Click for next page ( 40


The National Academies | 500 Fifth St. N.W. | Washington, D.C. 20001
Copyright © National Academy of Sciences. All rights reserved.
Terms of Use and Privacy Statement



Below are the first 10 and last 10 pages of uncorrected machine-read text (when available) of this chapter, followed by the top 30 algorithmically extracted key phrases from the chapter as a whole.
Intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text on the opening pages of each chapter. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

Do not use for reproduction, copying, pasting, or reading; exclusively for search engines.

OCR for page 39
39 WORKSHEETS WORKSHEET 1: COOP LEADER SELECTION The COOP team is led by an appointed COOP leader within the agency. Information on the current COOP leader is as follows. COOP Leader Selection Documentation Name Date appointed as COOP leader Full-time or part-time position? If part-time, state normal position held and percentage of time to be devoted to COOP activities Person to whom COOP leader reports Brief professional background details Normal contact details (work phone, email) Emergency contact (home, cell, pager numbers) Completed by: Date: Name Reviewed by: Date: Name

OCR for page 39
40 WORKSHEET 2: COOP TEAM MEMBERS The COOP team has overall responsibility for the development and maintenance of the COOP Plan. Members of the COOP team are currently as follows. COOP Team Members Name Job Title and Department within Date of Agency Appointment Individual responsibilities within the COOP team: Name Job Title and Department within Date of Agency Appointment Individual responsibilities within the COOP team: Name Job Title and Department within Date of Agency Appointment Individual responsibilities within the COOP team: Name Job Title and Department within Date of Agency Appointment Individual responsibilities within the COOP team: Name Job Title and Department within Date of Agency Appointment Individual responsibilities within the COOP team: Name Job Title and Department within Date of Agency Appointment Example: Sam Brooks Maintenance Manager 5/5/55 Individual responsibilities within the COOP team: Example: Security and equipment of alternate facility. Completed by: Date: Name Reviewed by: Date: Name

OCR for page 39
41 WORKSHEET 3: INITIAL COOP TEAM MEETING The initial meeting of the COOP team will be held on , , to discuss the following: Initial COOP Team Meeting Topics Topic Check Off COOP team organization Roles and responsibilities Project deliverables Project deadlines Reporting process Review and approval process Coordination with external response agencies Completed by: Date: Name Reviewed by: Date: Name

OCR for page 39
42 WORKSHEET 4: COOP TEAM MISSION STATEMENT Mission Statement This COOP team has been assigned by the [executive director/general manager] to direct development of a comprehensive continuity of operations capability for [insert name of transportation agency]. Because of the importance of this planning effort, members of this team have been assigned from all major [departments/divisions/units] within the agency. The team is responsible for preparing a Continuity of Operations (COOP) plan, as well as for overseeing the process required to implement, validate and maintain a continuity capability. Completed by: Date: Name Reviewed by: Date: Name

OCR for page 39
43 WORKSHEET 5: COOP TEAM OBJECTIVES AND DELIVERABLES To enable the COOP team to focus their efforts on the key issues, and to ensure that the work undertaken is relevant to the requirements of the project, the objectives and deliverables are clearly defined. The following list of objectives and deliverables has been approved by the senior management. Objectives of COOP Team Main objective of COOP team: Sub-objectives of COOP team: Deliverables of COOP team: Completed by: Date : Name Reviewed by: Date : Name

OCR for page 39
44 WORKSHEET 6: PROJECT MILESTONES Realistic and achievable project milestones have been established to enable progress to be tracked against an approved schedule. The following project milestones have been agreed to. Project Milestones Milestone Description Scheduled Date Completed by: Date: Name Reviewed by: Date: Name

OCR for page 39
45 WORKSHEET 7: PROJECT REPORTING REQUIREMENTS AND FREQUENCY The COOP leader issues a [weekly/monthly/quarterly] report to senior management. This report contains a brief executive summary, which is additionally distributed to the executive director/general manager and board members as appropriate. COOP Leader Distribution for COOP leader's monthly progress report is as follows. Name of Person Name or department/unit for which responsible Distribution for executive summary only: Name of Executive or Board Member Department represented within agency The contents of the report include: Activities accomplished during the previous month: Activities completed Outstanding issues encountered Means of resolving these issues Progress made against agreed milestones: Milestone description Scheduled date Progress made Likelihood of meeting scheduled date Completed by: Date: Name Reviewed by: Date: Name

