State DOT Models for Organizing and Operating Emergency Response: A Guide (2023)

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2023 N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M NCHRP RESEARCH REPORT 1088 State DOT Models for Organizing and Operating Emergency Response A GUIDE Deborah Matherly MIRTA LLC Lexington, SC Patricia Bye Holicong, PA Eryca Dinsdale WSP Portland, OR Subscriber Categories Highways • Administration and Management • Security and Emergencies Research sponsored by the American Association of State Highway and Transportation Ofcials in cooperation with the Federal Highway Administration

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed, and implementable research is the most effective way to solve many problems facing state departments of transportation (DOTs) administrators and engineers. Often, highway problems are of local or regional interest and can best be studied by state DOTs individually or in cooperation with their state universities and others. However, the accelerating growth of highway transporta- tion results in increasingly complex problems of wide interest to high- way authorities. These problems are best studied through a coordinated program of cooperative research. Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 ini- tiated an objective national highway research program using modern scientific techniques—the National Cooperative Highway Research Program (NCHRP). NCHRP is supported on a continuing basis by funds from participating member states of AASHTO and receives the full cooperation and support of the Federal Highway Administration (FHWA), United States Department of Transportation, under Agree- ment No. 693JJ31950003. The Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine was requested by AASHTO to administer the research program because of TRB’s recognized objectivity and understanding of modern research practices. TRB is uniquely suited for this purpose for many reasons: TRB maintains an extensive com- mittee structure from which authorities on any highway transportation subject may be drawn; TRB possesses avenues of communications and cooperation with federal, state, and local governmental agencies, univer- sities, and industry; TRB’s relationship to the National Academies is an insurance of objectivity; and TRB maintains a full-time staff of special- ists in highway transportation matters to bring the findings of research directly to those in a position to use them. The program is developed on the basis of research needs iden- tified by chief administrators and other staff of the highway and transportation departments, by committees of AASHTO, and by the FHWA. Topics of the highest merit are selected by the AASHTO Special Committee on Research and Innovation (R&I), and each year R&I’s recommendations are proposed to the AASHTO Board of Direc- tors and the National Academies. Research projects to address these topics are defined by NCHRP, and qualified research agencies are selected from submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Academies and TRB. The needs for highway research are many, and NCHRP can make significant contributions to solving highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement, rather than to substitute for or duplicate, other highway research programs. Published research reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to https://www.mytrb.org/MyTRB/Store/default.aspx Printed in the United States of America NCHRP RESEARCH REPORT 1088 Project 20-128 ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-70923-1 Library of Congress Control Number 2023949311 © 2023 by the National Academy of Sciences. National Academies of Sciences, Engineering, and Medicine and the graphical logo are trade- marks of the National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, APTA, FAA, FHWA, FTA, GHSA, or NHTSA endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; the FHWA; or the program sponsors. The Transportation Research Board does not develop, issue, or publish standards or spec- ifications. The Transportation Research Board manages applied research projects which provide the scientific foundation that may be used by Transportation Research Board sponsors, industry associations, or other organizations as the basis for revised practices, procedures, or specifications. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names or logos appear herein solely because they are considered essential to the object of the report.

e National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. e National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. John L. Anderson is president. e National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. e three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. e National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org. e Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. e mission of the Transportation Research Board is to provide leadership in transportation improvements and innovation through trusted, timely, impartial, and evidence-based information exchange, research, and advice regarding all modes of transportation. e Board’s varied activities annually engage about 8,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. e program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR NCHRP RESEARCH REPORT 1088 Waseem Dekelbab, Deputy Director, Cooperative Research Programs, and Manager, National Cooperative Highway Research Program Stephan A. Parker, Senior Program Officer (retired) Stephanie L. Campbell-Chamberlain, Senior Program Assistant Natalie Barnes, Director of Publications Heather DiAngelis, Associate Director of Publications NCHRP PROJECT 20-128 PANEL Field of Special Projects Nicholas J. C. Boyd, Boyd Solutions, Madison, CT (Chair) Rodney R. DeLisle, New York State Department of Transportation, Albany, NY Rhett Anthony Desselle, Louisiana Department of Transportation and Development, Alexandria, LA Brandon B. Lee, Anacostia Consulting Group, Arlington, VA Lesley A. Mace, City of Boulder, Boulder, CO Scott A. Parr, Embry Riddle Aeronautical University, Daytona Beach, FL Haizhong Wang, Oregon State University, Corvallis, OR Alex Appel, FHWA Liaison

