EMERGENCY TRANSPORTATION OPERATIONS STRATEGIC …

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New York State Department of Transportation

January 2009

ETO STRATEGIC PLAN Page ii

Prepared By:

Eng-Wong, Taub & Associates

under contract to PB Americas, Inc.

ETO STRATEGIC PLAN Page iii

Department Mission:

It is the mission of the New York State Department of Transportation to

ensure our customers –those who live, work, and travel in New York

State – have a safe, efficient, balanced, and environmentally-sound

transportation system.

ETO Mission:

To prepare for, respond to, and recover from all types of events, while

engaging internal and external partners to promote the mobility and safety

of transportation users and first responders.

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ETO STRATEGIC PLAN Page iv

A critical part of the New York State Departmentof Transportation’s (Department) mission is to ensure the safety and mobility for users across alltransportation modes in New York. Events occurevery day that impact the normal operations ofthe transportation system and the services theyprovide. System disruptions may be due toroutine incidents, planned events, or non-routineevents1. The Department has a variety of roles inresponse to these incidents. These may includedirectly responding to an incident, makingemergency repairs on the system, coordinatingtransportation management, providing travelerinformation, supporting partner responseagencies and jurisdictions, or developingtransportation management or response plans.

The public impact due to these incidents varies based on the scale of the event. Small-scale(routine) incidents occur frequently and are a major contributor to congestion and safetyconcerns for motorists. Planned events are typically short duration, but must be managed toreduce impacts to transportation systems, provide for security, and encourage positiveeconomic activity. Non-routine/major events have widespread impacts and have seriousimplications for the public and society as a whole. A major disaster, such as a hurricane, willpotentially carry a heavy cost and cause long-term disruptions in the supply chain supportingcoastal areas of the state. The availability of transportation assets (highways, bridges, ports,rail, airports, etc.) is crucial to ensure that basic supplies (food, water, fuel, medical supplies,etc.) and response resources can continue to flow into these areas immediately following adisaster. While large-scale events are infrequent, the impacts can be severe and long lasting. Atthe same time, although not quantifiable, the risks to New York State due to climate change andglobal terrorism are rising. These circumstances demand that the Department be prepared toquickly respond to and support other agencies in protecting life and property during and aftermajor events.

1 Routine events may include crashes, trees/wires down, or malfunctioning traffic signals. Examples of plannedevents include the State Fair, national political party convention, air shows, etc.; non-routine events may includefloods, ice storms, terrorism, etc. These event types are discussed in detail later in this Plan.

ETO is defined as “acomprehensive, coordinated,

performance-orientedapproach among the

transportation, public safety,and emergency managementcommunities in preparing for,responding to, and recoveringfrom traffic incidents, planned

events, natural or humancaused disasters, and other

types of events.”

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ETO STRATEGIC PLAN Page v

The Department has taken important steps to enhance preparedness, response, and recoverycapabilities for all types of incidents or events. The Emergency Transportation Operations(ETO)2 Program was formally created in 2006 to provide an “All Hazards” approach for thecoordination of ETO related activities across all program areas of the Department. Building onpast successes, Regional and Main Office staff have made significant progress in improving theDepartment’s response to events large and small. However, a long-term view is needed toguide program efforts and priorities, especially as resource constraints impact all areas of theDepartment.

The purpose of this Planis to provide a common “Framework” and consistent approach to ETO for the Department by:

Defining Emergency Transportation Operations;

Describing the types of events for which the Department must be prepared for;

Identifying goals and strategies for the ETO program;

Clarifying expectations for Regional and Main Office program areas;

Outlining and prioritizing specific actions required to meet ETO goals; and

Establishing a continuous improvement process through performance measures andregular self-assessments.

As part of the development of the Framework, strategies were identified for the Department topursue. Each strategy described in this Plan includes specific associated actions to guide theMain Office and Regions. Because the strategies and actions listed within this Plan arecomprehensive, they must be put into practice over a period of time. An implementation plan tosupport the Framework is included, which considers resource constraints and prioritizes actionsnecessary to ensure continual development of capabilities and readiness.

Increasing expectations from the public and partner agencies, new technologies, and newrequirements from State and Federal entities demand that we take a more coordinatedapproach to ETO. As an important member of the State’s Disaster Preparedness Commission (DPC), the Department must continue to engage partners at all levels of government.Furthermore, these key partners must understand DOT’s role in the larger context of New York State’s Comprehensive Emergency Management Plan and the National Response Framework, where transportation is defined as Emergency Support Function (ESF) #1. By pursuing thestrategies outlined in this Plan, the Department will continue to develop these importantrelationships and build on our existing capabilities to advance a robust ETO program for thefuture.

2 National Cooperative Highway Research Program Research Results Digest 326: State Public TransportationDivision Involvement in State Emergency Planning, Response and Recovery, May 2006.

ETO STRATEGIC PLAN Page vi

Mission Statements........................................................................... iiiExecutive Summary .......................................................................... ivTable of Contents.............................................................................. vi

Introduction..................................................................................... 1

Background..................................................................................... 3

ETO Program Scope ....................................................................... 5

Roles of Department Program Areas ............................................ 12

ETO Program Framework............................................................... 14

ETO Goals ............................................................................. 14

Strategies ............................................................................... 15

Preparedness

Response

Recovery

Implementation Plan....................................................................... 18

Action Items ........................................................................... 19

Measures of Performance ...................................................... 29

Performance Measures................................................. 30

Self-Assessment........................................................... 32

Conclusion ...................................................................................... 33

AppendicesETO StrategiesSelf-Assessment Tool for Main OfficeSelf-Assessment Tool for RegionsNew York State Executive Order #26.1Applying the WITT Report Findings at NYSDOTRegional Best PracticesRegional Meeting Summaries with Meeting AgendasTraffic Incident ManagementList of Acronyms

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ETO STRATEGIC PLAN Page 1

The transportation system in New York is used on a daily basis for business, school, recreation,and other activities. It is a critical asset that needs to be kept at an optimum level ofperformance. Events often reduce the system’s capability for a period of time until actions are taken to bring the system back to its former level of capability.

The New York State Department of Transportation (Department) has a long history of dealingwith events, such as traffic incidents, weather, construction activity, planned events, naturaldisasters, and the threat of terrorism. These events have been handled quickly and efficiently,generally on a Region-by-Region basis despite having limited available resources.Transportation maintenance personnel have always performed exceptionally in fighting snowand ice, repairing storm damage, and supporting other emergency responders to ensure publicsafety in a variety of events. The evolution of the Department’s Transportation Management Centers (TMCs)3 have also enhanced the Department’scapabilities in actively managing trafficand helped forge important partnerships for the safe and timely clearance of traffic incidents.

