Managing Travel for Planned Special Events

Chapter Four. Regional and Local Coordination
Page 2 of 4

Regional Level  

Institutional Framework

Stakeholder Roles and Coordination

Program planning for regional planned special events concerns proactively improving travel management for all planned special events in a region. This necessitates the involvement and coordination of stakeholders representing multiple jurisdictions. At the program planning level, the stakeholders include:

• Those agencies directly involved in planning and day-of-event travel management for special events. These include law enforcement agencies, transportation departments, transit providers, and regional organizations.
• Others who typically are not involved in transportation management, such as the event organizers and elected officials serving an oversight role.
• Typically, mid-to-upper level agency administrators that collectively form the planned special events oversight team.

The FHWA publication, Regional Transportation Operations Collaboration and Coordination, addresses how regional coordination can take place during incidents and emergencies.⁽¹⁾ While unplanned events are not specifically targeted in the publication, the same basic elements can be applied to planned special events. Figure 4-2 indicates five major elements of a framework for regional collaboration and coordination. The balance of this section notes how each of the elements fits into regional coordination for planned special events. The five-step process described below is not instituted when an incident or emergency takes place, but is a way of doing business that facilitates regional coordination when an event occurs.

Figure 4-2. Major Elements of a Framework for Regional Collaboration and Coordination⁽¹⁾

Step One: Identify the Stakeholders. Which agencies and organizations will have a role in managing events? Which agencies have an oversight role? Depending on the location, there may be multiple states or several metropolitan planning organizations (MPOs) that have an oversight role.

As these questions are answered, a widening circle of stakeholders will be identified. As they are listed, their roles and responsibilities will be noted. Since not all stakeholders will have the same level of participation, their involvement in the planning process can also be assessed.

Step Two: Identify a Lead Agency. While a collaborative process is ideal in dealing with a planned special event, there is still a need to identify a lead agency that will have overall responsibility for the group's work. In many instances, no one agency will have a clear leadership role for program planning. A possible way to pick a leader without offending other lead agencies is to use co-chairs representing different disciplines or geographic areas. Leadership can also rotate to assure that all key players have an opportunity for a leadership role.

While the lead agency oversees the entire process, it can delegate elements of the plan to others with expertise in particular areas. For example, public safety issues might be assigned to a law enforcement agency or a sub-committee of public safety agencies. These stakeholders would help make up the structure in which regional coordination takes place.

Step Three: Maintain Communication. Throughout the planning process, communication among stakeholders is critical. Meetings of the stakeholders represent a venue where stakeholders can share what they see as their role in the planning process. As they meet, roles and responsibilities are adjusted as agencies understand what other agencies will be doing and how they can assist each other.

Step Four: Form Subcommittees. Depending upon the complexity of the event, subcommittees may be formed to focus on specific planning elements. For example, security may only directly involve law enforcement agencies at the local, state and federal levels. These agencies can meet separately to plan their segment of the overall plan. Representatives of these subcommittees can share their progress, along with their needs, with other stakeholders at higher level planning meetings.

Step Five: Continue Communication. Throughout the planning process, the lead agency takes a big picture view and serves as a coordinator. Its responsibility is to see that communication and coordination are taking place among the stakeholders and, if necessary, to facilitate that coordination where it is not taking place.

Programs and Initiatives

While planned special events may be temporary, and the planning for those events may bring together a group of stakeholders only for that event, ongoing programs and initiatives can be used to address general special event needs on a continual basis. This portion can be described as the processes of coordination. Processes are what the stakeholders have agreed to that will provide the basis for how they will work together. An institutional framework can be created either before an event takes place or based on the planning for a specific special event. This framework can be used on a continuing basis to allow easier coordination among agencies for future events and eliminates the need to re-establish working relationships, which have already been created.

A state transportation agency or an MPO can develop a program that identifies what is needed for the effective management of special events. These overarching needs may include funding mechanisms, means of early identification of special events needing regional planning, and a template to bring stakeholders together to begin the planning process.