NCHRP Research Report 1088: State DOT Models for Organizing and Operating Emergency Response: A Guide presents state-of-the-art information to assist state departments of transpor- tation (DOTs) in the assessment of emergency response programs in foundational governance, programmatic planning and support, and building capacity for response for emergency surges. The Guide provides models that illustrate choices DOTs have made among a wide range of organizational and operational dimensions. The Guide also presents case studies of solutions DOTs have implemented across many organizational and operational facets, from specialized capacities, such as strike teams or mobile equipment teams, to integration of emergency man- agement with security functions to close teaming of emergency management operations with Transportation Systems Management and Operations (TSMO). The Guide is designed for new and experienced practitioners alike to use immediately as they fulfill their agency’s emergency response incident and event management responsibilities. State DOTs continually develop and hone all-hazards emergency response procedures and protocols. They are adept at responding to a range of emergencies and incidents and fulfilling their federal responsibilities—namely Emergency Support Function (ESF) #1 – Transportation responsibilities, such as emergency access and evacuation support identified in FEMA’s National Response Framework. Organizational structure can and does make a difference in the effectiveness of emergency response and related emergency activities and initiatives. As noted in AASHTO’s 2017 publication, Understanding Transportation Resilience: A 2016–2018 Roadmap for Security, Emergency Management, and Infrastructure Protection in Transpor- tation Resilience, emergency management is an essential component of resilience, but the current organizational frameworks may not be ideal. A gap was identified in the research relating to recommended state DOT operational and organizational models for emer- gency response. The importance of the topic, types of actions and related responsibilities, and desired outcomes had been identified, but research was needed on ways that state DOTs organize themselves for effectively participating in emergency response. Under NCHRP Project 20-128, “Emergency Response: Organizational and Operational Models Used by State DOTs,” WSP USA Inc. was asked to investigate and document how state DOTs use different organizational and operational models to fulfill their emergency response incident and event management responsibilities within the context of FEMA’s National Plan- ning Frameworks for prevention, protection, mitigation, response, and recovery. In addition to this report, NCHRP Web-Only Document 378: Emergency Response: Organiza- tional and Operational Models Used by State DOTs, a PowerPoint summary of the Guide, and a Pocket Guide on organizational essentials are available on the National Academies Press web- site (nap.nationalacademies.org) by searching for NCHRP Research Report 1088. F O R E W O R D By Waseem Dekelbab Staff Officer Transportation Research Board

Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at nap.nationalacademies.org) retains the color versions. 1 Chapter 1 Introduction 1 Project in Context of Emergency Management 5 Model Overview 7 Chapter 2 Governance 7 Reporting Placement 8 Setting Strategic Direction 10 Chapter 3 Programmatic and Planning Support 11 Staffing 11 Partnerships 14 Chapter 4 Response 15 Lead Response Role 18 Response Staffing and Equipment Structure 21 Intra-Agency Collaboration 21 Surge Capacity for Major Events 24 Chapter 5 Case Studies 24 Emergency Response Specialized Strike Teams 26 Evolution of a DOT Emergency Management Program 29 Financial Aspects of Emergency Management 31 Security and Emergency Management 32 Training and Cross-Training for Emergency Management 36 Transportation Systems Management and Operations with Emergency Management 40 Chapter 6 Conclusion 41 Recommended Use of Model 43 References C O N T E N T S