Continuity of Operations (COOP) Planning Guidelines for Transportation Agencies (2005) / Chapter Skim
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Pages 24-34
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From page 24... ...
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 communication systems; and • Maintaining the plan through training and testing, followed 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)
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From page 25... ...
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.
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From page 26... ...
• Alternate Facility Operations -- The 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.
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From page 27... ...
Whatever its size, service area, and operational requirement, transportation agencies typically require that the following factors be addressed in identifying and selecting alternate 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 wellbeing of relocated personnel and customers, i.e., adequacy 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.
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From page 28... ...
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 essential function.
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From page 29... ...
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 emergency and non-emergency situations need to be arranged.
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From page 30... ...
• 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, predetermined location or other site)
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From page 31... ...
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.
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From page 32... ...
Such a program takes into account the cost of protecting or reconstructing records weighed against the necessity of the information to achieving the agency mission. COOP planning takes advantage of the maintenance programs already in place and may improve upon them to achieve optimal readiness for disruptions to an agency's essential functions.
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From page 33... ...
COOP planning is the responsibility of the agency head and the designated COOP leader and COOP team, not of the agency's IT department. Representation 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.
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From page 34... ...
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 functions, both at the primary and alternate work sites.
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