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F-1 APPENDIX F SALT LAKE CITY, UTAH, CASE STUDY 1 SUMMARY the UHP personnel. A similar close working association exists between them and the other emergency responders. There Information sharing between transportation agencies and was a comfortable familiarity among all of the responders, public safety agencies in Salt Lake City is beneficial, per- who all functioned quickly and efficiently within an implicit, sistent, mature, and effective. Relationships between the two but well-understood, command and control structure. communities are mutually reinforcing and exemplified by the good fit between them at all levels. Of particular inter- est, the Utah Department of Transportation (UDOT) was 2 ACKNOWLEDGMENTS able to take advantage of the Winter Olympics event being held in Salt Lake City soon after the terrorist incidents of The research reported herein was performed under NCHRP September 11, 2001, and upgraded many of its systems and Project 3-63 by Mitretek Systems, Inc. The principal inves- operations to a high degree of readiness. Also, much of the tigators for this project are Kevin Dopart, Manager, and Ken technical integration challenges were avoided by incorpo- Brooke, Principal Engineer. The other researchers on this rating UDOT and the Utah Highway Patrol (UHP) into the project were Aimee Flannery (now Assistant Professor, George same radio communications and computer-aided dispatch- Mason University, Fairfax, Virginia) and Ted Smith, both ing (CAD) systems. Field personnel were unusually tightly Lead Engineers at Mitretek Systems. The principal author of integrated and work exceptionally well together at the scene this case study is Ken Brooke. of highway incidents. The authors would like to thank and acknowledge the fol- lowing individual contributors from Salt Lake City. Without 1.1 Incorporative, Rather their ready, willing, and enthusiastic participation, this case than Integrative, Approach study would not have been possible. Transportation operations have been brought within the Carol J. Groustra UHP radio communications system, and transportation per- Director sonnel have been provided nearly fully functional mobile Utah Communications Bureau computer terminals connected with the UHP CAD system. By so doing, Salt Lake City has brought transportation and Adrian Ruiz public safety together under the same communications and Manager information systems, thus avoiding the challenges of inte- Salt Lake Communications Center grating disparate systems. The approach has worked well. David Kinnecom Traffic Operations Engineer 1.2 Opportunities Exploited Salt Lake TOC Even though UDOT and UHP already had some working Mack Christensen relationships prior to the terrorist events of September 11, Traffic Operations Engineer 2001, when the Winter Olympics were held in Salt Lake City UDOT Region 2 soon thereafter, both the transportation community and the public safety community responded in unison to prepare for Billy Frashure and counter further threats of this type. Additional means Incident Management Specialist were provided, and, because of the anti-terrorism motive and Salt Lake TOC the Olympics opportunity, an effective working-level rela- tionship was quickly formed and persists to this day. Barbara Barton Shift Supervisor 1.3 Tight Operational Integration Salt Lake Communications Center There is a highly developed operational relationship Sergeant Ted Tingey between the incident management team (IMT) specialists and Utah Highway Patrol

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F-2 3 INTRODUCTION 3.2 Institutional Framework There has been a long and productive institutional and 3.2.1 UDOT operational relationship between the Utah Department of Public Safety (DPS) and UDOT. The relationship was well 3.2.1.1 Salt Lake City Traffic Operations Center (TOC). established concerning traffic management on the Interstate The Salt Lake City TOC (see Figure 1) provides traffic man- and state highways in the greater Salt Lake City region. This agement services to the interstate highways within UDOT relationship was brought even closer with the construction of Region 2. Primarily, the TOC manages traffic using closed- the Salt Lake City Traffic Operations Center (TOC) next door circuit television (CCTV), variable message signs (VMSs), to UDOT Region 2 Headquarters. Part of the motivation for and traffic signal management. The TOC was a Region 2 establishing strong centralized traffic management in the resource until a recent reorganization elevated the TOC to Salt Lake City area was the concern for safety and security at a state-level resource directly under UDOT. Discussions are the 2002 Winter Olympics, particularly because of terrorism underway to expand the traffic management responsibili- concerns in the wake of September 11, 2001. The TOC also ties of the TOC to encompass the entire state. houses the UDPS Communications Bureau (with statewide responsibilities) and the Salt Lake Communications Center, 3.2.1.2 UDOT Region 2. UDOT Region 2 has general which dispatches for both UDOT Region 2 and the DPS state transportation responsibilities for the geographical area Highway Patrol. This close association further integrated the around and including Salt Lake City. use of the emergency services, UDOT construction and main- tenance resources, and automated traffic management sys- tems. Under a recent reorganization, the TOC was reassigned from Region 2 to UDOT headquarters and given statewide traffic management responsibilities. 