particu- larly important, because employee records, payroll, insur- ance, and other vital documents are often now highly auto- mated and could be subject to interruption, loss, or corruption depending on the type of emergency experienced. Whatever its size, service area, and operational require- ment, transportation agencies typically require that the fol- lowing factors be addressed in identifying and selecting alter- nate facilities and work sites: ⢠Immediate capability to perform essential functions under various threat conditions; ⢠Sufficient space and equipment to sustain the relocating agency; ⢠Ability to communicate with all identified important internal and external agencies, customers, and the public; ⢠Reliable logistical support, services, and infrastructure systems, including water, electrical power, heating and air conditioning, etc.; ⢠Ability to sustain essential functions for 30 days; ⢠Appropriate physical security and access controls; and ⢠Consideration for the health, safety, and emotional well- being of relocated personnel and customers, i.e., ade- quacy of wash rooms, parking, accessibility for those with disabilities, vending or food service availability, rest facilities, etc. Categorization of Alternate Facilities One system of categorization can be particularly helpful for transportation agencies, especially if financial resources are not available to create a fully functional alternate facility. Existing facilities can be identified as potential alternate work sites, so long as (1) the specific activities required to make it a fully functional location are identified and (2) a list of emergency vendors that could bring the facility on line are identified. Using this approach, alternate facilities can be classified as hot sites, warm sites, and cold sites. ⢠Hot Site: A hot site is an alternate facility that already has in place the computer, telecommunications, and environmental infrastructure necessary to perform the agencyâs essential functions. ⢠Warm Site: A warm site is an alternate work site equipped with some hardware and communications interfaces, as well as electrical and environmental con- ditioning that can provide backup after additional soft- ware or customization is performed and/or additional equipment is temporarily obtained. Data may or may not be duplicated and installed there. ⢠Cold Site: A cold site is an alternate facility that has in place the environmental infrastructure necessary to recover essential functions or information systems, but does not have pre-installed computer hardware, tele- communications equipment, etc. Arrangements for com- puter and telecommunications support would be made at the time of the move to the cold site. Another option for an alternate work site is a pre-existing facility already in use by the agency. For instance, a tornado may destroy one of the agency spaces, but leave another building or work area untouched. Those agencies with mul- tiple facilities may find it easier to move into buildings or work areas not damaged. Often, because of fiscal constraints, operating and main- taining a separate, alternate work site is not within the means of a transportation agency. In this case, many agencies enter into cooperative or mutual aid agreements and use virtual office technologies. With a cooperative agreement, an agency can contract for use of another agencyâs facility in an emer- gency; or the arrangement can be less formal as in a mutual aid agreement: 27
28 ⢠Cooperative Agreement: Any formal, legally binding contract between two or more parties where the parties agree to share an alternate facility. ⢠Mutual Aid Agreement: The pre-arranged sharing of services (human or material resources) when vital resources are not available to either party. Equipment, shelter, or personnel needs may be predetermined for a particular type of emergency or determined at the time of the request in consideration of available resources. Several agencies may also opt to contract jointly with an outside vendor for use of an emergency facility. A word of caution is in order here. In making these agreements, it is highly desirable to assess whether the potential cooperative/ mutual aid partner has similar agreements with other agen- cies in place and whether these might conflict with the agree- ment at hand. A large-scale disaster could affect many agen- cies that have contracted with each other or for use of the same space in an emergency. To identify alternate facilities, the transportation agency can complete Worksheet 18. Using this worksheet, the COOP team can identify the work site needs of the agency by essen- tial function. To develop options for alternate facilities, use Worksheet 19. Current facilities owned or used by the agency are nor- mally considered first as options for alternate work sites. These are good candidates for hot, warm, or at least cold sites. If an agency does not have suitable additional facilities or none of those are deemed appropriate as potential sites, the COOP team might consider entering into a mutual aid agree- ment with another agency to use their facilities or an agree- ment to share an alternate work site. Mutual aid agreements can be made for hot, warm, or cold sites. The alternate facility may represent a series of locations based on the phase of the emergency and the number of per- sonnel assigned to the location. During the very early stages of COOP activation, the alternate facility may support