OCR for page 39
46 WORKSHEET 8: COST PLANNING TEMPLATE Costs can be identified for the COOP plan. Descriptions should be sufficient to ensure that managers not involved with the project can understand the nature of the proposed expenditure. Cost Planning Template Description of Item (Include Number of Unit of Cost Purpose) Units/ Hours Measure (e.g., Hour, Doz., Gal.) Total Estimated Cost Additional Comments Completed by: Date: Name Reviewed by: Date: Name

OCR for page 39
47 WORKSHEET 9: REQUIRED DOCUMENTS AND INFORMATION The COOP team has prepared the following list of documents and information that are required to be shared with the COOP team. Where this includes documents containing sensitive information, care is taken to ensure that confidentiality is not compromised. Copies may be provided, rather than originals, and security will be maintained. Required Documents and Information Description of Document/Information Document Location Example: Copy of building lease. Office of Chief Financial Officer Completed by: Date: Name Reviewed by: Date: Name

OCR for page 39
WORKSHEET 10: CAPABILITIES SURVEY TEMPLATE Each potential disaster or emergency situation has been examined by the COOP team. The focus here is on the level of disruption that could arise from each type of event. Potential disasters resulting have been assessed as follows. Potential Emergency Probability Rating Impact Rating Agency Capabilities to Disruption Potential (See Table Below) (See Table Below) Manage Emergency (See Table Below) PROBABILITY RATING IMPACT RATING OVERALL DISRUPTION POTENTIAL Score Level Score Level Score Level 5 Very High 5 Loss of Transportation System 5 Priority 4 High 4 Loss of Critical Systems 4 High 3 Medium 3 Loss of Non-Critical Systems 3 Medium 2 Low 2 Minimal Loss 2 Low 1 Very Low 1 No Loss 1 Very Low Completed by: Date: Name Reviewed by: Date: Name

OCR for page 39
49 WORKSHEET 11: AREAS OF RESPONSIBILITY Use the transportation/transit agency's mission statement, values, goals and objectives, the organization chart, and a brief review of agency operating procedures, rulebooks, and legal authorities, to identify the agency's areas of responsibility generally. Number Areas of Responsibility 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Example Maintenance of highway and/or track

OCR for page 39
64 WORKSHEET 25: DELEGATION OF AUTHORITY RULES, PROCEDURES, AND LIMITATIONS Complete this worksheet for each position identified in the second column of Worksheet 24, Matrix for Listing Delegation of Authority. Indicate the position on the line below and then list any rules for the delegation that may exist, outline procedures for the delegation including notification of relevant staff of the transfer of power, and limitations on the duration, extent and scope of the delegation. Position Holding Authority: Rules Procedures Limitations If General Manager is Assistant GM is contacted for No service schedule changes may be physically absent from the decision; In her absence, announced without prior consultation facility AND can't be reached Operations Manager is with emergency management agency, by pager or cell phone within contacted; In his absence, etc. and subsequent to the change, 30 minutes normal media contacts

OCR for page 39
65 WORKSHEET 26: ORDERS OF SUCCESSION List orders of succession to key positions essential to the transportation agency's COOP plan. Based on previous experience, whenever possible, transportation agencies may choose to investigate options that enable key successors to be geographically dispersed, to ensure that succession to office can occur during any type of emergency. Officials Designated Limitations/ Responsibilities (Title) Successor(s) Conditions (Title) Example: Chief Executive Chief Information Absence of CEO and CEO overall responsibility Officer Officer inability to contact and direction Example: Chief 1. Deputy CIO; Automatic succession Direction of IT support, Information Officer 2. Chief tech if CIO is unavailable telecommunications or filling CEO role hardware/software issues Example: DOT Equipment 1. Assistant As per mutual Person in position is Maintenance Director Maintenance agreement with the charged with making all Director; 2. Lead bargaining unit, all necessary repairs, Mechanic; 3. Lead overtime rules are directing repairs be made, maintenance suspended for the time and providing adequate repairman; that COOP plan is in staff to make repairs and 4. Nearest effect. Successor adequate parts and/or county maintenance should work with union tools to make repairs chief steward when possible to make assignments.