3.1 Interviews Held Interviews that were held include the following: 1. Telephone contacts, Carol Groustra, Director, Commu- nications Bureau, Utah DPS, (801) 887-3892. 2. Face-to-face, February 14, 2003, David Kinnecom, Traffic Operations Engineer, UDOT, (801) 887-3707. 3. Face-to-face, February 14, 2003, Adrian Ruiz, Manager, Salt Lake Communications Center, UHP, Utah DPS, (801) 887-3840, aruiz@utah.gov. 4. Face-to-face, February 14, 2003, Mack O. Christensen, P.E., Traffic Operations Engineer, Region 2, UDOT, (801) 975-4827, mchriste@dot.state.ut.us. 5. Face-to-face, February 14, 2003, Sergeant Ted Tingey, Public Information and Education, UHP, Utah DPS, (801) 284-5531. 6. Ride-along, February 14, 2003, Salt Lake City Incident Management Team field unit (Billy Frashure, Incident Management Specialist, TOC, UDOT, [801] 910-2910 [cell], [801] 887-3781, bfrasure@utah.gov). 7. Sit-along, February 15, 2003, the Salt Lake City Com- munications Center (Barbara Barton, Shift Supervisor, Salt Lake Communications Center, Communications Bureau, Utah PDS, [801] 887-3800). Material for this case study was also taken from the Salt Lake Area Advanced Traffic Management System's Traffic Operations Center Operations Manual (December 2002) and the Salt Lake Area Advanced Traffic Management System Design Report (August 1999), both published by UDOT. Figure 1. Salt Lake City TOC.

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F-3 3.2.2 Utah DPS phones, and a great deal of face-to-face conversation. Inci- dent response teams are fully equipped with the necessary 3.2.2.1 UHP. UHP is the state operational law enforce- mobile communications and computer equipment to directly ment organization within Utah DPS. UHP has jurisdiction participate in the public safety CAD network. Dispatchers over the Interstate and state highways within Utah, and UHP have direct visual access to the large TOC video wall dis- troopers normally assume command over highway incidents plays, and TOC console operators can monitor public safety in their jurisdiction. The UHP Bureau II geographical juris- operations through a link with the public safety CAD system. diction is roughly equivalent to UDOT Region 2. No substantial computer integration between transporta- tion and public safety has been necessary. The investigators 3.2.2.2 Communications Bureau. The Communications speculate that years ago, planners chose the low-risk approach Bureau is an element of Utah DPS separate from UHP that of incorporating UDOT field highway operations into the provides dispatching services and communications systems existing UHP systems, rather than building separate systems to Utah DPS and to UHP. The director's office is located at the and integrating them into the UHP systems. The approach Salt Lake City TOC. The Region 2 Communications Center appears to have worked well. is also located in the TOC building and dispatches for both UHP Bureau II and UDOT Region 2, as well as for several other local emergency services under formal memoranda of 4.2 Common CAD System agreement. and Communications System All field units, including UDOT Region 2 construction and 3.3 Agreements and Formal Programs maintenance units, UHP troopers, fire and rescue, emergency medical services (EMS), and UDOT incident management Very early in the process of establishing closer working team (IMT) units share a common 800-MHz trunked radio relationships between UDOT and Utah DPS, the senior lead- communications system. Most, if not all field units are also ership in both departments signed a memorandum of agree- equipped with cellular telephones. Dispatchers, UHP troop- ment between their respective agencies. This expression of ers, IMTs, and traffic management operators all have com- commitment and support proved to be an effective tool for puter terminals connected to the same CAD system. bringing the members of each department closer together. The Specialists in the IMT units have been granted sufficient investigator concluded from observing interactions between access privileges to be able to check the status of disabled the two departments that no paper agreement could have pos- and abandoned vehicles encountered on the highway. In this sibly covered the many close associations that made up day- manner, the IMT specialists are able to confirm that these to-day joint operations. This close working relationship was vehicles are not stolen before rendering assistance to their evidence that the spirit of the agreement was emphasized in occupants. This unusual privilege was extended to the IMT the previous years by senior and midlevel management in specialists in an effort to avoid unwittingly aiding perpetrators both departments, and this spirit has come to be regarded as or becoming involved in a crime in progress. As explained to a native and natural way of doing business together. the investigator, this privilege was extended primarily for the safety of the IMT specialists. 