only a small number of the transportation agencyâs personnel. During the first few days of COOP activation, the alternate facility may support more of an agencyâs personnel. As the transportation agency brings more functions and services back on line, partial use of other facilities, temporary work orders, or sequences scheduling of activities may have to occur to accommodate more personnel, vehicles, and equip- ment. Whatever facilities are ultimately selected, they are expected to be capable of the flexibility for supporting oper- ations in a standard 8-hour, 12-hour, or 24/7 environment based on the emergency and leadership decisions. Finally, it is important for the transportation agency to develop a process for assessing whether the potential alter- nate work site may be susceptible to some risk, such as flood- ing or potential inaccessibility because of repairs or traffic control plans. If the potential alternate site is in an area that faces some elevated risk of physical damage, it may not be an ideal alternate work site. The COOP team should consider the following questions when selecting alternate facilities and work sites: ⢠Did you select an area where the ability to initiate, main- tain, and terminate operations will not be disrupted or affected by the same or similar event that the primary site experienced? ⢠Did you consider using existing field facilities, a virtual environment, or joint or shared space? ⢠What is your immediate capability to perform essential functions under various threat conditions (e.g., threats involving weapons of mass destruction)? ⢠Can the facility be operational within 12 hours after activation? Can you sustain operations for 30 days or longer? ⢠Did you perform a risk analysis of this alternate facility? ⢠Did you consider all possible scenarios for COOP relocation (e.g., fire, flooding, and potential threats of terrorism)? ⢠Did you consider the distance from the threat area of any other facilities/locations such as hazardous materials/ areas susceptible to natural disasters or likely focuses of civil unrest? ⢠How many shifts and how many COOP team members per shift will be required to accomplish essential func- tions from the facility? ⢠What is the minimum amount of space these COOP team members need to accomplish their functions under emergency conditions? ⢠Do you have reliable logistical support, services, and infrastructure systems, including water, electric power, heating and air conditioning, etc.? ⢠Do you have access to important resources such as food, water, fuel, and medical facilities? ⢠If the alternate facility is located at a distance from the primary site, did you develop plans to address housing for emergency staff (billeting within facility or local motels)? ⢠How will you handle housekeeping requirements, includ- ing supplies? ⢠Have you thought about your transportation require- ments to the facility for COOP team personnel? ⢠Does cellular phone coverage limit the facility from consideration? ⢠What are the equipment and furniture requirements for the facility? ⢠Have you determined the power requirements for the facility? ⢠Have you identified backup power to the facility? ⢠Have you identified your interoperable communications requirements? ⢠Is the alternate facility outside the communications and data grid of the primary facility? ⢠Do you have sufficient telecommunication lines and data lines?
⢠Do you need a secure phone or fax machine? ⢠Do you have a requirement for secure storage containers? ⢠What type of computers and software do you need? ⢠Do you need security personnel to provide perimeter access and internal security functions? RELOCATION PLANNING Identifying alternate work sites is of little use if there is no plan for relocating personnel and resources suddenly because of an emergency. Relocation planning focuses on several issues: ⢠Communications among agency management, agency personnel, emergency personnel, other agencies, agency customers, and the general public; ⢠Logistics; and ⢠Providing for the human needs of staff both at the pri- mary, if operational, and alternate facilities. If the agency has to move to an alternate facility, the needs of staff operating at the facility are to be met. This includes provision for logistical support and lodging through arrange- ment with vendors for transportation, hotels, catering, etc. In addition to the physical needs of agency personnel, the com- prehensive COOP plan also addresses their emotional needs. Disasters, regardless of their origin, influence and affect the motivation and morale of personnel, which can affect their productivity. Furthermore, personnel will experience greater stress levels, even if the COOP plan is implemented flawlessly. A COOP plan may include provisions for counseling and plan for readjustments of work assignments for those who are incapacitated by the emotional effect of a disaster such as a terrorist attack (e.g., death of a family member). These con- cerns can be tailored to the type and duration of the disrup- tion. Use Worksheet 20 to address personnel requirements at the alternate facility. Not only does the alternate work site need to be identified and the care of staff arranged, but also security and access to both the primary and the alternate facilities during emer- gency and non-emergency situations need to be arranged. The security procedures must be able to accommodate all hazards and include provisions for identifying access