New expectations, new technology, and new State and Federal requirements demand a morecoordinated approach to events of all sizes and complexity. The dependence on ourtransportation network and increasing involvement with external partners in the transportationsector, public safety sector, and emergency management community requires closercoordination with these partners, formalized internal policies and procedures, better integrationof activities among Department program areas, and clear expectations for the entireDepartment.

The public expects government to act quickly when essential services, such as transportation,are disrupted. Since events are increasingly multi-regional in scope, responding to themrequires an increased and consistent coordination of all of the Department’s resources to quickly and efficiently mitigate the effects of an event. Such actions require an evolution from astrictly regional response to a coordinated statewide response with Department-wideinvolvement while following the Department’s established standards.

New technology is enhancing the Department’s abilityto interact with both internal and externalpartners. The knowledge gained by integrating databases and sharing information amongtransportation partners and other responding agencies improves the Department’s response capabilities, but also require careful planning and coordination. The Department’s TMCpersonnel coordinate closely with law enforcement and local transportation agencies throughcommon information systems and co-location at some facilities. This information sharing iscritical to the operation ofthe Department’sTMCs and for entities like TRANSCOM and SEMO’s Warning Point. Real-time communication facilitates both timely and accurate public informationand a common operating practice among participating agencies. Technology in the field cantrack assets, response teams, and damage assessments so that limited resources can bedeployed in a timely and effective manner.

3 May be referred to as a Transportation Operations Center (TOC) in some DOT Regions. For simplicity, thisdocument will use the terms TMC and TOC interchangeably.

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Finally, the Department faces new and increasing requirements relating to the National IncidentManagement System (NIMS). Homeland Security Presidential Directive –HSPD-5 and thesubsequent NYS Executive Order 26.1 established the National Incident Management Systemas the standard for command and control during emergency operations. The NIMS outlines aconsistent approach to “prepare for, respond to, and recover from incidents, regardless of cause, size, or complexity.” Itincludes a core set of concepts, principles, terminologies,and technologies covering the incident command system; multiagency coordinationsystems; unified command; training; identification and management of resources (includingsystems for classifying types of resources); qualifications and certification; and the collection,tracking, and reporting of incident information and incident resources. The Department hasmade good progress in meeting the requirements laid out in NIMS, but must continue to investin the training, planning, and other efforts to maintain compliance as NIMS evolves and newrequirements are issued.

As ETO continues to develop at the Department, we must build upon the work done by thosewho have established a robust response capability within the Department. Because of theefforts by many over the years, the Department has many important elements already in place,including staff who are dedicated and trained to respond; a fleet of equipment and resourcesthat can be deployed on short notice; information systems to track traffic conditions, equipmentassets, costs, and resource deployments; and a network of champions throughout theDepartment to further enhance its response capabilities. Additional resources (staff andequipment) are needed to further coordinate these and future efforts.

For the Department to adapt to new and emerging priorities, the ETO Program must definecommon goals for preparedness, response, and recovery, regardless of the type of event. TheDepartment needs to further engage important external partners such as SEMO, the StatePolice, Thruway, MTA, NYC, local emergency managers, and first responders to plan for andaddress all types of events. This Strategic Plan presents a comprehensive approach toEmergency Transportation Operations for the Department, which can be implemented in theshort term while allowing for future growth and enhancement.


Historically, the emergency response function of the Department was managed and largelyperformed by the Transportation Maintenance Division (TMD). Minor incidents were managedlocally in the Regions and larger events were coordinated by a core group of staff from the MainOffice Maintenance Division. Initially, this system worked well until it was recognized that a moreformal approach was needed for emergency response, with dedicated staff to coordinatetraining, planning, and outreach to other agencies. In 1990, the Emergency Management Unit(EMU) was formed to fulfill this role within the Department and work closely with the TMD toassist with response and recovery efforts.

The Incident Command System (ICS) wasfirst used by the Department informally inthe 1990’s, and was mandated for use in 1996 under Executive Order No. 26. Severalevents in the late 1990’s (i.e., the 1998 icestorm, Hurricane Floyd, and preparations forY2K) gave the Department an opportunity toformalize the use of ICS for statewideplanning and response purposes. Responseto these events also set the basis for anEmergency Operations Center (EOC)function in each region and theestablishment of a central point of eventcoordination within the Main Office, whichbecame known as the “MOICC” (Main Office Information Coordination Center). TheDepartment’s preparedness and response efforts for Y2K in particular resulted inimportantdevelopments in reporting systems, backup communications, and overall agency coordinationfor large-scale events.

The Department’s role during the aftermath of the September 11, 2001 terrorist attacks once again brought attention to the need for improved and more formalized policies and proceduresfor response to events outside routine daily operations. Additionally, there was an increasedfocus on being prepared to handle response activities across the United States. The availabilityof new technologies and new requirements from the Federal Emergency ManagementAdministration (FEMA), the Office of Homeland Security (OHS), and the State EmergencyManagement Office (SEMO) were catalysts for all state agencies to enhance their responseprograms. As the Department worked to implement the new technologies and responseactivities for all levels of events, the Department’s Transportation Management Centers (TMCs) became extensively involved in significant ways. The TMCs became critical providers ofinformation to travelers and the public on the availability of the transportation network andevent- specific impacts.

In 2004, the Department’s Main Office moved to a new building and as part of the design of thenew location, the MOICC was permanently established. This facility continued to be used as aformal statewide operations center for Main Office ICS staff during large-scale events and

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emergencies, such as the Republican National Convention and the widespread flooding event in2006. While the planning and response to these events was successful, the need for moreconsistent monitoring and reporting became evident.

In 2006, MOICC evolved into the Statewide Transportation Information and Coordination Center(STICC), responsible for monitoring transportation conditions in real-time and providing bothinformation and coordination for large events. Permanent staff were designated and in 2007,STICC began 24/7 operations. Currently, STICC acts as the Situation Unit of the PlanningSection within the ICS. The STICC tracks the transportation modes, and coordinates anddisseminates information on intermediate and major events as they relate to the Department’s activities and program responsibilities. During Regional or Statewide emergencies, the STICCactivates an elevated ICS structure to aid Regions in managing an emergency (including thedeployment of inter-regional resources) and to coordinate with other agencies, including SEMO.

Also during this time period, on September 28, 2006, Governor George Pataki signed ExecutiveOrder No. 26.1: Incorporating the National Incident Management System as the ManagementSystem for Emergency Response, which “established the National Incident Management System as the State standard command and control system during emergency operations.” This Executive Order superseded Executive Order No. 26 to require state agencies to use NIMS forincident planning, response, and recovery.

