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3 tion agencies can develop plans to manage activities to sup- · Their designation as members of COOP teams under port personnel, contractors, customers, emergency respon- emergency conditions; ders, and the general public in the immediate aftermath of an · How the agency will communicate with all designations emergency. of personnel during a COOP emergency; Throughout the COOP emergency, an element of the tem- · How to report for work at alternate facilities or locations; porary COOP organization will be devoted to service plan- · What to expect as far as payment, benefits, shift schedul- ning and attempting to bring on line additional functions and ing, and personal leave or vacations during COOP emer- capabilities as resources, personnel, systems, vehicles, and gencies; and facilities become available. · How the COOP organization will transition to normal To ensure that essential functions can be performed, operations. COOP planning encourages transportation personnel to con- sider the use of alternate facilities (if access is denied to pri- Depending on the emergency, personnel who do not sup- mary facilities or systems). Examples include secondary sites port the essential functions identified in the COOP plan may where DOTs, TMCs, or public transportation agencies can be instructed to remain at their residences. Personnel not perform essential transportation monitoring and dispatch func- required to report immediately could be on call or on standby tions; maintenance facilities that can store, fuel, and maintain status. Depending on agency policy and work rules, those vehicles assigned to other garages or districts; and secondary personnel not on call or standby status are often placed on administrative sites equipped to store and manage personnel, paid administrative leave unless otherwise notified. financial, and emergency operating records. Finally, COOP planning addresses activities that will be In transportation, COOP planning also encourages the performed by the transportation agency to support local availability and use of alternate procedures, often called tem- responders, other transportation agencies, and local and porary work procedures, to perform essential functions. Exam- regional emergency management agencies if elements of the ples include transportation agency's capability to provide service are dis- rupted. In this manner, the transportation agency can use the · Using transportation and law enforcement personnel to COOP plan to communicate with its local and regional part- direct traffic if power outages affect traffic signals; ners to establish a mutual understanding of assumptions and · Running automated train control systems in manual mode; capabilities under these conditions. · Using pre-assigned routes for bus operators with no radio A comprehensive COOP plan provides a framework that check-ins; establishes operating procedures to sustain essential func- · Using public and community facilities to manage pedes- tions when normal procedures are not possible and provides trian overflow to clear roadways and bridges; and a guide for restoring normal agency operations and building · Using manual record-keeping processes to administer functions. COOP planning ensures that the transportation emergency operations and financial activities. agency can COOP planning also is concerned with ensuring continu- · Provide alternative modes of operation under conditions ity of leadership authority in transportation agencies. There- of uncertainty, fore, elements of COOP planning emphasize the delegation · Protect and restore vital systems and equipment, of emergency authority and the development of orders of · Identify and resolve hardware and software requirements, succession based on job titles to ensure that an agency can · Establish interoperable communications, still make decisions, even when confronting the loss of senior · Prepare in advance an alternate facility or work site so management or technical personnel or both. that the COOP can be activated, In addition, COOP planning encourages training and · Provide primary and alternate facility occupancy and supporting procedures to ensure that a roster of trained and resumption plans, equipped personnel is available in an emergency requiring · Address internal reporting requirements, and continuity capability. These personnel are organized in teams · Make agreements with other transportation and response to create a temporary management structure that enables the agencies. agency to focus exclusively on the performance of essential functions. Training provides personnel with a clear under- standing of essential functions and the specific activities per- HOW TO USE THESE GUIDELINES formed to sustain them. Procedures developed to support COOP planning will These guidelines explain how transportation agencies can ensure that personnel understand assign the COOP planning process to a COOP team managed by a designated COOP leader. Once the COOP leader and · How they will be notified regarding implementation of team have been established, these guidelines provide work- the COOP plan; sheets to be completed for each step in the COOP planning
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4 process. Worksheets are provided as a separate section at the · Have all the personnel named as successors or as hold- end of the Guidelines. ers of emergency responsibilities been briefed or trained Completion of the worksheets will ensure that the COOP on their responsibilities? Is contingency staffing avail- team assembles all materials necessary for the COOP plan. able to perform essential functions? Throughout the guidelines, examples, tips, and recommen- · Is there sufficient capability to conduct procurement dations are provided. Because transportation and transit actions, keep financial records, record time and atten- agencies differ considerably in many areas, agencies are not dance, and perform other essential administrative sup- expected to complete all worksheets fully. Agencies should, port functions? however consider the information areas represented in those · Is there a vital records program? worksheets in COOP planning discussions. · Is there a plan for protecting and recovering vital sys- A complete set of worksheets is available in Microsoft® tems and equipment? Word at http://www.trb.org/SecurityPubs/. A sample COOP · Have alternate work sites been identified? plan template, cross-referenced to the worksheets, is also · Are there sufficient resources at alternate work sites to available at http://www.trb.org/SecurityPubs/. The transpor- ensure that essential functions can be performed? If not, tation agency can use the worksheets and template to gener- have arrangements been made to obtain the necessary ate its COOP plan. Some transportation agencies may find it resources? helpful to read the COOP plan template first, then read the · Does the relocation plan provide for security, transpor- guidelines and complete the worksheets, and finally return to tation, food, and lodging of all personnel who may need the COOP plan template to tailor it for their operations. Other to operate out of that facility? agencies may choose first to read the guidelines, then to com- · Does the plan ensure support for personnel and their plete the worksheets, and then, finally, to review and tailor families in the event of an emergency? the template to create their COOP plan. · Is there a detailed communication plan that (1) identi- Outreach materials are also available, as is a COOP plan- fies preventive controls for communications equipment ning resource library at http://www.trb.org/SecurityPubs/. and alternate modes of communication, (2) addresses As the transportation agency COOP team and leader work interoperability issues as necessary, and (3) lays out a through these guidelines, worksheets, and template, they will chain of communication? answer the following questions: · Is there sufficiently detailed information in the plan to ensure that the plan can be implemented (e.g., phone · Has a COOP leader and COOP team been designated? numbers, addresses, names, locations, and equipment)? · Have all key elements of the agency been involved in · Is there a program for training agency personnel on the planning process? COOP plan implementation? · Have the agency's essential functions been clearly · Is there a program to test the plan with exercises or identified? drills? · Is the delegation of authority outlined sufficiently to · Is there a schedule of regular review and revision of ensure continuance of agency operations? the COOP plan, with sign off from authority level · Is there a clear and documented order of succession for management? key management positions and appropriate authority for key officials, so that there is adequate command and Each question should be carefully addressed in order to control in an emergency? develop an effective COOP plan.