4 METHODS USED IN PRACTICE TO SHARE INFORMATION 4.3 Diligent Radio Traffic Monitoring 4.1 Introduction The IMT units constantly monitor fire dispatch radio chan- UHP manages incidents on the Interstate highways, the nels for information on new highway incidents. Their dis- joint area of concern for UHP and for UDOT. The only patching center (the TOC Communications Center) is a sec- exceptions are either temporary situations, such as when ondary public safety answering point for 911 calls, and the UHP is not yet on the scene, or incidents that might occur in transfer of alarm information regarding some incidents can be unusual circumstances related to extraordinary situations, delayed. The cumulative delay can result in the radio dispatch such as off-highway incidents that affect the highway (such of fire and rescue and EMS units before UHP and IMT units. as with smoke, wildland fire, or plumes or runoff from haz- By obtaining advance notice, IMT units can pre-position them- ardous materials spills). UDOT participates in a support role, selves to more rapidly respond should they be later dispatched. primarily providing motorist assistance and traffic control in This monitoring is a background activity and depends upon the vicinity of an incident scene. The Communications the IMT specialists' knowledge of the other services' opera- Bureau provides dispatching services to both UHP and UDOT. tions and geographical knowledge of the Salt Lake City area. Exchange of information between public safety and trans- Advance warning of potential dispatches can significantly portation is primarily visual and verbal, using radios, tele- speed response.

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F-4 4.4 Field Teamwork UDOT, UHP, and the remainder of the emergency response community. The investigator observed that there is a highly developed operational relationship between the IMT specialists and the UHP troopers and inferred that a similar close working asso- 5.1 Public Comment Postcards ciation exists between them and the other emergency respon- ders. There was a comfortable familiarity among all of the Following each instance of providing motorist assistance, responders, who functioned quickly and efficiently within an the IMT specialist provides the motorist with a stamped post- implicit but well-understood command and control structure. card. The motorist may then fill out the preprinted comment As part of this multidisciplinary team, the IMT units provided form and provide feedback to TOC management regarding traffic control services with a minimum of coordination and the quality and effectiveness of the IMT units. Many of these detailed direction. postcards have been filled out and returned, providing a data- This independent but effective coordinated mode of oper- base of evaluation data. While the investigator did not have ation indicates a long association between Utah DPS and its the opportunity to examine the database, he did hear from sev- troopers and a long association between UDOT and its IMT eral sources that many of those helped did not know that such specialists. These associations have generated a high degree assistance was available. Direct requests for such assistance of confidence in the competence of staff capabilities. The are rare, and many encounters by IMT units are by chance operation mode also shows a great deal of past information during the course of IMT patrols, relays from UHP units, or exchange, to the extent that explicit information exchange is CCTV observation at the TOC. no longer needed except for unusual circumstances. 6 TRAINING STAFF 5 BENEFITS OF INFORMATION SHARING The UDOT and Utah DPS staffs that the investigator met AND CO-LOCATION: PERFORMANCE MEASURES were qualified, competent, and very experienced. They men- tioned only two types of new technical skills outside of their It is difficult to rigorously and precisely measure the ben- main duties that related to exchanging information between efits of information sharing between transportation agencies UDOT and Utah DPS: interfacing with the CAD system and and public safety agencies for several reasons, any one of using the CCTV and VMS systems. Radio system usage did which can invalidate attempts to do so: not appear to be an issue or a challenge for anyone. No baseline, or control group, has been established to provide a basis for comparing current performance 6.1 CAD Skills with former arrangements. Because it would have been extremely difficult, if not impossible, for transportation TOC operators and IMT personnel monitor highway inci- agencies and public safety agencies to ever have con- dents that appear within the Utah DPS CAD system in order ducted separate and isolated operations, it is likely that to provide assistance as required. The CAD system also tracks some information is always shared and exchanged. IMT unit status in the same manner in which it tracks the sta- It is difficult to