The pressure for states to better coordinate response activities was highlighted by events inPennsylvania during a severe winter storm in February 2007. This snowstorm gridlocked muchof the interstate network in the state, resulting in the stranding of motorists for up to 30 hours.Governor Rendell ordered an investigation (the “Witt Report”), which revealed that the majorcontributing factors that prevented them from having a successful response involved poorcommunication, staffing problems, and procedural and coordination failures.

All of these circumstances have led to a common understanding that a comprehensive,coordinated approach is needed to respond to events of all size and complexity. NCHRP Report525, Volume 64 outlined the Emergency Transportation Operations concept and describes thescope of activities and support needed to implement a program within a typical Department ofTransportation. Utilizing this report as a guide, a formal process was initiated to establish aprogram at the Department. With the establishment of the Emergency TransportationOperations and Security Program Coordination Bureau and the designation of RegionalEmergency Managers, the Department is well on its way to better coordination among itsvarious program areas (Transportation Maintenance, Traffic Safety and Mobility, Engineering,Administration, and others).

4 National Cooperative Highway Research Program - Transportation Research Board of the National Academies,http://www.trb.org/news/blurb_detail.asp?id=5346


On the surface, the term Emergency Transportation Operations (ETO) may seem biased towardlarger, more complex events, however ETO includes all types of incidents that may disrupt thetransportation system. Procedures developed and policies implemented should be consistentwhether managing a response for a routine traffic incident, managing the response to a largestorm or major disaster, or planning for a major event.

Program activities for this “All Hazards” approach can be organized by the three phases of anevent: preparedness, response, and recovery, defined as follows:

Preparedness is a continuous effort to identify threats, determine vulnerabilities, andidentify required resources, policies, and procedures. It includes plans, activities,programs, and systems developed by the Department and its external partners prior toan event, which are used to support and enhance prevention, response, and recovery.

Response activities are those that address the short-term, direct effects of an event.Response includes immediate actions to save lives, restore transportation systemoperations, protect property, and support others to address basic human needs.Response also includes the execution of emergency operations plans and of activitiesdesigned to limit the loss of life, personal injury, infrastructure or property damage, andother unfavorable outcomes.

Once the impacts of an event are stabilized, the focus will shift to rebuilding andrecovery. Recovery is the development, coordination, and execution of service- andsite-restoration plans; additional measures for social, political, environmental, andeconomic restoration; evaluation of the event to identify lessons learned; post-eventreporting; and development of initiatives to mitigate the effects of future events. Thisphase can take several months to many years to complete, depending on the nature ofthe event.5

5 The definitions for Preparedness, Response, and Recovery were derived from the following two sources:National Incident Management System (FEMA 501, March 1, 2004)Emergency Transportation Operations, http://ops.fhwa.dot.gov/opssecurity/index.htm

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ETO is defined as acomprehensive, coordinated,

performance-orientedapproach among the

transportation, public safety,and emergency managementcommunities in preparing for,responding to, and recoveringfrom traffic incidents, planned

events, natural or humancaused disasters, and other

types of events.


Communications is an essential ingredient of ETO. Figure 1 depicts how these three phasesrevolve around communications to ensure that the transportation partners involved in eachphase of an event communicate with one another to facilitate and foster coordination. It alsoillustrates how all phases are engaged in a continuous cycle, even when the transition from onephase to the next is unclear under real-world conditions. For example, a damaged bridge maybe addressed by making emergency repairs during the Response phase to facilitateaccess/mobility to an area or key corridor. During Recovery, that same bridge may undergopermanent repairs to restore capacity/service life. To avoid future damage at the same site,mitigation must also be considered, either during the Recovery phase or as a systematicevaluation as part of Preparedness activities. In reality, the boundaries between all phases needto be flexible to accommodate actual conditions, available resources, and changing priorities.Before, during, and after an event, the Department must continue to engage partners internallyand externally for experiences to lead to better procedures, readiness, and enhancements toinfrastructure, which minimize or avoid future impacts. Communication through daily operationalactivities, regular meetings, after action reports, and periodic drills will provide for continuousimprovement of ETO program elements.

Figure 1:The ETO Process

ResponseResponse

RecoveryRecovery

PreparednessPreparedness

COMMUNICATIONCOMMUNICATION

ResponseResponse

RecoveryRecovery

PreparednessPreparedness

COMMUNICATIONCOMMUNICATION


The ETO process encompasses the management of a wide range of ETO events that includeroutine events, planned events, and non-routine events. An ETO event is an occurrence thatincludes all types of incidents, emergencies, and disasters (natural or human caused) that affectthe transportation system, and requires actions to maintain the safety and mobility of thesystem.

Three types of occurrences of importance, which the Strategic Plan addresses, are Routine(crashes, trees/wires down, malfunctioning traffic signal, etc.), Planned (national political partyconvention, air show), and Non-Routine (floods, ice storms, 9/11) events.

Table 1 on the following page provides a high-level summary of five major categories of ETOevents, arranged from routine to non-routine. Some of the key transportation-relatedcharacteristics associated with each category are indicated. Each characteristic implies ademand placed on ETO activities.

Routine Events

Non-Routine Events

Planned Events


Table 1:ETO Events–Unique Requirements and Practices

Source: NCHRP Report 525: Surface Transportation Security,Volume 6: Guide for Emergency Transportation Operations

ETO EventTransportation-Related Emergency

CharacteristicsETO Scope Implications

Disruption is planned and impacts arepredictable

Repetition permits agencies to learn fromexperience

Provision of early warningsLocation-specific traffic control procedures

Crowd and rumor control may be necessaryManage information to minimize panicProvide enhanced law enforcement presence

Directions to drivers may be important Pre-specify message strategies

PlannedActivities

- Special event- Work zone- Amber alert- Crime control- Civil

disturbanceLaw enforcement actions are underway Coordinate enforcement traffic control

procedures

Traffic backups, delays, and accidentexposure take place quickly

Reduced detection and response time iscritical

Establish quick clearance policies amongagencies

Improve public safety/DOT communicationsMedical treatment can cause delays Install advanced medical communicationsCargo spills, HAZMAT disruptions are

possibleFormalize on-call special equipment and

expertiseLarge combination of vehicles may be

involved Formalize on-call special towing rigs

TrafficIncidents

- Break-down- Crash

(major/minor)- HAZMAT

releaseMajor injury and fatality investigation may be

neededImplement advanced accident investigation

procedures

Occurrence may be predictable, butconditions are variable and can developrapidly

Standard call out criteria and routinesAdvance decisions for evacuation pre-

notificationAdvanced warning messages for driversMicro-level road weather information

systems-based treatment plansOff-road situations require emergency

access Pre-planned routines for priority access

Weather-Related

- Fog- Snow and ice- Wildland fire- Utility failure- Rock/mud/

avalancheDamaged infrastructure can be a continuing

riskOn-call technical expertise and assessment

needed

Time lags before damage extent is known Evacuation plans must include destinationsUnits at scene may have difficulty

determining location Interoperable interagency communications

Operating conditions may be unclear todrivers

Coordinated real-time driver informationessential

Scale of disaster may be regional Inter-jurisdictional preplanning andcoordination are crucial

