Continuity of Operations (COOP) Planning Guidelines for Transportation Agencies (2005) / Chapter Skim
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Worksheets
Worksheets
Pages 39-74
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From page 39... ...
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)
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From page 40... ...
COOP Team Members Name Job Title and Department within Agency Job Title and Department within Agency Job Title and Department within Agency Job Title and Department within Agency Job Title and Department within Agency Job Title and Department within Agency Date of Appointment Date of Appointment Date of Appointment Date of Appointment Date of Appointment Date of Appointment Individual responsibilities within the COOP team: Name Individual responsibilities within the COOP team: Name Individual responsibilities within the COOP team: Name Individual responsibilities within the COOP team: Name Individual responsibilities within the COOP team: Name Example: Sam Brooks Maintenance Manager 5/5/55 Individual responsibilities within the COOP team: Example: Security and equipment of alternate facility. Completed by: Name Date: Reviewed by: Name Date:
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41 WORKSHEET 3: INITIAL COOP TEAM MEETING The initial meeting of the COOP team will be held on |
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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]
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From page 43... ...
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.
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Project Milestones Milestone Description Scheduled Date Completed by: Name Date: Reviewed by: Name Date:
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From page 45... ...
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.
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Cost Planning Template Description of Item (Include Purpose) Number of Units/ Hours Unit of Measure (e.g., Hour, Doz., Gal.)
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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.
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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 2 Minimal Loss 2 Low 1 Very Low 1 No Loss 1 Very Low Completed by: Name Date: Reviewed by: Name Date: Low Potential Emergency
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From page 49... ...
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. 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 Number
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From page 50... ...
Area of Responsibility: Example Responsibility: Maintenance of highway/track Brief Description Essential? Y/N 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 Example Visual inspection of track Personnel perform routine inspection of track weekly, walking 4 to 5 miles Yes Example Schedule litter pickup Maintenance crew reports litter issue for volunteer Adopt-A-Highway group attention or scheduled activity for crew No Number Functions Performed
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51 WORKSHEET 13: CRITERIA FOR SELECTING ESSENTIAL FUNCTIONS Based on the review of emergency response plans, emergency operating procedures, and brainstorming sessions among COOP team members, transportation agency employees and supporting emergency responders, identify criteria for selecting essential functions. Criteria 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Example The function supports normal emergency response activities as planned by the local/regional emergency management agency.
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Sun Mon Tue Wed Thu Fri Sat (Hour) 11 10987654321 2322212019181716151413 12 (Military time)
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5. The loss of this function would have the following legal ramifications due to regulatory statutes, contractual agreements, or law: (Specify the area of exposure)
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From page 54... ...
In all categories, ask yourself a variety of questions about such things as vendor and partner agency agreements or relationships, software and supplies/equipment issues, workstation needs, vital records and documents required, and communications with agency personnel and system customers. Area of Responsibility: Example Responsibility: Highway Maintenance Essential Function: Example: Field verification of detour signage in place when a little used route is needed due to some emergency and emergency repair/placement/replacement.
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From page 55... ...
needed to lead the essential functions and the support positions necessary to carry it out. Assume for this exercise that you have access to all personnel at the time you need all personnel.
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after disruption) Essential Functions
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Area of Responsibility: Essential Function: Example: Relocating a purchasing office from a central location to a field location, so that emergency purchasing can be accomplished Example: 3 Required for three PCs and one networked printer Land line telephone, modem access to the internet and remote accessibility to a Wide Area Network, along with access to shared servers, would handle communication. A space no less than 180 square feet, and include chairs and desk/table arrangements for three persons Number of Personnel Human Needs (special)
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From page 58... ...
, leases, occupancy and cooperative agreements, and contracts with other entities for facility use. Area of Responsibility: Essential Function: Example: Acme Fire Hall MOU 5/5/55 $1200 Fire Hall has access to radio as well as land line phone; 450 square feet with access for persons with disability.
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From page 59... ...
of Personnel Sleeping Food Transportation Vendor Agreements Support Services
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Area of Responsibility: Essential Function: Number of Personnel Security Details Example: Fire Hall, 555 Security Drive, FiftyFive, PA 55555 Call 717-555-5555 25 at a time Two locked doors; fenced yard; no need for guard unless civil unrest or perceived threat is expected Lock down cage 15x50 feet fireproof, stores materials in advance, only keys at Acme Transit office, local police department – NO SECURE PARKING ON SITE. Secure Storage Needs and Availability Alternate Facility
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61 WORKSHEET 22: TRANSPORTATION AGENCY ALTERNATE FACILITIES Alternate Facility Serves as a Replacement for This Primary Facility Street Address Contact Information Special Conditions or Circumstances
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. Area of Responsibility: Essential Function: Office Phone: Home Phone: Cell Phone: Pager: Email: Home Address: Office Phone: Home Phone: Cell Phone: Pager: Email: Home Address: Office Phone: Home Phone: Cell Phone: Pager: Email: Home Address: Office Phone: Home Phone: Cell Phone: Pager: Email: Home Address: Office Phone: Home Phone: Cell Phone: Pager: Email: Home Address: Office Phone: Home Phone: Cell Phone: Pager: Email: Home Address: Name/Title Contact Information Team Assignment?