restric- tions. Use Worksheet 21 to address these concerns for each alternate work site. Finally, alternate facilities are selected for each primary facility and documented within the plan. Use Worksheet 22 to document those choices. COOP ACTIVATION TEAMS In the event of activation or partial activation of the COOP plan, designated COOP activation teams are to be established to manage and perform essential functions. To develop COOP activation teams, the transportation agency can go back to the results identified in Worksheet 16, Management, Technical, and Supporting Personnel. In this worksheet, completed for each essential function, the COOP team identified the key senior and technical man- agement positions and the support personnel (by position and number required) necessary to perform each essential func- tion. This information supports the creation of the COOP acti- vation teams necessary to activate and sustain the COOP plan. In the transportation environment, COOP teams can be identified as the following: ⢠The Executive Team can handle decision-making and direct activation or partial activation of the plan. Mem- bers of this team should not be tasked with work on the advance team or even be expected to be involved with early operations team activities. Some senior leadership personnel probably can assume some tasks such as media and inter-agency contacts, freeing advance, operations, support, and contingency teams to ensure that essential functions are carried out. Senior leadership can also be expected to be influential in obtaining assistance and removing unanticipated obstacles. ⢠The Advance Team, immediately after activation or par- tial activation of the COOP plan, will perform activities necessary to ready the system for the performance of essential functions. This may include restoring tele- communications and information technology systems capabilities; mobilizing resources; preparing deployment sites and/or alternate operating locations; and locating and protecting vital records, data sets, and databases. ⢠The Operations Team will lead the performance of essential functions, developing strategies and plans to ensure their continuation no later than 12 hours after the emergency. The operations team will coordinate with the advance team to synchronize operations and to success- fully bring up services and systems using alternate loca- tions, back-up systems, mobilized resources, tempo- rary work procedures, and pre-determined or impromptu deployment sites. ⢠Support Teams will follow the direction of the opera- tions team. Support teams are typically organized by functions and will focus their activities on the separate activities necessary to perform essential functions. The activities may include vehicle operations, maintenance crews, inspection and damage assessment teams, traffic control and direction, situation assessment and plan- ning, public outreach, and support crews to emergency responders. There may be one or more support teams specified. ⢠Contingency Teams initially may not be needed. These personnel will report to their homes or other locations to wait for direction from the operations team or support teams. These personnel understand that they may be assigned to perform a range of functions necessary to 29
30 support the transportation agency, its users and cus- tomers, and emergency responders. As they are called upon to support the agencyâs return to normal opera- tions, these personnel may be organized into one or more teams. Each transportation agency will develop a different classifi- cation system for assigning personnel to these teams and for communicating with them upon activation of the COOP plan. Table 7 describes this system. Personnel assigned to contingency teams may think that they are being punished by the transportation agency or being told that their work is not important. It is advisable, from the beginning, to address this situation by explaining the limited nature of COOP operations. Functions must be brought on line in an organized and prioritized way. Individual functions Team Team Members Typical Responsibilities Executive Team Senior leadership not involved in specific activities to set up, conduct or directly support essential functions ⢠Activate or partially activate COOP plan activities ⢠Coordinate inter-agency and media communications ⢠Promote coordination among governmental/agency units Advance Team Personnel who support critical services, systems or resources necessary to perform prioritized essential functions ⢠Initiate notification regarding COOP plan activation (internal pager/beeper systems; call trees; in-person notification, etc.) ⢠Notification of external agencies regarding COOP plan activation ⢠Assignment to ready critical processes, systems, resources, and records necessary to support essential functions ⢠Coordination with duly designated decision makers and the operations team coordinating the relocation of communications, information technology, and vital records, datasets and databases to the alternate facility or another location Operations Team Senior management and technical personnel from each organizational element within the agency with responsibility for essential functions ⢠Ensure safety and security of system users, personnel, contractors, and others who have come into contact with the system ⢠Initiate essential functions from alternate facility or other location ⢠Manage emergency public information requirements ⢠Coordinate emergency procurements and contracts ⢠Coordinate necessary activities to manage emergency and administration functions ⢠Coordinate inspections, damage assessments, and emergency repairs ⢠Perform situation assessments and obtain status of the transportation system ⢠Communicate and coordinate with advance teams and support teams ⢠Assess performance of essential functions ⢠Communicate status with local responders ⢠Develop plans for additional functions and gradual restoration of operations Support Teams (Teams 1 through X) Designated personnel from each element within the agency with responsibility for carrying out specific activities necessary to support essential functions ⢠Receive notification from advance team or operations team ⢠Report to designated location (alternate facility, pre- determined location or other site) ⢠Support the operations team as directed -- typical support teams may be organized into vehicle operators, maintenance crews, inspection and damage assessment teams, traffic control and direction, public outreach, and support crews to emergency responders ⢠Provide other special needs as required. Contingency Teams (Teams 1 through X) Agency personnel with no designated responsibilities to support essential functions ⢠Report to default locations (home or other site) ⢠Wait to be notified of assignment ⢠Be prepared to perform a range of functions as directed by the operations or support teams TABLE 7 Sample COOP team designations
or jobs are all important; but some take a different priority under emergency conditions. Contingency team members may, in fact, be doing the most important work in an emer- gency, as they tackle the unexpected needs and requirements to help make others safe and secure. Once the teams have been identified, based on the activa- tion procedures developed for the COOP plan and the hours of operation, it is desirable that a roster of trained personnel to support COOP plan implementation be developed and maintained by the transportation agency. Worksheet 23 pro- vides a sample. DELEGATION OF EMERGENCY AUTHORITY Transportation agencies confront emergency situations that result in the loss or unavailability of senior management and technical personnel. To address this possibility, the COOP team should assess requirements for delegation of emer- gency authority. Delegation of emergency authority enables the agency to determine who has decision-making authority, access to areas, and management of essential functions. This will also help to ensure rapid response to any emergency situation requiring the implementation of the COOP plan. The transportation agencyâs legal counsel is normally consulted when deter- mining delegations of authority. In addressing this component of COOP planning, trans- portation agencies may wish to consider the following: ⢠Identification of the programs and administrative author- ities needed for effective operations at all organizational levels having emergency responsibilities; ⢠Identification of the circumstances under which emer- gency authorities would be exercised; ⢠Clarification of the limits of authority and accountabil- ity under emergency conditions; ⢠Documentation of the authority of designated successors to exercise agency direction, including any exceptions, and the successorâs authority to re-delegate functions and activities as appropriate; ⢠Clarification of circumstances under which delegated authorities would become effective and when they would terminate (usually, pre-determined delegations of author- ity would take effect when the normal authority is ren- dered unavailable and would terminate when normal authority is resumed); and ⢠Recognition of the need for training personnel who may be expected to assume authorities in an emergency. Two categories of authority can be addressed in COOP delegation of authority: emergency authority and adminis- trative authority. 31 Emergency Authority Emergency authority refers to the ability to make deci- sions related to an emergency, such as deciding whether to activate a COOP plan, deciding whether to evacuate a build- ing, or determining which personnel are to report for duty. In an emergency requiring COOP plan activation, COOP team members are often the natural choice for assuming emer- gency authority. However, COOP team members are not the only candidates for such authority. In determining its policies for emergency delegation of authority, the transportation agency can review its pre- delegated authorities for making policy determinations and decisions at headquarters, field levels, and other organiza- tional locations, as appropriate. When delegating emergency authority, an agency can consider delegating authority among the key personnel in such a way to ensure that each has an equitable share of the duly established leadership. An agency also should train officials on performance of their emergency duties. Basic principles to consider when delegating emergency authority include the following: ⢠Identify which authorities may be delegated; ⢠Establish rules and procedures addressing conditions for succession and method of notification; ⢠Identify limitations of delegations; ⢠Identify to whom authorities may be delegated; and ⢠Train potential successors on their duties in an emergency. Worksheet 24 may be completed by the COOP team to document the agencyâs policies and procedures for the dele- gation of emergency authority. Worksheet 25 addresses the rules, procedures, and