NaturalDisaster

- Earthquake- Hurricane- Tornado- Flood

Emergency can occur in remote locations Development of wireless data and voicecommunications is essential

Critical assets may be attacked Asset countermeasures may be neededNature, location, and timing are not

predictableQuick reaction and pre-planned protocols are

essential

WMD may involve significant hazard risks HAZMAT expertise, protective measuresneeded

Response to a terrorism event is federal Standard security procedures requiredClassified information is part of threat

warning Clearance protocols needed

Public panic, although rare, may take place Pre-specified message sets needed

Terrorism/WMD

Possible multiple incidents Response capabilities may be overwhelmed


Figure 2 depicts the broad range of events that occur in ETO and the different agencies that areinvolved in the ETO process. It reinforces the importance of partnerships as the scalability of anevent changes, the number of agencies involved changes from a few to many, and how eachagency needs to understand their role as well as the role of others. Figure 2 also shows theprogression of events from routine to non-routine (left to right) and shows that while the mostsevere events are less frequent, the severity of impacts is often greater, involving a largernumber of agencies, which requires more coordination and communication6. For example,planned activities may be handled by one or two agencies in an informal relationship, such asfor a roadway detour due to construction, which may occur frequently but have a low severity ofincident. A more formalized process of partnering occurs, as the severity of the incidentincreases and the frequency of an incident becomes less. An example of the latter situationwould be a terrorist event, which would bring together federal, state, and local transportationagencies, police, fire, security, medical, and other organizations.

The Department has well-established relationships with many response partners and needs tobuild on these relationships to engage local, county, and state agencies in preparing for events.The work done in advance is invaluable to ensure a timely and effective response. Of particularimportance are planning measures taken through inter-agency, inter-jurisdictional groups (suchas the Transportation Infrastructure Group) to ensure readiness for high impact events. The“Home Rule”environment in New York State results in a high level of complexity in planning forimportant issues, such as evacuations. The Department needs to strive to clarify its role in majoremergencies and, in conjunction with key partners, assist in the development of regional plansto address responses to disasters.

Figure 2: The Complexity of ETOSource: NCHRP Report 525: Surface Transportation Security,

Volume 6: Guide for Emergency Transportation Operations

6 National Cooperative Highway Research Program - Transportation Research Board of the National Academies.“NCHRP Report 525: Surface Transportation Security, Volume 6: Guide for Emergency Transportation Operations”


ETO includes a variety of elements that improve transportation network efficiency and publicresponder safety when an event either interrupts (e.g. traffic incident) or overwhelms (e.g.natural disaster, planned special events or evacuation) the system. The operation ofTransportation Management Centers (TMCs) along with their associated incident management

activities provides critical support to theETO function.

Transportation Management Centers serveas the focal point for transportationmanagement activities for the Departmentand its operational partners. At thesecenters, or through electronic connections,NYSDOT and other transportation andoperations partners coordinate multi-modaloperational activities to enable incidentdetection, verification and responseactivities in the most timely and efficientmanner possible.

A TMC performs three basic functions:gathering, synthesizing, and disseminating traffic and travel condition information.7 Thesefunctions enable the TMC personnel to monitor and control the operations of the transportationsystem, whether it is the management of congestion, incidents, or other events. Being the focalpoint of travel conditions, the demand on the functions performed by the TMC becomes greateras the severity of an event increases and more agencies become involved as depicted in theright side of Figure 2.

TMCs are generally staffed 24/7 and have established protocols for operations and responsewith experienced and knowledgeable staff. As a result, they are key ETO resources whenevents occur at any time of day. They provide for real-time comprehensive reporting on thestatus of the network via assets such as Closed Circuit Television (CCTV) and detectors. Inaddition, they provide the information and/or means for statewide and regional distribution oftraveler information via a variety of mechanisms including input to 511 and use of VariableMessage Sign (VMS) and Highway Advisory Radio (HAR).

While the Department has a proven record in operating TMCs, managing the transportationsystem and responding to all types of events, it has recently begun to expand and formalizeprocedures with responding partners to take the incident management function to the next levelof refinement. This effort is being advanced through the development of a more formal TrafficIncident Management (TIM) program, which focuses on improved response to frequentlyoccurring traffic incidents.

7 NCHRP Synthesis 270, Transportation Management Center Functions, National Academy Press, Washington DC,1998

INFORM - LONG ISLAND


To reduce the impacts of incidents on safety and congestion, TIM is the process of coordinatingthe resources of a number of different partner agencies and private sector companies to detect,verify, respond to, clear, and recover from traffic incidents, as quickly as possible, whileprotecting the safety of on-scene responders and the traveling public. TIM involves manyagencies and private sector companies, and requires a 24/7 emergency response operationalphilosophy. The ability to clear incidents quickly while providing safety to on-scene respondersand travelers is one measure of the success of a TIM program. Important steps have alreadybeen taken to develop TIM teams in some Regions and deploy Incident Response Trailers foruse during major traffic incidents. However, while effective practices have been identified, morework is needed to develop a consistent definition of roles and responsibilities for responders aswell as a training program to provide guidance for Department personnel and partner agencies.

The Traffic Incident Management (TIM) program is further explained in Appendix H of thisreport. This includes a description of key elements of the program and its relationship to, andsupport of, the National Unified Goal for Traffic Incident Management. The Appendix also mapscross cutting strategies that are being progressed that support both ETO and TIM.


ETO touches all program areas within the Department. In order to respond effectively, theDepartment needs employees from all Divisions to be active members of the ICS organizationsin the Regions as well as at the Main Office. The Department relies on these personnel duringemergencies and exercises to provide a safe and effective response.

While ICS roles are the backbone of our response to any event, Figure 3 outlines some high-level activities from various program areas that contribute directly to ETO goals every day.Beyond actual field activities, other routine operations directly contribute to the Department’s overall response capability. All DOT program areas have a role to play in strengthening theDepartment’s ability to respond or manage various ETO events. For example, mitigation needsmust be considered using a systematic approach during program planning and project designactivities. Other routine activities are critical to support the ETO program, and include: detourplanning, budgeting, contract management, training, emergency reimbursement programs, ITsupport, employee safety, and many others.

