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A-1 APPENDIX A ALBANY, NEW YORK, CASE STUDY 1 SUMMARY 2.2 Acknowledgments The Albany, New York, region provides a wealth of expe- The key contributors to the Albany, New York, case rience and advances in transportation and public safety infor- study are mation sharing. Transportation and public safety agencies have close working relationships in this region and have deployed Mr. Daniel W. Howard, P.E., Civil Engineer, NYSDOT or tested a wide variety of information-sharing applications. (also NCHRP Panel Member); The agencies included in this case study are the New York Mr. Raymond W. Engel, Traffic Supervisor, NYSTA; State Department of Transportation (NYSDOT), the New Staff Sergeant Gerard McGreevy, Communications York State Thruway Authority (NYSTA), the New York State Supervisor, NYSP; Police (NYSP) and the Albany Police Department (APD). Commander Leonard J. Crouch, Special Operations, The Albany region has a number cooperative frameworks APD; and for coordinating public safety and transportation operations. Mr. Keith Biesecker, Senior Principal, Mitretek Systems, The unusual situation of two highway operating agencies with Inc. (Broadband Wireless Integrated Service Prototype). overlapping jurisdiction, each supported by different divi- sions of a law enforcement agency, underscores the need for close coordination in the region. Methods of sharing traffic incident management (TIM) 3 INTRODUCTION information included the following: The Albany, New York, region provides a wealth of expe- rience and advances in transportation and public safety infor- Face-to-Face--NYSP and transportation agency staff mation sharing. NYSDOT and NYSTA have established close are co-located at two sites. institutional and operational relationships with NYSP. These Remote Voice--NYSP and transportation agency staff relationships go beyond sharing information to include shar- share radio channels on the Thruway; service patrol vehi- ing facilities and other resources. cles can access some Emergency Medical Services (EMS) NYSDOT and NYSTA collect traffic incident and other and NYSP radio channels. Key personnel use commer- operational data through their intelligent transportation sys- cial wireless "talk groups" on a limited basis. Electronic Text--A computer-aided dispatching (CAD) tems (ITS) deployments. These agencies have tested and are presently using a wide range of technologies for sharing system is shared by NYSP and NYSTA. Other Media and Advanced Systems--Freeway data, this information between themselves and with public safety agencies. images, and video are shared remotely through a proto- type broadband system. 3.1 Institutional Framework 2 BACKGROUND Two transportation agencies and two public safety agencies 2.1 Albany, New York, Selection were studied. Their roles and responsibilities relating to traffic operations and incident response are briefly described below. The Albany, New York, region was selected by the NCHRP committee for further investigation. Two transportation agen- cies (NYSDOT and NYSTA) and two public safety agencies (NYSP and APD) were the focus of the study. The operational 3.1.1 NYSDOT boundaries of the NYSDOT capital region overlap with the Thruway system in and around Albany, New York (see Fig- The NYDOT headquarters is in Albany, and the agency has ure 1). NYSP supports operations along the NYSDOT and 11 regions across the state. The Capital Region, which encom- NYSTA roadways and receives all cellular 911 calls. APD passes Albany, contains 5,300 miles of highways and serves patrols the local roadways in the region, receives all landline approximately 1 million customers residing in 9 cities, 45 vil- 911 calls, and dispatches fire and EMS responders for all lages, and 108 towns. NYSDOT and NYSP share a trans- emergencies, including those on the NYSDOT and NYSTA portation management center (TMC) located in the NYSP roadway system. division headquarters building.