limita- tions that may be placed on delegations of emergency author- ities by position. Vacancies in key positions can occur for various reasons, and many times, vacancies are the result of non-emergencies, such as illnesses, leaves of absence, and temporary assignments. Thus, the delegation of authority component of a COOP plan requires a list of conditions or events that will trigger the delegation of authority for that key position. Activation of any delegation of authority may be tied to the level of threat or category of emergency. Activation policies may also detail how the designee will assume author- ity and how agency staff will be notified of the delegation. Administrative Authority Administrative authority refers to the ability to make deci- sions that have effects beyond the duration of the emergency. Unlike emergency authority, administrative authority does not have a built-in expiration date. Such decisions involve policy determinations and include hiring and dismissal of personnel and allocation of monetary and non-monetary
32 resources. Statutory or constitutional law may limit the del- egation of this kind of authority. When delegating administrative authority, an agency also needs to examine laws and regulations governing the agency. Delegation of administrative authority is generally limited to upper management, but may be extended to middle manage- ment and non-management as necessary and allowed by law. Again, the transportation agencyâs legal counsel can provide advice on delegation of administrative authority. ORDER OF SUCCESSION Order of succession is defined as a formula that specifies who will automatically fill a position if it is vacated. Devel- oping orders of succession for key positions is intertwined with determining delegation of authority in an emergency. A comprehensive COOP plan will include an order of suc- cession for each key position. Although orders of succession for key leadership and management positions within the agency, both at headquarters and in satellite facilities, are necessary for a comprehensive COOP plan, orders of suc- cession are not limited solely to management positions. In fact, any essential function requires that there be sufficient succession plan contingencies to fill needs. Some of the per- sonnel who are on contingency teams can be assigned, as appropriate, within the order of succession plan. All agencies have non-management personnel who, because of their function in the agency, are critical to accomplishing the agencyâs goals. Ideally, identify key positions by the position title and not by the name of the person currently in the position, because different individuals may move through a single position, while positions tend to stay the same. Con- sequently, the orders of succession by key positions will need fewer revisions over time. Nevertheless, there may be a few individuals who have very specific knowledge, skills, and/or experience in the agency and they may have to be named specifically. If key personnel are identified by position title, materials should be revised to reflect any reorganization affecting those parts of the agency. When identifying successors, the COOP team is advised to consider the organizational and geographic proximity of the potential successor to the key position. A potential suc- cessor who is part of the same department or division (orga- nizational proximity) is a good choice, because they already have an understanding of the key position. However, ensure that there is at least one successor in the order of succession who is not located in the same office or facility in case the vacancy results from a catastrophic emergency in a particu- lar geographic location. Considerations for orders of succession planning include the following: ⢠Geographic proximity, ⢠Organizational proximity, ⢠Skills, ⢠Experience, ⢠Knowledge and training, and ⢠Personality. Although the focus is on the measurable skills, experi- ence, knowledge, and training necessary for holding a spe- cific key position, personality traits such as an ability to work under pressure or communicate clearly in pressure sit- uations may also be considered. An order of succession also requires sufficient depth. In other words, there may very well need to be more than one or two named successors in most circumstances. To achieve the best results, all key positions are first iden- tified. The authority to be delegated, identified in Worksheets 24 and 25, already gives some idea of which positions and personnel are key positions and personnel. However, there may be some key positions or personnel that have not been identified by looking solely at delegation of authority. There- fore, the COOP team can review the agencyâs current orga- nizational structure, by position and function, i.e., executive director(s)/general manager, deputy director(s), vice presi- dent(s), chief operating officer(s), etc. After studying the agencyâs organization chart, the COOP team can examine the consequences resulting from a current or past vacancy, question current and former agency personnel, and examine historical evidence regarding needed orders of succession. When finished, the COOP team can document its results in Worksheet 26. VITAL RECORDS AND DATABASES A successful COOP plan provides for the protection, accessibility, and recovery of the agencyâs vital records, sys- tems, and equipment. These are the records, systems, and equipment that if