The implementation of ETO does not necessarily change the work that is already being done bythe program areas, but aims to clarify expectations for what is required to meet ETO goals andhow existing functions can be better coordinated among program areas. A core group ofRegional and Main Office staffs should serve this function through the ETO and SecurityProgram Coordination Bureau and the Regional Emergency Managers.

While the ETO program involves all areas of DOT, it is recognized that the Operations Divisionhas a lead role in many planning, response, and recovery activities. TMCs and maintenancecrews must work together to detect incidents, dispatch crews, manage traffic, and makenecessary infrastructure repairs required to restore traffic in a timely manner.

In addition to routine operations such as snow and ice control and accident damage repairs,maintenance staff (some of which include highway, bridge, signal maintenance, and tree crews)have an expanded mission during major planned events and emergencies. Some of theseresponse activities may include:

Making emergency repairs to facilities; Setting up detours; Deploying traffic control devices or setting up road closures; Providing debris removal; Transporting equipment, and; Coordinating with other jurisdictions.

New technology and new expectations have also led to an increasing role for the Department’s TMCs. TMC roles focus largely on:

Monitoring the system and detecting incidents; Being the communications center for events; Coordinating initial response (HELP trucks, TIM teams, and Operations personnel); Controlling ITS field devices (cameras, VMS, HAR) to manage traffic; Providing Traveler / Public Information (Website, TransAlerts, Media feeds); Developing and enhancing relationships with first responders, and; Assisting in the development of transportation management plans for events.

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Figure 3:ETO Program Activities


Table 6 (Continued):

The Framework of the ETO program consists of amission statement, goals, strategies, and measures ofperformance. The goals support the mission statementand the strategies support the goals. The measures ofperformance provide ways for the Department togauge compliance with the strategies and makenecessary adjustments.

This portion of the plan outlines the specific goals andstrategies that make up the various program elementsof ETO. This “framework” was developed to provide a common basis for event activities implemented by theMain Office and the Regions. It is based on currentstrengths, known gaps, and NIMS requirementsidentified in the Regional workshops, from literatureresearch, and by discussions amongst the projectteam.

ETO GOALS

Goals for the ETO program were developed based on the mission statements of theDepartment and the ETO program. Six goals were identified as follows:

1. Save lives: improve traveler safety, maintain a safe workplace for Departmentresponders, and maintain or restore system availability for first responders;

2. Maintain and provide for mobility: utilize existing transportation capacity by minimizingtransportation disruptions that may occur or by providing alternate routes or modes whennecessary and facilitating access to modal facilities and other critical infrastructure;

3. Provide accurate and timely information to the public: ensure that accurate, real-time information is provided to travelers, the public, and response partners;

4. Restore the transportation network as soon as possible: improve and reduce theduration of an event by improving procedures for emergency response and repair;

5. Limit further damage to the transportation system and the environment: decreasethe economic impact of an event through improved transportation management orthrough long-term mitigation measures to minimize harm to surrounding areas; and

6. Support responses by other agencies/jurisdictions: promote partnerships amongresponding agencies to provide a more coordinated response effort for all types ofevents.

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ETO Mission:

“Prepare for, respond to, and recover from all typesof events, while engaging

internal and externalpartners to promote the

mobility and safety oftransportation users andfirst responders.”


To achieve these goals, a series of strategies has been outlined for the Department to pursue.The strategies are organized by the three phases of an event:

1. Preparedness: take measures to ensure that when an event occurs, the Departmenthas policies, procedures, partnerships, and resources in place to effectively respond andrecover;

2. Response: coordinate and carry out the Department’sresponse to events utilizing allappropriate procedures, resources, and information; and

3. Recovery: collaborate among Main Office, Regional employees, and partners to restorethe system to “normal”, to efficiently recover the Department’smonies expended, andidentify potential mitigation opportunities.

Each strategy described in this plan includes specific associated actions. Much of the activityneeds to take place during the Preparedness phase for the Department to be able to respondand recover quickly and effectively. Policies developed will lead to procedures that will requiretraining and resources to work effectively with partners in an organized manner. Plans, training,and drills will help each of the partners understand and become familiar with what they need todo during the response phase of an event even before the event occurs. After-action reportsused during the recovery phase will identify ways of improving response efforts. Timelyreimbursement for response activities will help to replace expended resources. Mitigation effortswill assist in Preparedness and alleviate the need for future response efforts.

STRATEGIES

Twenty-four (24) strategies were identified from the Regional workshops and project teammeetings: thirteen (13) for Preparedness, seven (7) for Response, and four (4) for Recovery.These strategies were identified by key stakeholders and are necessary to achieve the goals ofthe program.

A summary of the strategies for each event phase is presented in Tables 3 to 5. The strategiesare listed in priority order based on discussions by the project team. A complete list anddescription of each strategy is contained in Appendix A and includes an evaluation for thefollowing:

Existing State–the current state of activity; Desired State–the state to be achieved; Gap in the Desired State –the difference between the existing and desired

states; Effort–the method needed to reach the desired state, and; Concept of Operations –the required actions by both the Main Office and the

Regions to fulfill the strategy and achieve the desired state. These provide aready checklist.

The strategies will enable the Department to utilize all of its resources to implement the plan andachieve the program’s goals. The description for each strategy includes activities that arecurrently underway, as well as those actions that are new requirements or recommendations.


Table 3:Preparedness Strategies

ReferenceNumber

Strategy

P1 Develop clear and effective policies to guide ETO activities

P2 Develop clear and effective procedures to implement ETO

policies

P3 Maintain an organizational structure to coordinate and support

ETO activities

P4 Ensure resources are in place to enable a wide range of ETO

activities

P5 Develop and monitor the progress and performance of the ETO

program

P6 Train staff to meet NIMS requirements and to develop needed

operational competencies to support ETO activities

P7 Identify and develop technology to improve efficiency and

develop new capabilities

P8 Develop/support event or hazard specific plans to define

Department functions

P9 Conduct regular drills and exercises to ensure competency and

improve procedures

P10 Develop and foster internal and external partnerships

P11 Define and support the Department’s security role

P12 Maintain awareness of current and potential multi-modal

transportation impacts

P13 Develop and implement a public awareness and outreach

program to raise public awareness about the ETO program


Table 4:Response Strategies

ReferenceNumber

Strategy

RS1 Detect events in a timely manner

RS2 Consistently assess the impact of an event

RS3 Respond using a scalable ICS structure; ensuring life safety first

RS4 Communicate with partners on a real-time basis

RS5 Implement redundant communications

RS6 Provide timely travel information to the public and the media

RS7 Deploy/Track/Demobilize resources during response activities

Table 5:Recovery Strategies

ReferenceNumber

Strategy

RC1 Recover Department assets during demobilization

RC2 Conduct after-action reviews to evaluate performance and

implement improved procedures

RC3 Maximize reimbursement of funds from FEMA and FHWA

RC4 Identify and support implementation of changes to facilities and

infrastructure to mitigate future adverse impacts


A plan to implement the ETO Program Framework was developed by the project teamconsidering the number of activities involved and current resource constraints. This plan wasdeveloped by taking the actions associated with the identified strategies, and prioritizing themas high, medium, or low actions. For easier implementation, the actions were then categorizedinto the following six tracks, which highlight essential needs for the ETO program:

Track 1: Support the ETO program with Organization and Resources Track 2: Establish and Improve Policy, Procedures, and Plans Track 3: Improve Communications through Technology and Outreach Track 4: Train and Exercise Staff and Volunteers Track 5: Establish a Comprehensive Traffic Incident Management Program8

Track 6: Define the Department’s Role in Security

Tables 7 to 12 list the actions for each track in priority order.

The actions in each track have not been separated by Main Office and Region, since achampion for each action will be from the Main Office. The function of a champion is to fosterand nurture the action. The investment to implement the action is indicated as either being time,resources, or a combination of both. In some cases, a row is shaded to indicate those actionsthat cannot be fully implemented without additional resources and executive managementinvolvement.

A target timeframe to begin each action is also included in Tables 7 to 12. The timeframe isindicated as being a target for a number of reasons. For one, it is dependent upon actions bymany parts of the Department not involved in the development of this ETO Strategic Plan. Theirbuy-in needs to take place. The schedule is aggressive over a four-year time frame. The four-year horizon for implementation was selected since it requires immediate activity and willmaintain the momentum gained through recent events.

Note: Because of the aggressive timeframe, the action plan cannot be accomplished inthe four years without additional resources. If this is not possible, the timeframewill extend further into the future.

8 Appendix H contains a description of the Traffic Incident Management Program

IImmpplleemmeennttaattiioonn PPllaann


ACTION ITEMS

Track 1. Support the ETO program with Organization and Resources.

Table 7:Track 1 - Actions

Cannot be fully implemented without additional resources and executive managementinvolvement

Action Investment ChampionTarget

Timeframe

1. Ensure Regional EmergencyContracts are in place

TimeETO and Security Program

Coordination BureauOngoing

2. Assess and prioritize ETOresponse equipment needs andpropose sufficient budget forcritical needs


Coordination Bureau2009

3. Maintain Main Office andRegional ICS structures consistentwith MAP 6.2-1 and MAP 6.2-2



4. Create and appoint dedicatedETO positions in each Region

Time andResources

Operations Division 2009

5. Improve and monitor a statewidesystem of accounting forreimbursement from FHWA andFEMA

Time Local Programs Bureau 2009

6. Establish a dedicated ETO budgetand maintain an emergency fund

Resources Operations Division 2009

7. Monitor all paperwork and submitDDIRs and PWs in a timelymanner

Time Local Programs Bureau Ongoing

8. Develop means to extractinformation from MAMIS

TimeOffice of Transportation

Maintenance2009

9. Establish a consistent DOB policyon easing the letting cap due torequired event spending

TimePolicy and Strategy

Division2009

10. Provide sufficient funds for STICCto operate for 24 hours, 7 days aweek

Resources Operations Division Yearly

11. Maintain a well-equipped EOC(i.e. STICC)

ResourcesETO and Security Program



Table 7 (Continued):Track 1 - Actions



Timeframe

12. Maintain a statewide/regionalresource inventory by location

Time andResources

Office of TransportationMaintenance

2010

13. Assign regional coordinatorresponsibilities to a consistentposition statewide to be in chargeof the reimbursement process andwork with local partners

Time andResources

Local Programs Bureau Complete

14. Develop a staff retention planTime and

ResourcesOffice of Human

Resources2009

15. Maintain pre-planned responsecrew configurations

TimeETO and Security

Program CoordinationBureau

Ongoing

16. Engage all Department Divisionsto understand ETO and their rolein ETO activities

TimeETO and Security

Program CoordinationBureau

2009

17. Provide and use laptops forassessments

Time andResources

Information TechnologyDivision

2011

18. Apply NIMS “typing” to allequipment inventories

Time andResources

Office of FleetAdministration & Support

2009

19. Develop a succession program sothat ETO knowledge is not lostthrough retirements or departures.

Time andResources

Office of HumanResources

2010


Track 2. Establish and Improve Policy, Procedures, and Plans.

Table 8:Track 2 - Actions


Timeframe

1. Maintain and improve proceduresfor ICS activations



2. Maintain/update contact lists forMain Office, Regions, and othertransportation agencies


Coordination BureauQuarterly

3. Evaluate Department compliancewith NIMS requirements anddevelop corrective action plan, ifnecessary.


Coordination BureauYearly

4. Develop a self assessment tool forMain Office and Regions toprioritize actions for improvementof the ETO program

Time andResources

ETO and Security ProgramCoordination Bureau

Complete

5. Maintain Main Office and establishRegional COOPs



6. Conduct an after-action reviewafter each major event and arepresentative sample of minorevents–Main Office and Regions



7. Develop guidelines for Regions todevelop a database of rankedRegional vulnerabilities that mayaffect transportation



8. Provide inventory vulnerability datato Regions (i.e. dams, bridges,pipelines, etc.)

Time Asset Management Group 2009

9. Maintain a “watch list” of potential transportation impacts based onidentified vulnerabilities, recurringevents, or forecasted events



10. Coordinate regional plandevelopment for identified hazardsand unplanned events, such ashurricanes



11. Develop, implement, and monitor astatewide performance measuresprogram for preparedness,response, and recovery



12. Develop a consistentdemobilization plan format andguidance




Table 8 (Continued):Track 2–Actions


Timeframe

13. Establish consistent Regionalprocedures for all events



14. Contribute to State/regionalComprehensive EmergencyManagement Plans



15. Identify mitigation needs from allsources including after-actionreports in support of proactivePreparedness activities



16. Improve coordination and trackingof statewide resource deploymentsusing the Logistics Spreadsheet,including small equipment

