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NCHRP Web-Only Document 378 Emergency Response ORGANIZATIONAL AND OPERATIONAL MODELS USED BY STATE DOTS Deborah Matherly MIRTA LLC Lexington, SC Patricia Bye Holicong, PA Eryca Dinsdale WSP Portland, OR Conduct of Research Report for NCHRP Project 20-128 Submitted March 2023 © 2023 by the National Academy of Sciences. National Academies of Sciences, Engineering, and Medicine and the graphical logo are trademarks of the National Academy of Sciences. All rights reserved. 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 transportation results in increasingly complex problems of wide interest to highway 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 initiated an objective national highway research program using modern scientific techniquesâthe 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 Agreement No. 693JJ31950003. 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. DISCLAIMER The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research. They 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 specifications. 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, and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturersâ names appear herein solely because they are considered essential to the object of the report. The information contained in this document was taken directly from the submission of the author(s). This material has not been edited by TRB.
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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 WEB-ONLY DOCUMENT 378 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 Jennifer J. Weeks, Publishing Projects Manager 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
Table of Contents Project Overview ........................................................................................................................................... 1 Project Purpose ......................................................................................................................................... 1 Research Approach ....................................................................................................................................... 1 Part 1. Literature Review .......................................................................................................................... 2 Part 2. Census of State DOTs..................................................................................................................... 3 Part 3. Glossary of Emergency Management Key Terms .......................................................................... 4 Part 4. Emergency Response Organizational and Operational Models Used by State DOTs ................... 5 Model Organization .............................................................................................................................. 5 Model Premise and Key Features ......................................................................................................... 6 Elements of The Organizational Model ................................................................................................ 6 How to Use the Model .......................................................................................................................... 8 Part 5. Pocket Brochure ............................................................................................................................ 9 Part 6. Implementation Plan ................................................................................................................... 10 Suggestions for Future Research ................................................................................................................ 10 Appendix A. Literature Review ................................................................................................................... 13 1 Introduction ......................................................................................................................................... 14 2 Federal Government Guidance ............................................................................................................ 14 2.1 Overall Purpose of Emergency Management .............................................................................. 14 2.2 Whole Community Approach Purpose and Goals ....................................................................... 15 2.2.1 The Whole Community Approach and Importance of Stakeholder Involvement ............... 16 2.2.2 Federal Emergency Plan Development Support and Guidance ........................................... 17 3 Literature Peer-Reviewed Articles ....................................................................................................... 18 3.1 National Incident Management System / Incident Command System ........................................ 18 3.2 Collaboration Is Vital in All Phases of Emergency Management ................................................. 19 3.2.1 Disaster Planning and Response Collaboration Between Agencies ..................................... 19 3.3 Identifying and Involving Non-Standard Employees in Disaster Management ........................... 21 3.4 The Whole Community Approach to Emergency Management in Practice ................................ 21 4 State Department of Transportation Emergency Management and Organization ............................. 23 4.1 Emergency Management at State Departments of Transportations .......................................... 23 4.1.1 State Department of Transportation Organizational Structure ........................................... 24 4.2 State Department of Transportation Emergency Plans ............................................................... 24
4.3 Department of Transportation Emergency Management Guidance ........................................... 24 4.4 Department of Transportation Emergency Management Capabilities ....................................... 25 4.4.1 Communication and Coordination ....................................................................................... 25 4.4.2 Evacuation Planning ............................................................................................................. 25 4.4.3 Training and Exercises .......................................................................................................... 26 4.4.4 Supporting Tools .................................................................................................................. 27 4.4.5 After Action Reports ............................................................................................................ 27 5 Literature Review Conclusion .............................................................................................................. 27 Appendix B. Summary of DOT Census Findings .......................................................................................... 32 Census Results ......................................................................................................................................... 32 Objectives ........................................................................................................................................... 32 Approach and Methodology ............................................................................................................... 32 Responses ........................................................................................................................................... 32 Appendix C. Glossary of Emergency Management Key Terms ................................................................... 69 Introduction ............................................................................................................................................ 69 Appendix D. Implementation Plan ............................................................................................................ 116 Introduction ........................................................................................................................................... 116 Assessment of Impediments to Successful Implementation: ................................................................ 116 Implementation infrastructure within DOTs ......................................................................................... 117 Leadership ......................................................................................................................................... 117 Organization ...................................................................................................................................... 117 Competency ...................................................................................................................................... 117 Implementation Team ...................................................................................................................... 118 Implementation infrastructure beyond DOTs ....................................................................................... 118 Implementation Evaluation ................................................................................................................... 118 NCHRP Web-Only Document 378 contains the Conduct of Research Report for NCHRP Project 20-128 and accompanies NCHRP Research Report 1088: State DOT Models for Organizing and Operating Emergency Response: A Guide. Readers can read or purchase NCHRP Research Report 1088 on the National Academies Press website (nap.nationalacademies.org).