establish defensible cause and effect tus of the other field units managed in the system. Also, in relationships between information-sharing activities and the event that transportation personnel become aware of an apparent consequences related to improved traffic flow incident before UHP is aware, the transportation personnel or reductions in mortality or morbidity. enter the new incident into the CAD to notify UHP. Recently, It is difficult to quantify the public benefits of sharing IMT personnel have been granted permission to use CAD to information between transportation agencies and public verify that the vehicles being assisted are not stolen or other- safety agencies. Improvements brought about through wise of interest to law enforcement. cooperative highway activities are often difficult to Currently, transportation personnel only need relatively express in economic terms, such as reductions in costs limited CAD skills; however, their involvement is growing in or improvements in revenue. scope and complexity as traffic management becomes more and more integrated into highway law enforcement. Given the No specific examples of benefit reporting was obtained increasing assimilation of traffic management into the overall from the TOC in Salt Lake City that could highlight the per- highway incident approach, it is reasonable to project the need formance measures and benefits attributable to information for more comprehensive CAD skills among transportation sharing between public safety agencies and transportation personnel to support their evolving operational role. Utah DPS agencies. The investigators feel that there is nevertheless a could benefit from creating a new pool of qualified CAD substantial, albeit unquantified, public benefit that is intu- operators who could serve as a backup resource in times of itively attributed to the close working relationships between overload, such as during major incidents or disasters.

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F-5 6.2 CCTV and VMS Skills lap to a large extent, but relationships are not uniform every- where. For example, UHP contracts with local law enforce- When significant incidents occur, available CCTV imagery ment to provide services in some of the area. Also, roadways is usually shown on the TOC video wall, which is in sight of other than the Interstates, U.S. highways, and state highways both TOC operators and dispatchers. There did not appear to may be handled by local organizations. The effects of high- be any issue regarding who accomplished the task--if TOC way incidents can spread through all jurisdictions, which can operators were on duty, they did it, and if not, the dispatch- require the formation of ad hoc multiparty efforts involving ers did it. TOC operators had more experience than the dis- outside agencies. patchers in operating the controls and were probably less dis- The recent elevation of the TOC and expansion of its traffic tracted by other activities, but either could do and did the job. management responsibilities to a statewide scope will present significant institutional challenges in the future, as new rela- tionships are established with the other UDOT regions, UHP 6.3 Job Qualifications, Skills, and Knowledge Bureaus, and Communications Bureau Dispatch Centers. The investigator found no impediments to information exchange between UDOT and Utah DPS that could be attrib- 7.2 Technical Challenges uted to limited staff training. However, there does appear to be forthcoming opportunities to objectively document require- No significant technical challenges were noted that mate- ments for staff competencies that facilitate this vital informa- rially affected the exchange of information between trans- tion flow. portation agencies and public safety agencies. This lack of TOC operator positions are currently manned by TransCore significant technical challenges is unusual in any large oper- employees under a contract to UDOT. In an effort to gauge the ation and very unusual when large organizations attempt to skill levels of currently assigned staff versus required compe- work together. In fact, the lack is extraordinary, considering tencies, UDOT recently administered objective evaluations of the amount of technology in use, the wide area of coverage, those assigned to these positions. Position descriptions have and the urgency exhibited by most users. also been prepared for these positions, should they be con- verted to state civil service positions. Such a staffing conver- sion will more firmly link required job skills, knowledge, and 7.3 Procedural Challenges experience to the demands of these positions. It should also The investigator did not notice any significant procedural better link these competencies to the contents of the current challenges that rose to levels that jeopardized any participat- TOC operations manual, which has been developed over the last few years while these services have been provided by con- ing organization's mission objectives. tractors. This should better incorporate the requirements for TOC operators to be proficient in CAD usage. 