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A-2 NYSDOT Capitol Region (Region 1) Thruway System Thruway System NYSDOT Capitol Region Operational Boundary Figure 1. Albany, New York, region. 3.1.2 NYSTA emergency requests for service and administrative calls. The Communications Division dispatches all calls for APD and The New York State Thruway, officially named "The Gov- the Albany Fire Department, oversees the radio and tele- ernor Thomas E. Dewey Thruway," is a 641-mile superhigh- phone systems on a citywide basis, and operates a CAD sys- way crossing the state of New York. The highway is operated tem on a countywide basis. by NYSTA, an independent public corporation created in 1950 by the state legislature and established to build, oper- ate, and maintain the Thruway system. 3.2 Interviews Face-to-face interviews were conducted October 2829, 3.1.3 NYSP 2002, in Albany. Sessions were held with staff of each key agency. Other personal communications were made prior to NYSP is one of the largest law enforcement agencies in and following the field visit. The staff members who were the United States, providing a full range of law enforcement interviewed included the following: and public safety services across the state. Uniformed troop- ers patrol various geographic regions of the state and are the NYSDOT: Daniel W. Howard, Civil Engineer; Brian S. first responders to most calls for police services on the high- Menyuk, Civil Engineer. ways. NYSP is organized into a division headquarters (in NYSTA: Raymond W. Engel, Traffic Supervisor; Albany) and 11 separate troops, two of which serve the Albany Christopher W. Jones, Director, Bureau of Intelligent region. Troop G is responsible for 10 counties, including the Transportation Systems; Kevin M. Tuffey, Director of Albany Capital Region. Troop T has exclusive policing Travelers' Information Systems. authority within its service area, which includes the entire NYSP: Staff Sergeant Gerard McGreevy, Communica- New York State Thruway. Troop T specializes in highway tions Supervisor. and canal operations and relies on other troops for investiga- APD: Commander Leonard J. Crouch, Special Opera- tive or other special functions. tions; Bill Trudeau, Traffic Engineering Technician. 3.1.4 APD 3.3 Agreements and Formal Programs There are four patrol stations and several specialized units NYSTA and NYSDOT have each instituted various agree- in APD. The Communications Division is the Public Safety ments, including memoranda of understanding (MOUs) with Answering Point (PSAP) for the city of Albany, handling all the NYSP. In 1954, NYSP established a state police unit landline 911 calls. Additionally, the division handles all non- dedicated to the Thruway. This unit evolved into Troop T.

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A-3 NYSDOT and NYSP signed an MOU in February 1995 estab- Electronic Text--Lower-bandwidth interconnection lishing an incident management program for I-87. In 1997, applications, such as electronic messaging and access to these agencies agreed to develop and operate an incident CAD systems or record management systems (RMSs). management center. This facility is now known as the Capital Other Media and Advanced Systems--Higher- Region Transportation Management Center. Copies of these bandwidth options, such as video and other imaging sys- agreements are available from the agencies involved. tems, and integrated systems, such as advanced traffic NYSTA and NYSDOT recently completed a formal agree- management systems. ment to allow the exchange and use of certain types of infor- mation between themselves. 4.2 What Agency Combinations Were Included? 4 INFORMATION-SHARING METHODS There are three primary transportationpublic safety "pair- ings" for traffic incident information sharing in the Albany 4.1 What Information and Methods of Sharing Capital Region: NYSDOT-NYSP Troop G, NYSTA-NYSP Were Considered? Troop T, and NYSDOT-NYSTA. Although NYSDOT- NYSTA is fundamentally a transportation-transportation This study examined how the following types of traffic pairing, information sharing between these agencies has incident information were shared: recently increased in quality and quantity and provides the conduit for NYSDOT-NYSP Troop T and NYSTA-Troop G Detection and Notification--Such information engages communications when needed. TIM-related information public safety resources, enabling rapid medical care to sharing involving APD is also noted where appropriate. save lives and minimize injury consequences and reduc- The methods of sharing TIM information in the Albany ing transportation infrastructure disruption. region are summarized in Table 1. Details are provided in the Response Information--Traffic conditions, resource following sections. location, and incident details speed the delivery of the optimal emergency resources to the scene. 