Continuity of operations/continuity of government for state-level transportation organizations.

Edwards, Frances L.; Goodrich, Daniel C. · 2011 · ROSA P / Mineta Transportation Institute

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Summary

This report addresses the critical need for state-level transportation agencies (State DOTs) to integrate Continuity of Operations/Continuity of Government (COOP/COG) planning with the National Incident Management System (NIMS). While federal mandates like Homeland Security Presidential Directive 20 require all government agencies to maintain COOP/COG plans, existing guidance lacks specific direction for State DOTs. These agencies face unique challenges, including responsibility for the entire State Highway System and the need to support essential functions tied to the State DOT Director’s role in the Governor’s cabinet. The study was motivated by the failures observed during Hurricane Katrina, where the breakdown of transportation infrastructure and government continuity hindered emergency response and recovery. The research was conducted over two years in partnership with the California Department of Transportation (Caltrans) and funded by the U.S. Department of Transportation and the Department of Homeland Security. The methodology involved analyzing federal guidelines, such as Continuity Guidance Circulars 1 and 2, and piloting training materials across eleven of Caltrans’ districts. The authors developed a hybrid organizational model for Emergency Operations Centers (EOCs) that combines FEMA’s Incident Command System (ICS) with Emergency Support Functions (ESF). This approach was tested through practical exercises and scenarios to determine how COOP/COG activities could be effectively coordinated with field-level emergency response. The primary finding is a proposed organizational structure where the COOP/COG function operates as a branch within the Management Section of the State DOT’s EOC. This placement ensures that continuity planning is supervised by the same executive overseeing the EOC’s Operations, Logistics, Planning, and Finance/Administration sections, thereby improving coordination between emergency response and internal agency continuity. The report provides specific tools to implement this structure, including a prioritized list of essential functions, personnel position descriptions for the COOP/COG Branch, and comprehensive training materials. These materials include EOC position checklists, scenario-based exercises, and "drive-away kit" lists to help staff customize their roles for disaster scenarios. The significance of this work lies in its provision of actionable, standardized guidance for State DOTs to meet federal mandates while addressing their specific operational needs. By aligning COOP/COG with the NIMS framework, the report helps ensure that transportation agencies can maintain essential services—such as road maintenance and emergency access—during disasters. This integration supports a more resilient emergency management system, facilitating better communication between field responders and agency leadership, and ensuring that the transportation infrastructure remains functional to support broader community recovery efforts.

Key finding

The report establishes a structural model where COOP/COG functions are integrated as a branch within the EOC Management Section, supported by specific training materials and position checklists piloted by Caltrans.

Methodology

mixed_methods

Sample size: 11

Provenance

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