OCR for page 39
66 WORKSHEET 27: VITAL RECORDS List vital records, regardless of media, essential to the continued functioning or reconstitution of an organization. Include consideration of securing as many records as possible off-site with regular backup or provision at alternate facility, or making data portable (i.e., memory sticks). Maintenance frequency refers to the schedule or timetable for checking and/or updating this vital record. Vital File, Forms of Accessible Available Stored in Maintenance Record, or Record at Alternate from original Frequency Database (electronic Facility? original facility at? [including or alternate format], hard source? copy, etc.) Example: Hard copy AND No Central office Finance, 3 rd Annual Lease for .pdf file has copy on floor bottom main facility file; Office of left drawer of Comptroller file cabinet facing windows

OCR for page 39
67 WORKSHEET 28: RESTORATION AND RECOVERY RESOURCES Identify all record recovery and restoration resources, contact information and services available below. Include evening, holiday, and emergency/alternate contact information, as well as contact information for regular business hours. Company Name Contact Name Address / Phone Services Example: Data Main contact: W: 12 South St., Copying of backup tapes Recovery Systems, Ltd. Bill Jones Fifty-Five, PA for distribution to multiple Alternate contact: (555) 555-1212 alternate sites; Mary Smith Pager: 555-555-1111 Troubleshooting Cell: 555-555-9999 assistance in-person On-call person carries promised 2-hour response. the pager, Bill or Mary always has it.

OCR for page 39
68 WORKSHEET 29: COMMUNICATIONS SYSTEMS SUPPORTING ESSENTIAL FUNCTIONS Complete a separate worksheet for each essential function. Review information already gathered on vital systems and equipment for clues on communication systems that support critical processes and services and in turn their associated essential functions. In this chart, list the current vendor and its contact information; the services the vendor is currently providing the agency; and any special emergency services the vendor has to offer. Essential Function: Communication Current Services Special Alternate Mode Provider Provided Services Provider? Available Voice Lines Fax Lines Data Lines Cellular Phones Pagers Email Internet Access Instant Messenger Services Personal Digital Assistants (PDAs) Radio Communication Systems Other

OCR for page 39
69 WORKSHEET 30: PREVENTIVE CONTROLS FOR COMMUNICATION SYSTEMS Complete a worksheet for each facility and indicate whether the facility is a primary or alternate work site. Identify all the optimal preventive controls for each communication system and then list the preventive controls currently in place for that mode of communication. Examples of preventive controls might be uninterruptible power supplies, generator back-up, water sensors, etc. Facility: Primary Alternate Communication Optimal Preventive Controls Preventive Controls Currently System In Place Voice Lines Fax Lines Data Lines Cellular Phones Pagers Email Internet Access Instant Messenger Services Personal Digital Assistants (PDAs) Radio Systems Other

OCR for page 39
70 WORKSHEET 31: ALTERNATIVE MODES OF COMMUNICATION Copy the information gathered in Worksheet 29, Communications Systems Supporting Essential Functions, into this table and identify alternative providers and/or modes of communication. Communications systems already in place can be named as alternative modes for other modes of communication. For example, radios could be an alternative mode of communication for voice lines. Communication Current Alternate Alternative Alternative Mode Provider Provider Mode #1 Mode #2 Voice Lines Fax Lines Data Lines Cellular Phones Pagers Email Internet Access Instant Messenger Services Personal Digital Assistants (PDAs) Radio Communication Systems Other

OCR for page 39
71 WORKSHEET 32: PERSONNEL PREPAREDNESS List critical personnel preparedness elements and describe where they are addressed by the transportation agency (in procedures, SOPs, training, job aids, plans, etc.). You may want to include where the information and/or products are located under normal conditions. Personnel Preparedness Where It Is Addressed Element (cite procedure, rule, checklist, etc.) Example: Roster of Team Assignments Administrative procedure 55, Human Resources office, updated X/X/XXXX copies in Alternate Facility Six, 555 Fire Hall, and on file with county emergency management agency Example: Pre-scripted messages for radio stations Administrative procedure 55, Community Relations office, updated X/X/XXXX copies on file with county emergency management agency

