Guide for Emergency Transportation Operations (2005)

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THE INSTITUTIONS AND LEADERSHIP GUIDANCE The institutional guidance is oriented to the five basic strategies and is based on the weaknesses found to characterize most state DOT approaches to ETO. The guidance presented in this section suggests the logical next steps after the self-assessment—a set of tactics to implement that strategy—toward improved performance. The location of the action within the agency’s overall strategic/business planning process is indicated. The institutional changes must be initiated by top management as they are likely to change agency-level priorities, organizational structure, and reporting and resource allo- cation. In addition, changes described must take place on an interagency basis because common priorities and procedures are essential to achieve the types of improvement that are the focus of the vectors in the guide. 25 G U I D E F O R E M E R G E N C Y T R A N S P O R T A T I O N O P E R A T I O N S

STRATEGY 1: DEVELOP INTERAGENCY PREPARATIONS FOR COMPLETE ARRAY OF INCIDENTS AND EMERGENCIES Preparation for the broad array of potential incidents and emergencies requires a range of actions appropriate to the situation (see Table 4). Traffic incidents, law enforcement, and HAZMAT, disaster, and security events invoke various authorities and require a range of process responses drawing on different combinations of expertise from the emergency response community. State DOTs play varying roles from central to periph- eral across this array of emergencies. Even when the emergency does not involve high- ways directly, it is likely that emergency response and access will utilize highway assets. 26 G U I D E F O R E M E R G E N C Y T R A N S P O R T A T I O N O P E R A T I O N S Table 4. Tactics for Institutions and Leadership Strategy 1 Tactics Location in Agency Planning Develop Relationships with State/Regional Emergency Management Agencies (EMA) • Develop liaison with state/regional EMAs and clarify DOT emergency support functions for complete array of relevant incidents and emergencies. • Develop communications networks and protocols among state DOTs, public safety agencies, and the state and regional emergency management agencies. • Develop DOT operations plans with appropriate internal plans, response protocols, and procedures for mobilizing personnel and equipment. Carry out this activity in close coordination with public safety agencies that are likely to have incident command responsibilities during emergencies. • Ensure appropriate district-level relationships with regional EMAs and public safety agencies. Strategic planning (offline as senior management interagency relationships) Statewide program planning District planning Develop Relationships with State/Federal Security Entities • Develop formal interagency relationships and communications networks and protocols among state DOTs and the security entities, including secure routings for classified information. • Working with the state coordinator for terrorism and security-related threats, develop appropriate response on department-wide and district basis to the Homeland Security Advisory System (HSAS) for terrorist threat levels. Strategic planning (offline as senior management interagency relationships) Familiarize Other State Agencies with DOT Capabilities • Discuss with other state agencies with both emergency and security responsibilities the utilization of state DOT TMC-based and communications resources for multi-agency purposes. Strategic planning (management interagency relationships) Develop Joint Interagency Strategy Plans and Coordinated Resourcing • Develop coordinated strategic plans and budgets for ETO among transportation and public safety agencies so that each agency can carry out its respective role and responsibility with assurance that all roles will be fulfilled. • Look for joint resourcing opportunities regarding funding from state and federal sources. Strategic planning (management interagency relationships Readiness to Advance DOT understands its role across the wide range of traffic incidents and other emergency operations responsibilities. DOT has clear relationships with the other emergency responders in command positions that understand DOT capabilities.

STRATEGY 2: ESTABLISH FORMAL PROGRAM WITH SENIOR RESPONSIBILITY, ORGANIZATION, AND REPORTING ETO responsibilities tend to be a set of part-time responsibilities for division and dis- trict staff. There are multiple lines of responsibility among traffic engineering, mainte- nance, and traffic operations center staffs as well as via ITS and special emergency oper- ations assignments. The continuous improvement of ETO requires a more consolidated, formal program structure in order to mobilize resources, define objectives, and organize activities consistent with policy. This is an essential senior executive responsibility and is not likely to take place without first-level leadership and use of department-wide authority (see Table 5). 27 G U I D E F O R E M E R G E N C Y T R A N S P O R T A T I O N O P E R A T I O N S Table 5. Tactics for Instructions and Leadership Strategy 2 Tactics Location in Agency Planning Develop an Agency Strategic Business Plan for ETO • Identify departmental task force to consider policy and program issues including representatives from key divisions and districts. • Establish ETO in department mission and priorities as part of formal policy statements. • Incorporate ETO objectives into strategic planning for departmental and district-level priorities, including definition of program and responsibilities and desired outcomes. Strategic planning Develop Organizational Structure • Assign appropriate senior-level staff as responsible for ETO, including authority and responsibility with clear span of control and lines of reporting. • Consider the allocation of responsibilities at the district level among units with special attention to potentially conflicting roles of maintenance and traffic operations/TMC/ITS responsibilities. Strategic and business planning District/division- level planning Develop District-Level ETO Program Plans • Determine scope of program for District in response to overall department policy and local specific needs (special local emergencies). District/division - level planning Convert to Full-Time Basis • Establish 24x7 program responsibilities at district and headquarters levels to achieve appropriate service and consistent relationships with public safety agencies, including evening and weekend basis manning, callout procedures, motorist information dissemination, and equipment disposition. Strategic and business planning Develop Professional Capacities • Identify professional capacity needs via knowledge/skills/abilities specification for key positions and priorities, and identify policies on training (including joint training with public safety agencies). Strategic and business planning Readiness to Advance DOT has a formal, sustainable program for ETO with effective senior executive responsibility, staffing, and management.