TimeOffice of Fleet

Administration & Support2009

17. Improve use ofNOAA/NWS/AccuweatherProinformation for predicting weatherimpacts



18. Develop an improved system forissuing/storing procedures(i.e., Website/P drive)



19. Develop statewide response/ ICSactivations policies for overtimeuse during events

TimeAdministrative Services

Division2009

20. Develop statewide/regional ETOpolicies and procedures for ITSfield devices (i.e., VMS, HAR,CCTV, etc.)

TimeSystem Optimization

Bureau2009

21. Develop procedures for andsupport of statewide IMAT teams

Time andResources


2010

22. Identify and monitorimplementation of mitigationsolutions identified by Regions


Coordination Bureau2009/Yearly

23. Develop contingency plans forpotential multi-modal and multi-regional transportation impacts



24. Establish damage assessmentprocedures including use ofstandard GIS software

Time andResources


2009


Table 8 (Continued):Track 2 - Actions


Timeframe

25. Develop or contribute to plans forplanned special events



26. Develop or contribute to short andlong term recovery plans



27. Develop operations manual andtraining for the mobile commandvehicle

TimeSystems Optimization

Bureau2009

28. Develop an improved process totrack response costs



29. Implement a Dark Signal policyTime and

ResourcesTraffic Operations Bureau Ongoing

30. Define the Department’s role in Radiological Preparedness (inconjunction with Employee Safety)

TimeEmployee Safety and

Health2009


Track 3. Train and Exercise Staff and Volunteers.

Track 9:Track 3 - Actions


Timeframe

1. Facilitate and take NIMS and ICScourses that meet NIMSrequirements

Time andResources


Ongoing

2. Develop and implement astatewide drills/exercises plan

Time andResources


Ongoing

3. Maintain a trained team of agencyrepresentatives for sustaineddeployment to SECC and localEOC’s

Time andResources


Ongoing

4. Provide and take FHWA andFEMA reimbursement programstraining

Time Local Programs Bureau Ongoing

5. Provide training in the use of theETO self-assessment tool

Time andResources


2009

6. Provide training for STICCoperators / ICS staff



7. Ensure damage assessmentpersonnel are trained andequipped

Time andResources


2009

8. Provide and take informationsystems training that includesRSDA, Regional Architecture Web,and DisasterLAN

Time andResources


2009

9. Coordinate and take PMC trainingwith SEMO

Time andResources


Ongoing

10. Participate in drills and exerciseshosted by other transportation andresponder agencies



11. Develop and take training inpractices for responder safety inRadiological Preparedness

Time andResources

Employee Safety andHealth

2009

12. Track regional ETO related training TimeETO and Security Program

Coordination Bureau2009/Ongoing

13. Assess the effectiveness ofconducted drills and exercises


Coordination BureauYearly

14. Key ETO staff should take FEMAProfessional Development Series


Coordination Bureau2009/Ongoing

15. Coordinate HAZMAT Awarenesstraining

TimeOffice of Transportation

Maintenance2009/Ongoing


Track 4. Improve Communications through Technology and Outreach.

Table 10:Track 4–Actions


Timeframe

1. Establish/Revitalize TIG andCoordinate ATIGs (includingupdate of TIG Annex to StateComprehensive EmergencyManagement Plan)



2. Evaluate existing technologysystems and determine if allsystems are needed, how thesystems need to be coordinated,and if there is a better way tomaintain systems

Time andResources

Information TechnologyDivision

2010

3. Develop and implement a ETOMutual Aid/Shared Services policy



4. Develop a comprehensive back-up communications plan includingprocedures to ensure back-upcommunications are operable



5. Improve methods to monitorsituational awareness/systemstatus ex. VMS, HAR, ISP, STICC

Time andResources


Ongoing

6. Evaluate and improve methods ofproviding information to the public& the media during events

Time Office of Communications 2009

7. Develop and implement astatewide outreach program toinform the public about availabletraveler information sources, suchas 511, VMS, etc.

Time andResources

Systems OptimizationBureau

Ongoing

8. Improve stakeholder relationshipsto support information/resourcesharing, such as Local/StatePolice, NYSTA, SEMO,TRANSCOM, NITTEC, multi-modal agencies, etc.



9. Strengthen STICC’s ability to monitor multi-modal events



10. Develop a plan for TMCinteroperability and redundancy

Time andResources


2010



Table 10 (Continued):Track 4–Actions


Timeframe

11. Adopt technology forinteroperable voice and datanetworks

Time andResources


2011

12. Coordinate Regional contributionsto evacuation plans



13. Create and maintain a statewidecommunications capability using astatewide video (traffic cameras)network


Bureau2009

14. Provide statewide 24/7 IT supportsuch as Help Desk, desktop, etc.

ResourcesInformation Technology

Division2009

15. Attend Conferences/ Meetings/Seminars

Time andResources


Ongoing

16. Share best practices amongRegions through periodic ETOmeetings


Coordination BureauOn-going

17. Develop a maintenance procedureand upgrade plan for ETOcommunications and technologyequipment based on Item 1.



18. Monitor Main Office and regionalETO outreach activities



19. Conduct a yearly ETO conferencewith internal and externalstakeholders

Time andResources


2010/Yearly

20. Monitor the transportation systemusing RWIS

Time andResources


2009

21. PIO to work with media to promoteDepartment efforts during events

Time Office of Communications Ongoing



Track 5. Establish a Comprehensive Traffic Incident Management (TIM) Program.




Timeframe

1. Develop a plan to implement astatewide comprehensive, multidisciplinary TIM program

Time andResources


2009

2. Define and designate TIM teampositions

Time andResources


2009

3. Implement Regional TIM responsecapabilities

Time andResources


2010

4. Establish and implement standardTIM equipment patterns

Time andResources


2010

5. Develop and implement multi-disciplinary TIM policies andprocedures for incident responsetrailers


Bureau2009/2010

6. Establish Regional relationshipswith first responders


BureauOngoing

7. Develop a TIM training programTime and

ResourcesSystems Optimization

Bureau2009

8. Develop and implement multi-disciplinary TIM policies andprocedures for Move IT and QuickClearance

Time andResources


2010

9. Implement defined roles forRegions under unified commandfor traffic incidents


Bureau2009/2010

10. Develop and implement a programto promote public awareness andeducation regarding the public’s role in safe efficient resolution ofTIM events, such as Move it andQuick Clearance legislation

Time andResources


2009/2010

11. Coordinate with GTSC and DMVfor driver training and awareness


Bureau2009


Track 6. Define the Department’s Role in Security.