4.3 Information-Sharing Methods in the Albany Incident Management--Incident scene status and Capital Region resource coordination information support emergency responder safety and can hasten incident stabilization, Overviews and specific examples of TIM-related informa- investigation, and clearance. tion sharing are identified and described below according to the categories listed in Section 4.1. For the purpose of this case study, the results are grouped according to categories of traffic incident information-sharing 4.3.1 Face-to-Face Methods methods. These methods and some examples are as follows: In the Albany Capital Region, NYSDOT and NYSTA each Face-to-Face--Personal communication where staff support joint operations centers with NYSP. The TMC and from different agencies share office space (such as joint the Thruway Statewide Operations Center (TSOC) are the operations centers or mobile command posts). flagships for transportationpublic safety information shar- Remote Voice--Common options (such as telephone, ing in the Capital Region. The centers enable the rapid face- land mobile radio, and facsimile machines) that are to-face sharing of incident detection and status information readily available to support operations within most trans- and allow coordinated response and management of the traf- portation and public safety agencies. fic incident or other emergencies. TABLE 1 Overview of TIM Information-Sharing Methods in Albany Other Media Agencies Involved Face-to-Face Remote Voice Electronic Text and Advanced Systems NYSP-NYSDOT Yes Yes No Yes NYSP-NYSTA Yes Yes Yes Yes NYSDOT-NYSTA No Yes Yes Yes APD-NYSDOT No Limited No Limited APD-NYSTA No Limited No No

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A-4 Other face-to-face traffic incident information-sharing NYSP headquarters personnel handle those 911 calls, dis- frameworks include on-scene coordination and planning task patch Troop G officers, and coordinate with other public forces. These are not considered in more detail here. On-scene safety agencies to respond to those calls. Having the NYSP coordination is ad hoc, transitory, and common to incident wireless 911 call center located in the TMC facilitates traffic scenes across the United States. Various traffic-planning task incident response, as cellular calls from motorists are a grow- forces in the Albany region, including the Capital Region Traf- ing source of incident notification information. Since wire- fic Management Task Force and the Saratoga-Warren Traffic less calls can come from any location within the region, Incident Management Task Force, provide the basis for coor- NYSP transfers nonfreeway cellular calls to the ADP PSAP. dinated incident management, but are not directly involved in Calls dialed from the Thruway are received at either the the real-time sharing of incident detection, response, or scene NYSP PSAP (for wireless calls) or the APD PSAP (for land- management information. line calls). These calls must then be transferred to the Thruway Statewide Operations Center (TSOC) for dispatch 4.3.1.1 NYSDOT-NYSP Transportation Management and response operations. Center. Jointly operated by NYSDOT and NYSP, the Trans- NYSP also coordinates all Amber Alerts from this loca- portation Management Center (TMC) is physically located in tion. The Amber Alert plan is a voluntary partnership among the NYSP headquarters building on the state office campus in law enforcement agencies, broadcasters, and other agencies Albany (see Figure 2). NYSP Troop G works closely with to disseminate an Alert bulletin in qualifying child abduction NYSDOT personnel to support commuter assistance, incident cases. Transportation agencies can support the alert distribu- management, and law enforcement operations within the Cap- tion through variable message signs, highway advisory radio, ital Region. As of 2003, this is one of two NYSP traffic oper- and other traveler information services. ations centers in New York. As would be expected in a joint agency facility, the pri- 4.3.1.2 NYSTA-NYSP Thruway Statewide Operations mary method of information sharing between NYSDOT and Center. Communications for the whole Thruway are cen- NYSP staff at the TMC is face-to-face voice communica- tralized in the Thruway Statewide Operations Center (TSOC) tions. This is supplemented by NYSP access to the NYSDOT at NYSTA headquarters in Albany. The TSOC is operated advanced traffic management system (see Section 4.3.4.1). 