7.4 Conflict Resolution Processes Dispatchers in the TOC Communications Center have been provided the means to control CCTV cameras and to post No significant conflicts were noted, and no staff highlighted VMS messages directly from their consoles. A few dispatch- the use of conflict resolution mechanisms outside of those ers are highly proficient, but a few dispatchers are less so. implemented within the existing organizational structure. Dispatchers can receive guidance and assistance from the traffic management operators either in person (when they are on duty) or by telephone (when they are not). It is clear that 8 COMMENTARY rapid view of an accident scene and quick posting of VMS 8.1 Security, Terrorism, messages can be extremely helpful during highway incident and Homeland Defense management. The present facility, systems, and the partnership between law enforcement agencies and transportation agencies prob- 7 ISSUES AND BARRIERS ably owe much of their reason for existence to the terrorist 7.1 Institutional Challenges attacks of September 11, 2001. It was the motivation of pro- tecting the attendees and participants in the Winter Olympics The disjointed jurisdictions between UHP, the Salt Lake that channeled significant amounts of attention and resources City Communications Center, TOC, and UDOT Region 2 shift into Salt Lake City and probably accounted for a significant incident management and traffic management responsibili- portion of the support needed to construct and staff the TOC. ties because different organizations have jurisdiction. For The continuing benefit to regional travelers and local public many historical reasons, these organizations have different safety is a rare example of good works that can be attributed jurisdictional areas of responsibility. The jurisdictions over- to terrorism.

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F-6 8.2 Responder and Motorist Safety with integrating dissimilar systems, which are famous for con- suming large quantities of time and money and for still not Two anecdotes heard by investigators probably illustrate succeeding. By bypassing most of the technical distractions, the need for close cooperation and exchange of information highway incident participants were free to work out their other between transportation and public safety. institutional and operational challenges and have appeared First, it is a surprisingly common occurrence for IMT largely successful. vehicles and personnel to be struck by vehicles while at the scene of a highway incident. Thankfully, the occurrence usu- ally results in only minor damage to vehicles and no injury, but 8.4 Diligent Radio Traffic Monitoring the cumulative effect on the vehicles and technicians must be significant. This battering was cited as one of the reasons why Diligent radio traffic monitoring is a learned skill and can new vehicles were being procured somewhat earlier than require a significant amount of training and practice. The dis- planned and why they might need to be a little stronger. It has patchers in the Communications Bureau are highly experi- also apparently raised the awareness of IMT personnel to a enced radio operators and have learned to handle two or three high degree of cautiousness, since one of them required hos- simultaneous and independent channels of chatter, but it takes pitalization from being struck. unusual talent to monitor more than that, especially if there Second, not all disabled motorists are innocent travelers. is a significant amount of traffic. The IMT members have The story is told of a trooper helping a motorist to change a found radio monitoring to be the best way to keep abreast of flat tire on the freeway. Later, the trooper found out that the activity on the highway and an excellent early warning method vehicle and its driver matched the description of a robbery that can be used effectively to pre-position and pre-alert suspect. Apparently, this story was one of the reasons that responding resources. IMT members have also found radio monitoring to be an excellent way to keep abreast of develop- IMT personnel have been granted permission to check vehi- ments in public safety, such as changes in personnel assign- cle license numbers for possible entries in wanted files before ments or operating procedures. they render assistance. 8.5 Field Teamwork 8.3 Using a Common CAD System and Communications Salt Lake City incident management field personnel have developed a healthy skeptical attitude regarding field opera- The Salt Lake City participants in highway incident man- tions. They tend to appreciate actions over words and over agement are enjoying an unusual luxury: there has been suf- plans, and their respect for other responders directly stems ficient capacity on these systems to accommodate transporta- from positive interactions with the other responders. Such a tion along with public safety users. When project planners tight and efficient relationship that has grown up between the decided to use a common CAD and communications system, UHP and IMT responders is evidence of a long history of they conveniently sidestepped all of the problems associated positive mutual experiences.