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From page 63... ...
63 WORKSHEET 24: MATRIX FOR LISTING DELEGATION OF AUTHORITY In developing this list, the transportation agency can review its pre-delegated authorities for making policy determinations and decisions at headquarters, field levels, and other organizational locations, as appropriate. Triggering Conditions Example: Suspension of Regular Bus Service General Manager Physical absence AND inability to reach by pager and/or cell phone Position Title Holding Authority Type of Authority
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From page 64... ...
Position Holding Authority: Rules Procedures Limitations If General Manager is physically absent from the facility AND can't be reached by pager or cell phone within 30 minutes Assistant GM is contacted for decision; In her absence, Operations Manager is contacted; In his absence, etc. No service schedule changes may be announced without prior consultation with emergency management agency, and subsequent to the change, normal media contacts
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From page 65... ...
Example: Chief Executive Officer Chief Information Officer Absence of CEO and inability to contact CEO overall responsibility and direction Example: Chief Information Officer 1. Deputy CIO; 2.
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Accessible at Alternate Facility? Available from original or alternate source?
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Company Name Contact Name Address / Phone Services Example: Data Recovery Systems, Ltd. Main contact: Bill Jones Alternate contact: Mary Smith W: 12 South St., Fifty-Five, PA (555)
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From page 68... ...
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: Voice Lines Fax Lines Data Lines Cellular Phones Pagers Email Internet Access Instant Messenger Services Personal Digital Assistants (PDAs)
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From page 69... ...
Examples of preventive controls might be uninterruptible power supplies, generator back-up, water sensors, etc. Facility: Primary Alternate Optimal Preventive Controls Voice Lines Fax Lines Data Lines Cellular Phones Pagers Email Internet Access Instant Messenger Services Personal Digital Assistants (PDAs)
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From page 70... ...
For example, radios could be an alternative mode of communication for voice lines. Voice Lines Fax Lines Data Lines Cellular Phones Pagers Email Internet Access Instant Messenger Services Personal Digital Assistants (PDAs)
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From page 71... ...
Element 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 Where It Is Addressed (cite procedure, rule, checklist, etc.) Personnel Preparedness
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From page 72... ...
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. Item/Description OVERARCHING ITEMS Y N Plan objectives are clearly stated in the opening of the plan Y N Provisions for the protection of critical equipment, records, and other assets are included in the overall planning process Y N Provisions are included which maintain efforts to minimize human loss,damage and losses of resources Y N Considerations for an orderly response and recovery from any emergency 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 Have I planned for?
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From page 73... ...
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 Y N Reliable processes are in place to acquire additional resources to sustain operations for 30 days Y N Documentation of all supporting procedures and/or checklists Y N Procedures in place to notify customers, of new work location, phone numbers, re-route US mail, etc. Y N The COOP plan contains updated appendices with detailed
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From page 74... ...
74 information on specific procedures, contact names, numbers always up to date Y N Provisions are included for the preparation and pre-positioning off-site ofdrive-away kits Y N Measures are included in the planning which address pay status, administrative leave, and layoffs Y N Information has been included which provide guidance to personnel on medical, special needs, and travel issues Y N The physical security of the primary facility during the COOP activation and operations has been addressed within the COOP plan or procedures TRAINING PERSONNEL, TESTING THE PLAN, KEEPING PLAN UP TO DATE Y N Training and orientation curriculum has been developed which creates awareness and enhances the skills of the agency's personnel Y N Training is developed which ensures that the key leadership are preparedto perform their emergency duties Y N Training plan addresses knowledge and skills sets Y N The COOP plan contains a comprehensive test, drill, and exerciseprogram Y N Provisions are included for periodic test of the alert and notificationprocedures Y N Periodic exercises of operational plans, alternate facilities, andinteroperable communications are incorporated into the COOP plan Y N Periodic validation and test are included for equipment at the alternatefacility in the COOP plan Y N A remedial action plan/process has been established which incorporateslessons from the test, training, and exercise program Y N Procedures are included which ensure that this plan will be maintained at a high level of readiness
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