24 hours a day, 7 days a week and is the central reporting and NYSDOT personnel at the TMC control vehicle and speed dispatching point for all incident and traffic management detectors, traffic cameras, message signs, highway advisory activities along the system. radios, and other field devices throughout the region. They dis- Transportation and public safety operations are more inte- patch DOT work crews and Highway Emergency Local Patrol grated at the TSOC than at the TMC. While both centers (HELP) vehicles when appropriate. In conjunction with local co-locate NYSP and transportation staff, NYSTA and NYSP transit agencies and private traffic-reporting firms, NYSDOT operations are more closely coupled at the TSOC. Notably, personnel also disseminate information to the commuters in NYSTA provides 100 percent of the funding for Troop T ser- vices on the Thruway. Equally important, traditional trans- the area. NYSDOT personnel staff the TMC 7 days a week portation and public safety functions have been combined during normal operating hours. NYSP provided staff 24 hours and assigned to NYSTA staff. In this unusual, but effective a day, 7 days a week. arrangement, NYSTA personnel dispatch Troop T officers The TMC also houses the Public Safety Answering Point for all traffic-related operations and emergency events. These (PSAP) for all wireless 911 calls in the Capital Region. dispatchers, like their NYSDOT counterparts in the TMC, also monitor traffic cameras for incidents that could affect operations and operate highway advisory radio and variable message signs. However, there are criminal justice activities and other law enforcement functions that NYSTA staff are not authorized to perform. NYSP troopers, also located at the TSOC, handle all nontraffic calls and coordinate law enforce- ment activities with other public safety agencies. 4.3.2 Remote Voice Methods Each of the four agencies covered in this case study has procedures and policies in place for interagency telephone notification and coordination for major incidents and emer- gencies. Key personnel from some of the agencies can also coordinate with points of contact at other agencies via a com- Figure 2. The Transportation Management Center. mercial wireless push-to-talk Nextel network. At the opera-

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A-5 tions centers, these agencies also monitor each other's rele- clearance are the main focus of the HELP program. By quickly vant radio communications. Some field personnel from the identifying and responding to incidents, the HELP truck oper- transportation agencies can access pertinent public safety radio ators are able to minimize the effect on the traveling public. channels. Each HELP operator is required to go through training and background checks prior to beginning employment and is also 4.3.2.1 Telephones. The public switched telephone net- trained and certified in first aid and CPR. work (PSTN) is the primary means of communication between In the Albany region, NYSDOT HELP vehicles have NYSP NYSDOT and NYSTA (and consequently, their respective radios on board and can access an EMS channel also. Outside NYSP troops). TSOC and TMC personnel notify each other the region in Hudson Valley, HELP vehicles have limited about incidents and coordinate traffic management activities access to NYSP radios and data systems for incident details. over the phone. Facsimile machines are used to supplement NYSP uses other channels to communicate with Troop G field PSTN communications. Increasingly, more advanced, multi- units. Both NYSDOT and NYSP use the system to commu- media capabilities are being used in conjunction with voice nicate with other public safety entities. coordination (see Section 4.3.4). Likewise, TSOC personnel use NYSTA's LMR to commu- The commercial wireless technology industry offers pub- nicate with and monitor the field units. This system employs lic agencies a growing number of options for enhancing their radio control and monitoring mechanisms similar to those existing communications and interoperability. Agencies in used by the system in the TMC. On the Thruway system, the Albany region are providing cellular phones and espe- however, transportation and public safety field staff use a cially enhanced specialized mobile radio (ESMR) services, shared LMR system. such as Nextel's push-to-talk capability, to link key person- The NYSTA LMR is a 450-MHz repeating system. By way nel. ESMR is a commercial service that provides digital dis- of various base stations, both repeating and nonrepeating sys- patch, cellular, and paging services through a single network. tems allow mobile units to receive radio transmissions from a ESMR relies on advanced proprietary technology; there is no central command facility (e.g., dispatch at the TSOC). How- common, industrywide standard. ever, repeating systems also allow other mobile units to As part of a broadband communications prototype, a receive audio from the transmitting mobile unit (i.e., repeating NYSTA-NYSDOT phone network was established. Five lines systems allow one to monitor the entire conversation between were provisioned with five-digit extensions, and one line was dispatch and the mobile unit; nonrepeating systems do not). set up such that the phone on either end would ring its coun- APD operates an 800-MHz repeating system. APD also shares the radio system used by the NYSP Capitol Region terpart at the other facility when taken off hook--a hotline. detail, as each