STRATEGY 3: ALLOCATE ADEQUATE RESOURCES Few states account for ETO activities beyond snow and ice control. Resources support- ing a state DOT’s ETO activities (including TMC operations, service patrols, mainte- nance staff response, administrative management, and related ITS infrastructure) are typically buried in other programs. Expanded responsibilities imply the need for addi- tional resources (see Table 6). 28 G U I D E F O R E M E R G E N C Y T R A N S P O R T A T I O N O P E R A T I O N S Table 6. Tactics for Institutions and Leadership Strategy 3 Tactics Location in Agency Planning Develop Department Budget • Roll up current fully allocated costs as the basis for improvement- oriented ETO business planning. • Establish line items for activities and system improvements to ensure adequate and appropriate funding less subject to the individual discretion of units with other priorities. • Establish budget for deployment of improved TMC and field hardware and software. • Consider coordinated approach to multisource funding from all relevant state and federal sources. Business planning and annual budgeting and programming Develop District/Division-Level Allocation Scheme • Ensure allocation of resources as necessary and available that are appropriate at the district level. Business planning and annual budgeting and programming Consider Joint Project Strategies with Public Safety Partners • Look for opportunities to link ETO-related interagency programs to reduce procurement burdens and improve multi-use efficiency. • Look for opportunities to support joint activities in a fashion that encourages public safety participation, given the relative constraint on public safety agency resources. State-level and district/division- level program administration Consider Co-location • Consider evolution of improvements in emergency management centers, traffic management centers, and police dispatching centers toward co- location to improve familiarity and coordination. State-level and district/division- level program administration Identify and Secure Federal/State Emergency and Security Funds • Seek funds that are available from DHS and other sources to fund first responder and related needs such as communications. These funds typically require application. State-level and district/division- level program administration Readiness to Advance The ETO program has adequate and predictable resources – staff, equipment, and infrastructure – to meet its responsibilities.

STRATEGY 4: ESTABLISH OBJECTIVES WITH RELATED PERFORMANCE MEASURES AND ACCOUNTABILITY Performance measurement is essential to determine that progress is being made consistent with declared departmental policy and strategy. Formal performance measurement can be applied to many steps in the ETO process because the occurrence and timing of incidents are already formally registered in police and DOT dispatch records (see Table 7). 29 G U I D E F O R E M E R G E N C Y T R A N S P O R T A T I O N O P E R A T I O N S Table 7. Tactics for Institutions and Leadership Strategy 4 Tactics Location in Agency Planning Develop Objectives for Performance • Recognize the institutional orientation of each agency involved and consider promising approaches to win-win adjustments of procedures that improve performance. • Organize agency teams to establish appropriate realistic stretch targets and metrics for a performance monitoring/reporting system. • Direct development of unit-level process for using measures to analyze performance outside exception limits. Strategic and business planning Negotiate Reasonable Performance Measures with Public Safety Agencies • Develop cooperative process to meet with public safety agencies and agree on common performance targets and metrics for joint evaluation of performance progress. Strategic and business planning Identify Performance Reporting Process • Develop departmental reporting vehicles such as internal dashboards and quarterly reports to constituents. • Identify internal staff leads and reporting relationships. Strategic and business planning Readiness to Advance The ETO program is continuously improving on a demonstrable measured basis with regular performance reporting.