Timeframe

1. Develop a statewide plan definingthe Department’s role in security



2. Define security related actions andprotocols for critical infrastructureprotection

TimeEngineering Division(Office of Structures)

2009/Ongoing

3. Define security relatedactions/limitations and protocols forawareness and information sharing



4. Define security relatedactions/limitations and protocols foroperational issues



5. Determine the feasibility ofcredentialing




MEASURES OF PERFORMANCE

Measures of performance can help the Department understand how well the goals of the ETOprogram are being met and indicate areas that require correction. They are provided in twoparts: performance measures and a self-assessment tool. Performance measures can provideperiodic information on how well the strategies are meeting the program’s goals. Self-assessments can provide yearly guidance on which strategies need priority corrective actions.

During the course of the Regional workshops, several performance measures were identified.Some examples are the number of drills/exercises performed, the number of employees trainedin ICS, response time, clearance time, etc. Based on these, performance measures specific tothe ETO strategies were developed and are listed in Table 13. Two measures are purposelypresented for each strategy as a starting point for the development of future performancemeasures. Additional performance measures could be added based on current measures beingused and also future needs. Again, the key to the use of performance measure is to keep themsimple, easy to compile, timely, and useful.

Performance measures should be compared against a benchmark, which could be a statewidebenchmark, such as having all personnel trained in NIMS. Another type of benchmark could beset based on local criteria, such as having attended all partner meetings during the last year.Benchmarks should be developed as this ETO plan is being implemented.


PERFORMANCE MEASURES

Table 13:Suggested Strategy Performance Measures

Strategy Suggested Performance Measures

P1–Develop clear and effective policies to guideactivities

1. Percentage of policies outstanding

2. New policies established yearly

P2–Develop clear and effective procedures toimplement ETO policies

1. Percentage of procedures outstanding

2. New procedures established yearly

P3–Maintain an organizational structure tocoordinate and support ETO activities

1. Date of last update to ICS roster

2. Succession program developed

P4–Ensure resources are in place to enable awide range of ETO activities

1. Number of emergency contracts in place

2. Number of dedicated ETO positions

P5–Develop and monitor the progress andperformance of the ETO program

1. Performance measures implemented

2. Yearly self assessment performed

P6–Train staff to meet NIMS requirements andto develop needed operational competencies tosupport ETO activities

1. Percentage of required NIMS trainingcompleted

2. Percentage of staff trained in FHWA andFEMA reimbursement programs

P7–Identify and develop technology to improveefficiency and develop new capabilities

1. Percent of existing information systemsevaluated

2. Number of new technologies implementedyearly

P8–Identify event or hazard specific plans todefine Department functions

1. Vulnerability guidelines implemented

2. Last update of vulnerabilities database

P9–Conduct regular drills and exercises toensure competency and improve procedures

1. Number of drills/exercises implemented

2. Adherence to statewide drills/exercises plan

P10–Develop and foster internal and externalpartnerships

1. Number of TIG / ATIG meetings held

2. Number of periodic ETO meetings

P11– Define and support the Department’s security role

1. Is a security plan in place?

2. If determined feasible, percent of requiredstaff credentialed

P12–Maintain awareness of current andpotential multi-modal transportation impacts

1. Statewide plan developed

2. Number of potential events added to “watchlist”


Table 13 (Continued):Suggested Strategy Performance Measures

Strategy Suggested Performance Measures

P13–Develop and implement a publicawareness and outreach program to raise publicawareness about the ETO program and thepublic’s role

1. Implementation of statewide outreachprograms on traveler information

2. Implementation of public awareness programsof public’s role in TIM events

RS1–Detect events in a timely manner 1. Number of events not detected in a timelymanner

2. Number of active Regional partners

RS2–Consistently assess the impact of events 1. Number of damage assessment personneltrained and equipped

2. Damage assessment procedures in place

RS3–Respond using a scalable ICS structure;ensuring life safety first

1. Last update of ICS structure

2. Number of ICS team meetings

RS4–Communicate with partners on a real-timebasis

1. Last update of contact list

2. Average time for event notification

RS5–Implement redundant communications 1. Back-up communications plan implemented

2. Back-up communications tested regularly

RS6–Provide timely travel information to thepublic and the media

1. Number of VMS / HAR alerts posted

2. Number of press releases issued

RS7–Deploy/Demobilize resources duringresponse activities

1. Number of IMAT teams deployed

2. Last update of Regional Emergency ContactList

RC1–Recover Department assets duringdemobilization

1. Last update of statewide resource inventory

2. Number of assets tracked

RC2–Conduct after-action reviews to evaluateperformance and implement improvedprocedures

1. Number of after-action reviews completed asa percentage

2. Number of best practices identified

RC3–Maximize reimbursement of funds fromFEMA and FHWA

1. Number trained in reimbursement process

2. Amount of outstanding reimbursements

3. Percent cost vs. reimbursed/recovered

RC 4–Identify and support implementation ofchanges to facilities and infrastructure to mitigatefuture adverse impacts

1. Number of mitigation funding sourcesidentified

2. Number of mitigation needs identified fromafter-action reports


SELF-ASSESSMENT

Self-assessment tools have been developed for the Main Office and the Regions to help themidentify strategies that need priority corrective actions. The self-assessment tools provide ameans to determine how well the Department’sMain Office and Regions meet the intention ofthe ETO strategies. Areas that need improvement can be identified and put in priority order. It issuggested that the tools be used annually.

The self-assessment is best done as a small group exercise. Those involved should representthe key stakeholders of ETO. Steps for conducting the exercise are:

1. Assemble a small group of key ETO players including the RD, RDO, REM, RTE, etc.

2. Provide the self-assessment tool to these key players before the assessment meeting.

3. Have the key players score the assessment and bring the score sheets with them to theassessment meeting.

4. Meet to discuss the scores and agree upon a consolidated score for each strategy.

5. Select three to five improvement areas to work on for the succeeding year.

The self-assessment tools for Main Office and Regions are contained in Appendix B and C,respectively.


By implementing the strategies outlined in this plan, the Department will capitalize on itscapabilities in managing incidents of all types. Demands, such as increasing expectations fromthe public and partner agencies, new technology, and new requirements from State and Federalentities, require that the Department take a more coordinated approach. The ETO StrategicPlan outlines the program elements, required actions, and needed partnerships, commitments,and resources to develop a robust program to help the Department meet its mission to ensurethe safety and mobility for users across all transportation modes in New York.

The Department is committed to providing an ETO program that provides a high level ofcustomer service and support of ETO. The Plan’s “All-Hazards” approach will ultimately provide a basis through which State and local agencies can coordinate in preparing for, responding to,and recovering from events, regardless of their size. To ensure the success of the ETOprogram, a combination of dedicated funding, a commitment of necessary resources, andsupport from transportation partners will be needed.

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Documents

EMERGENCY TRANSPORTATION OPERATIONS STRATEGIC …