agency has overlapping policing responsibilities. During the prototype demonstration, the hotline phone has been used by various TMC and TSOC personnel to exchange time-critical incident management and law enforcement 4.3.3 Electronic Text Methods information. The extensions were used to support noncritical activities, such as coordinating routine traffic management Text pagers, Nextel text messaging, and email are used by activities. some individuals to communicate within their agencies. How- ever, these applications are not key means for sharing TIM 4.3.2.2 Land Mobile Radio. NYSDOT, NYSTA, and information with other agencies. CAD systems, while also not NYSP use land mobile radio (LMR) systems to coordinate yet a key method for interagency information sharing, may routine and emergency activities. While using different radio become primary components of information-sharing networks systems, each of these agencies often monitors the others' in the near future. Such information sharing, at least initially, radio activity, particularly when relevant to the operations. is expected to be in the form of text messaging. The Capitol Region TMC has access to a 155-MHz, very CAD systems provide automation support for tracking high frequency (VHF), nonrepeating LMR system with chan- incidents or other events and resources allocated to the emer- nels allocated to public safety, state police, NYSDOT, and gency scene. Each transaction is logged into a database and other groups and functions. They also have access to the available for later retrieval and analysis (required by law for Capitol District Emergency Radio Network (CDERN), oper- certain agencies and jurisdictions). Advanced systems include ating at 460-MHz ultra high frequency (UHF). Within the graphical maps, the ability to locate vehicles automatically, TMC, the use of these channels is managed by a PC-based and mobile data terminals in vehicles. radio control and monitoring system. Two of the four agencies included in this case study oper- TMC operations personnel use specific channels to coordi- ate CAD systems, and NYSP plans to procure a CAD for its nate with DOT field units (e.g., freeway service patrols). Ser- operations at the TMC. However, these CAD systems are not vice patrol vehicles (e.g., HELP vehicles) are contracted by interoperable. Most existing CAD systems are proprietary NYSDOT to offer motorist assistance to vehicles traveling on and are not designed to exchange information with CAD sys- limited-access public roadways. The program is coordinated tems offered by other vendors, let alone with transportation and monitored by the TMC. Incident detection and incident systems. Additional challenges are posed by variations in for-

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A-6 mats and protocols for data and for messaging and different system standards in the transportation and public safety com- munities. In their roles as PSAPs, NYSP and APD each employ tech- nologies for managing 911 calls and emergency response. NYSP and APD can transfer calls between themselves through the 911 network. For example, NYSP receives all cellular 911 calls for the region at the TMC. The nonhighway calls are transferred to the APD PSAP for response. The APD PSAP is also notified about traffic incidents, as the PSAP dis- patches APD officers and fire apparatus to all crashes in its jurisdiction. These and other calls are routed as necessary to other local public safety agencies, twelve of which share access to the APD CAD system. In August 2002, NYSTA installed a CAD system for the Figure 3. MIST incident report information. Thruway. The CAD system supports the dispatching of NYSP and NYSTA resources on the Thruway. NYSDOT does not yet have access to CAD information. However, in the Lower select predefined variable message sign messages and to mon- Hudson Valley, NYSDOT Region 8 and the NYSP are build- itor predefined camera views while performing other system ing a new joint TMC. The new NYSP CAD system in this management functions. region will be integrated with the TMC's advanced traffic NYSTA and APD dispatchers can view NYSDOT traffic management system (ATMS). This is one of a number of proj- cameras, review incident reports, monitor loop detectors, and ects throughout the country that are helping define the state do other applications, and they have a limited incident data of the practice in CAD-TMS integration. entry capability. However, NYSTA and APD personnel can- not control any NYSDOT field device. NYSDOT has developed applications that synthesize 4.3.4 Other Media and Advanced Systems information from the system for use internally and by other agencies. "Snapshots" is an application that collects still The transportation and public safety agencies in the Albany images from its traffic video cameras. These images, as shown region employ a wide range of surveillance and communica- in Figure 4, are then viewable through any