irretrievable, lost, or damaged will materi- ally impair the agencyâs ability to conduct business and carry out essential functions. Every agency has some type of maintenance program in place for the preservation and quality assurance of data and systems. Such a program takes into account the cost of pro- tecting or reconstructing records weighed against the neces- sity of the information to achieving the agency mission. COOP planning takes advantage of the maintenance pro- grams already in place and may improve upon them to achieve optimal readiness for disruptions to an agencyâs essential functions. Vital Records A successful COOP plan also provides for the identifica- tion, protection, and ready availability of electronic and hard- copy documents, references, records, and information sys- tems needed to support essential functions under any type of
emergency. Agency personnel need to have access to and be able to use these records and systems in conducting their essential functions. COOP planning for vital records includes assessing any vital records programs in place at the transportation agency and improving or developing a program to provide for the optimal protection, duplication, and preservation of records. This maintenance program, as well as procedures for the recovery and restoration of records, forms the basis of a vital records program. The vital records delineation should be broadly defined to also include safes and keys, for example, that secure vital records. The key to identifying vital records is looking to the agencyâs essential functions and their supporting critical processes and services. In Worksheet 15, the COOP team identified the records needed to perform essential functions. With that worksheet, determine those records necessary for emergency operations and/or the recovery or the continua- tion of agency essential functions for up to 30 days and list them in Worksheet 27. Also indicate whether these records are time-critical, i.e., how soon after disruption are they expected to be needed. Time criticality is an essential com- ponent of the issue of secure, off-site storage, for example. Identifying vital records is somewhat like identifying agency essential functions. The agency may perform many functions, but not all are essential. The same can be said about records; all may be important, but not all are essential. Only a small percentage of the agency records are vital, i.e., essential to emergency operations and to the agencyâs con- tinuance or difficult or impossible to replace. Vital records may be in any format or medium. Original records are not necessary. It is the information, not the medium that is most important. If the information is contained in a medium other than paper, the technology required to access the information and the availability of that technology in an emergency must be considered. For example, if the record is on microfilm only, the COOP plan can include provision of film readers in an emergency. To document vital records for COOP planning, complete Worksheet 27. Because vital records are often part of vital systems and equipment, a single disaster recovery plan often addresses both records and systems/equipment. The information tech- nology (IT) department is advised to have a disaster recov- ery plan in place for IT systems and equipment. Some agen- cies may find that any COOP planning requires close work with the IT department throughout the process. If the accessibility of vital records is unlikely to be possi- ble in emergencies involving, for instance, a regional black- out, it is desirable for the IT disaster recovery plan to include provision for regular, periodic, hardcopy printing of the data, or other alternative solutions. Ideally, the COOP team should consult with IT staff for assistance in COOP planning for recovery of vital electronic records. Additionally, the IT disaster recovery plan should support essential agency functions. COOP teams also should identify restoration and recovery resources for non-electronic records. Worksheet 28 addresses this process. Systems and Equipment Supporting Essential Functions A system or piece of equipment is vital if it is required to perform emergency operations and/or to the agencyâs con- tinuance of critical processes and services during an emer- gency for a minimum of 30 days. COOP planning for vital systems and equipment proceeds in the same way as plan- ning for vital records. The first step is to identify vital sys- tems and equipment and the second step is to select and arrange protection methods for vital systems and equipment. Many of the critical processes supporting essential agency functions include or consist entirely of IT systems and appli- cations. IT is defined as systems and applications, generally computer-based, that assist in the collection, storage, analy- sis, and communication or transfer of data and information to other systems and/or individuals. For this reason, the IT component of any agency plays a vital role in COOP plan- ning. The IT department is not ultimately responsible for developing COOP plans. COOP planning is the responsibil- ity of the agency head and the designated COOP leader and COOP team, not of the agencyâs IT department. Representa- tion from the IT department is necessary from the start on the COOP team, because IT department knowledge of system capabilities will be helpful in actual preparation of the plan. The IT department is a