OCR for page 39
72 WORKSHEET 33: COOP PLANNING CHECKLIST Transportation agencies may want to use the COOP planning checklist here to guide the COOP plan development process from the beginning, using the left-hand column to track actions and considerations, and/or using the right-hand column to list the page or pages within your plan that refer to that item. Have I Page#(s) planned Item/Description in our plan for? OVERARCHING ITEMS Y N Plan objectives are clearly stated in the opening of the plan Provisions for the protection of critical equipment, records, and other Y N assets are included in the overall planning process Provisions are included which maintain efforts to minimize human loss, Y N damage and losses of resources Considerations for an orderly response and recovery from any emergency Y N are incorporated into the planning process CAPABILITIES SURVEY Y N Vulnerability to natural and human-caused emergencies is addressed IDENTIFYING ESSENTIAL FUNCTIONS Y N Essential functions required by law are identified Y N Essential functions that support public safety are identified Y N Essential functions that support emergency responders are identified Y N Essential functions that are required by contract are identified Y N Essential functions that are time specific are identified Y N Essential functions that are day-of-the-week specific are identified Y N Essential functions that are monthly/seasonally specific are identified Y N Essential functions are prioritized based on above criteria COOP PLAN DEVELOPMENT, REVIEW & APPROVAL/ SUPPORTING PROCEDURES Y N Decision making conditions are clearly outlined for activation Y N The plan can be activated during non-working hours Y N The plan can be activated if no person can access or use the facility Y N The plan can be activated if no person can access the surrounding area Y N Communication process in times of advance threat warning established Y N Communication process to notify all agency personnel is established Y N Communication process is coordinated for all impacted decision makers Y N Communication is coordinated with other agency offices/facilities

OCR for page 39
73 Y N Communication is coordinated with external emergency personnel Y N Communication process is coordinated with key customers/users Y N Communication process is coordinated with suppliers/partners Y N Time-phased procedures facilitate response, relocation, restoration Y N Personnel are assigned to functions based on skills and knowledge Y N Authorities are identified which can and may be delegated Y N Positions to which the authorities are delegated are listed Y N The limitations of the delegations of authority are identified Y N Plans are made for succession to key leadership positions Y N Time or geographical limitations to succession are identified, addressed Y N Succession order is described by position or titles rather than by person Y N Orders of succession are revised and distributed as necessary Y N Alternate facilities and the resources available at each facility identified Y N Pre-positioning of assets and resources at alternate facilities considered COOP PLAN DEVELOPMENT, REVIEW & APPROVAL/ SUPPORTING PROCEDURES Y N Reliable support services, infrastructure at alternate facility identified Y N Alternate facilities will be available within 12 hours, up to 30 days Y N Physical security and access at alternate facility considered Y N Data/communications systems identified to support essential functions Y N Interoperable communications plans for internal and external use Y N Provisions for redundant communications are included in the COOP plan Y N Planning includes potential off-site storage of duplicate records Y N Regular and timely maintenance of alternate facility is scheduled Y N Plan ensures back-up for legal and financial records Y N Transportation, lodging, meals at alternate facility all addressed Y N Relocation of personnel, receiving plan at alternate site addressed Y N After-action review process identified for use after COOP activation Y N Staff roster for each essential function by position, with contact information Reliable processes are in place to acquire additional resources to sustain Y N operations for 30 days Y N Documentation of all supporting procedures and/or checklists Procedures in place to notify customers, of new work location, phone Y N numbers, re-route US mail, etc. Y N The COOP plan contains updated appendices with detailed

OCR for page 39
74 information on specific procedures, contact names, numbers always up to date Provisions are included for the preparation and pre-positioning off-site of Y N drive-away kits Measures are included in the planning which address pay status, Y N administrative leave, and layoffs Information has been included which provide guidance to personnel on Y N medical, special needs, and travel issues The physical security of the primary facility during the COOP activation Y N and operations has been addressed within the COOP plan or procedures TRAINING PERSONNEL, TESTING THE PLAN, KEEPING PLAN UP TO DATE Training and orientation curriculum has been developed which creates Y N awareness and enhances the skills of the agency's personnel Training is developed which ensures that the key leadership are prepared Y N to perform their emergency duties Y N Training plan addresses knowledge and skills sets The COOP plan contains a comprehensive test, drill, and exercise Y N program Provisions are included for periodic test of the alert and notification Y N procedures Periodic exercises of operational plans, alternate facilities, and Y N interoperable communications are incorporated into the COOP plan Periodic validation and test are included for equipment at the alternate Y N facility in the COOP plan A remedial action plan/process has been established which incorporates Y N lessons from the test, training, and exercise program Procedures are included which ensure that this plan will be maintained at Y N a high level of readiness