STRATEGY 5: DEVELOP AGENCY POLICY, LAWS, AND REGULATIONS Major changes in procedures and protocols related to roles, responsibilities, and author- ity of incident and emergency responders may be needed. Improvements in performance often involve modifications of these traditions, new laws, new policies, and interagency agreements (see Table 8). 30 G U I D E F O R E M E R G E N C Y T R A N S P O R T A T I O N O P E R A T I O N S Table 8. Tactics for Institutions and Leadership Strategy 5 Tactics Location in Agency Planning Identify Needed Legislative Changes • Identify areas where changes in department policy or state law are necessary and appropriate, such as quick clearance, road closure and diversion liability, vehicle and cargo removal, and traffic control. In some cases, DOTs with their public safety partners may have to seek changes in current law. Best practice legislation samples are often available from other states. Special department task force Negotiate Interagency Agreements • Consider a top-down approach to develop agreements among DOTs and public safety agencies or EMAs, including formal interagency agreements on key features of incident/emergency management activities. Special department task force Communicate Rationale and Benefits to Stakeholders • Communicate the benefits of improved performance through ETO to key constituencies, including user groups, appropriate administration and legislative decision makers, staff, and public. Special department task force Develop Regular Working Relationships with Public Safety Leadership • Lead policy discussion with public safety agencies on developing a cooperative program, including mutually agreed-upon policies and procedures, formal agreements, and legislative and budget strategies. Special department task force Link Performance Reporting Results to Agency’s Incentives and Rewards • Modify job position descriptions and tasks to meet overall institutional changes. • Establish compensation systems commensurate with agency priorities. • Establish “professional” role for ETO, including career path, training, and leadership responsibilities. Special department task force with human resources department Readiness to Advance The ETO program has developed stakeholder support and established formal relationships among the key partners.

IMPROVEMENT STRATEGIES AS PART OF AGENCY STRATEGIC PLANNING AND PROGRAMMING The needed changes and improvements must become institutionalized in terms of pol- icy, authorization, program structure, organization, accountability, and resources. The con- tinuous improvement approach implies regular management oversight of and account- ability for ETO activities. These realities imply the establishment of ETO as a formal department program with all the common institutional features of mainstream state DOT activities. The policy rationale and objectives for a DOT-wide ETO program, including inter- agency policy alignment and legislative strategies, must be integrated with overall DOT strategic planning at headquarters as part of the policy and planning processes. Formal- ization of an ETO program with related organizational, reporting, and budgeting issues is also a matter for a department-wide task force as part of the department’s program- ming and budgeting activities. Development of operational plans, protocols, and procedures, including performance mea- sures and technology infrastructure, is appropriately at the district level, tailored to each region. However, there is the need for continuous interaction between operational plan- ning and the program-wide funding and organizational structure (institutional) issues pre- sumably handled at the level of DOT headquarters divisions and senior management. ETO will be “staff and training intensive” rather than “capital intensive.” There are potential staff modifications to provide 24 × 7 responsiveness, like that of a public ser- vice entity. There are also capital requirements, many of which are dual use with cur- rent ITS programs. Resources for the program may be an issue but will be modest com- pared with the return on service available and compared with other expenditure options. Figure 6 illustrates the proposed improvement strategies for ETO in relation to con- ventional DOT policies for development and planning. The figure identifies the key agency leaders and/or departments that must address the individual and collective strate- gies to institutionalize ETO within a DOT. 31 G U I D E F O R E M E R G E N C Y T R A N S P O R T A T I O N O P E R A T I O N S

MOVING FORWARD—THE IMPORTANCE OF EXECUTIVE LEADERSHIP Given a decision to move ahead, top-level agreement must be reached with state and local emergency response entities as to the joint focus of improvement. Cementing this relationship is crucial, and DOT subsidy of certain joint costs to create a positive envi- ronment for change is worth considering. The policy commitment and joint agreement with the public safety agency can then be converted into a manageable program in which the department can work simultaneously on joint improvements and its own internal approach to achieving a higher level of sustainable activities as well as its commitment to continuous measurable improvement. Development of this program will require a strategic business plan specifying responsibilities, resources, and performance targets. As a “jump start” opportunity, training courses are available from FHWA and other sources in the state of the practice regarding response activities. Introducing an institutionalized focus on improved operations regarding the improved service and reduced delay and disruption from incidents and emergencies will require continuous top-down leadership. Throughout this process, as in the case of any pro- grammatic strategic change, departmental leadership will have to reassert the vision and policy commitment and hold those who are responsible accountable for measurable improvement. 32 G U I D E F O R E M E R G E N C Y T R A N S P O R T A T I O N O P E R A T I O N S Figure 6. Relationship of ETO to Conventional State DOT Policy Development and Planning