standard network tions technologies. Much of the information generated by browser and are refreshed every 30 seconds. "Speedmap" these systems can be useful for transportation operations such collects traffic flow statistics from loop detectors and other as detecting and responding to incidents, managing traffic, sensors throughout the region. This information is then dis- and informing travelers. Some of the data, such as video and played in graphical form (i.e., a map with color-coded road- still images, are shared between agencies through local and ways that has different colors to represent different levels of remote access to the systems described below. congestion). Like the Snapshots imagery, these data are stored on a network server, refreshed every 30 seconds, and view- 4.3.4.1 Traffic Management Systems. NYSDOT and able through any standard network browser. This informa- NYSTA control and monitor various field devices and man- tion is also available in text form. While currently limited to age freeway traffic throughout the Capital Region. These sys- tems are shared broadly with their partner NYSP troops and to a lesser extent with other public agencies. NYSDOT "Management Information System for Trans- portation." MIST (Management Information System for Transportation) is a freeway management software platform developed by PB Farradyne. The MIST system provides a variety of functions, including control of variable message signs and closed-circuit television (CCTV) cameras. The system is also used to monitor traffic and roadway conditions by assembling data from different vehicle and roadway detectors. MIST uses map displays and windows-based text reports to support user operations, as shown in Figure 3. The MIST system can also store incident response plans. This feature helps facilitate operations by allowing users to Figure 4. "Snapshots" images via web browser.

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A-7 use by public agencies, NYSDOT intends to make Snapshots operations centers. The MSADs were used to establish a multi- and Speedmap information available to the public via the service network that supported simultaneous interchange of Internet. voice, data, and video services in a cost-effective manner. Data encryption was established by the wireless compo- NYSTA Freeway Management System. NYSTA has similar nent, and a firewall was added to provide access control and roadway surveillance and traveler communications technolo- authentication. gies--cameras, detectors, highway advisory radios (HARs), These services were used to provide for various interagency and variable message signs--as described for NYSDOT. operations, including the following: However, these resources cannot presently be shared with other agencies except through the prototype communications Shared Traffic Management--The prototype deploy- system described in the following section. ment allowed NYSTA to access the NYSDOT MIST system and monitor conditions on NYSDOT highways. 4.3.4.2 Broadband Wireless Integrated Service. Broad- Likewise, the Thruway's traffic management system band wireless technologies enable high-speed, untethered information was available to NYSDOT. communications. The USDOT ITS Joint Program Office Traffic Video Exchange--Both agencies use many (JPO) partnered with NYSDOT, NYSTA, and NYSP to different traffic cameras to support their traffic man- demonstrate the benefits of such high-speed communications agement functions. The prototype allowed shared video for traffic management operations. Under contract to JPO, feeds, both networked packet video and synchronous Mitretek Systems successfully linked the NYSTA TSOC and channelized video. the NYSDOT TMC with the Broadband Wireless Integrated Voice Communications--Dedicated voice links (both Service prototype (see Figure 5). The prototype has two pri- "off-hook" and "one-button") were used. mary components: the broadband wireless system and the Video Teleconferencing--Video teleconferencing multiservice access device (MSAD). The wireless system pro- sessions (either desktop-to-desktop or through video vided a 23-megabits-per-second (Mb/s) link between the two teleconferencing units) were tested to facilitate better communications during common incident management situations and special events. Public Safety Radio Extension--A direct audio feed from the Thruway's radio communication system was provided to NYSDOT and NYSP Troop G personnel at the TMC. A similar audio feed from the TMC radio communication system was provided to both NYSTA and NYSP Troop T personnel at the TSOC. Data Sharing and Desktop Multimedia--A local area network (LAN) extension was used to support the exchange of documents and desktop multimedia. This capability allowed the agencies to better coordinate mutual activities, such as emergency response traffic Figure 5. Broadband wireless integrated service. routes and less time-critical administrative efforts.