resource, a valued planning partner, and an important element in recovery planning. INTEROPERABLE COMMUNICATIONS Communications is a critical component of a successful transportation agency COOP capability. Interoperable com- munications systems support connectivity to internal agen- cies, other agencies, critical customers, and the public. Goals for communications planning typically include the following: ⢠Capability commensurate with agencyâs essential func- tions and activities; ⢠Ability to communicate with the COOP team, manage- ment, and other agency components; and ⢠Ability to communicate with external agencies, emer- gency personnel, vendors, and the public. When determining interoperable communications require- ments for an emergency situation, transportation agencies are advised to consider services such as the following: ⢠Voice lines; ⢠Fax lines; ⢠Data lines; 33
34 ⢠Cellular phones; ⢠Pagers; ⢠Email; ⢠Internet access; ⢠Instant messenger services; ⢠Personal digital assistants (PDAs); ⢠Radio communication systems; ⢠Satellite communication systems; ⢠Local, regional, state, and federal emergency telephone services; and ⢠Other means of communication used by the agency (e.g., in-person; specialized systems, etc.). Interoperable communications planning for COOP capabili- ties typically involve three activities: ⢠Assessing those communications systems supporting each essential function, ⢠Identifying controls that could prevent interruption of primary communication channels, and ⢠Identifying alternative modes of communication in case the primary modes are not available. Each of these activities is discussed below. Critical COOP activities, such as notification, situation assessment, and inter- nal and external agency coordination during emergencies ALL require a communications infrastructure. Assessing Communication Systems Supporting Essential Functions As with previous tasks, the key to identifying interoperable communications systems is reviewing the critical processes and services that support the agencyâs essential functions. In most transportation agencies today, business is conducted pri- marily through telecommunications. Telecommunications include digital, electronic, or auto- mated systems used in transmitting messages between remote locations. Examples include telephone (both land lines and cellular), facsimile, cable, radio, television, email, and inter- net service. These telecommunications systems generally support an entire transportation agency and typically are not specific to a particular function or organizational unit. To identify these systems, use Worksheet 29. In complet- ing this worksheet, be sure to identify ALL systems that sup- port communications, however antiquated or advanced. Identifying Preventive Controls Preventive controls attempt to avoid the occurrence of unwanted disruptions such as data loss through power outages and equipment malfunction and destruction. As with vital records, preventive controls are necessary in mitigating risks to those communication systems that support essential func- tions, both at the primary and alternate work sites. Examples of preventive controls include the following: ⢠Tested uninterruptible power supplies to provide short- term backup power to system components; ⢠Air-conditioning systems with adequate excess capacity that, despite failure of certain components, allow con- tinued functioning of the entire system; ⢠Fire and smoke detectors; ⢠Water sensors in the ceiling and floor for computer and telecommunications rooms; ⢠Gasoline- or diesel-powered generators to provide long- term backup power tested and checked to ensure fuel is not too old to be used; ⢠Fire suppression systems; ⢠Emergency master system shutdown switch; ⢠Technical security controls; and ⢠Regular training for personnel on how to operate all fea- tures and the manual overrides and necessary tools and locations of tools. Ideally, an agency should assess those preventive controls that are best for each mode of communication and then com- pare those controls to the protective measures now in place at both the primary work site(s) and at any alternate work sites. To identify preventive controls, it is advisable that the agency complete Worksheet 30. Identifying Alternative Modes of Communication When preventive controls fail, it is advisable that an agency have alternative providers and/or modes of communication in place to fill the gap. This can be handled by having a separate emergency communication system set up or by using commu- nications systems already in place. For example, cellular phones could be an alternative to land-based voice lines. Some service providers offer special services for emergen- cies, such as telecommunications services priority (TSP). This service gives a transportation agencyâs telecommunica- tions circuit priority, allowing communications to get through when all circuits are busy. Each transportation agency can check with its providers for information on any emergency communications services. To document alternate modes of communication, the trans- portation agency can complete Worksheet 31. This worksheet provides space to list any available emergency services. Con- sider also providing radios, satellite phones or other special communication devices to COOP team members for use in an emergency. Consider, too, access to the Government Emer- gency Telecommunications Service (GETS) for priority voice and data transmission lines.