Funding is an important consideration since it is needed to pay for the time of staff assigned to planning and coordination efforts. Without an identified source of funding, the participation of agencies is subject to the availability of financing from the home agencies of those asked to take a role. At times of budgetary restrictions, agencies may not choose to make staff members available for planning and coordination, or they may limit the time or number of staff members who are needed to formulate a plan. This could be especially true for agencies that are outside of the jurisdiction where the event is being held. However, funding could be included within the budget of an MPO or a state DOT.

While all stakeholders may be aware of recurring special events, such as sporting events and annual fairs, or major events such as the Olympic Games or the Super Bowl, less prominent events may not gain notice until just before the event. Having a program in place to identify special events requiring planning well in advance is beneficial. This initiative could take several forms. One example is regularly scheduled meetings where upcoming events are noted and discussed among regional agencies. Identification of potential problems would alert all involved to the event and allow agencies to decide if multi-agency planning needs to take place. Such meetings could be held specifically for this purpose, or they could be incorporated as part of gatherings held for other purposes.

The process of regional coordination and collaboration leads to the products of coordination. These products include a regional concept of operations, baseline performance data, current performance information, and operating plans and procedures that inform regional entities (public and private sector) about how the regional transportation system must operate over time (including planned improvements).

Integration with Other Transportation Programs

Planned special events are just one example of transportation activities requiring multi-agency coordination. Special events planning could be held in conjunction with other multi-agency efforts such as construction coordination, incident management planning, and wireless communications coordination. These activities bring together most, if not all, of the key regional transportation and public safety agencies and, in turn, allow them to discuss special events while they are already together. By expanding the agenda of such meetings to include initial special events planning, agencies are given one more reason to attend. Also, meeting fatigue is limited by not having stakeholders attend separate meetings focused only on special events.

For some smaller special events, these regularly scheduled meetings may be sufficient to alert affected stakeholders and to do a minimal amount of planning. For larger special events, requiring more detailed preparation and coordination, separate meetings should be considered. This will allow specialists to participate where necessary and will allow the original meeting to not lose its focus on a wider agenda. The regularly scheduled meetings can also be a place where updates of the more detailed plan are presented.

Policy Support

Interagency Agreements

In most instances, transportation and law enforcement agencies have no prohibitions from coordinating efforts with other agencies, especially for events expected to have an impact on that agency. However, there are instances where interagency agreements are helpful, or even necessary, for multi-agency cooperation.

While interagency agreements will vary based on state law and the culture of the agencies, there are some common issues they can address.

One issue would be areas of responsibility. State police, state DOT and toll agencies could each be given broad areas of responsibility through an interagency agreement. By spelling out these responsibilities ahead of time, turf issues can be minimized and the same ground does not have to be covered each time the agencies gather to plan a special event.

Funding issues can also be addressed in interagency agreements. If it is known ahead of time who will be paying for various aspects of the effort, confusion will be reduced and participation encouraged. In some instances, the agreements could specify that a non-public agency, such as the event organizer, is responsible for paying for certain parts of the planning and coordination effort.

Legislation

Legislation provides the legal authority for a government agency to take certain actions. In many instances, activities involved in special events planning have already been addressed by legislation. Examples include law enforcement responsibilities for the state patrol on an interstate highway leading to the event venue or the state department of transportation being responsible for operation of a transportation management center (TMC) in the area of the event. However, there may be special circumstances not addressed in current legislation.

Examples where special legislation may be needed could include permitting agencies to operate outside their current jurisdiction or taking on activities they have not been given specific authority to undertake.

Some important considerations in establishing legislation during the program planning phase include:

• Since creating and passing legislation is normally a lengthy process, it is important that these needs are identified early so the process can be completed before the new law is needed.
• In many instances, a request for legislation has to go through many steps within an agency before it is even presented to lawmakers. At a minimum, agency counsel and executive management needs to be involved. Since these individuals typically would not be involved in special events planning where these needs are first identified, it is also important that procedures be in place to begin the legislative process.
• Most agencies already have procedures in place to bring legislative needs to the attention of lawmakers, but it is important that those who first identify these needs know what those procedures are and how to get the process started.

Regional Planned Special Events Program

Key Elements

A regional planned special events program is an ongoing process designed to address a region's needs for managing special events. It is not a program put in place to address a specific special event, although a specific event may trigger the formation of such a program.

The program involves those agencies that have a role in managing planned special events as well as those agencies that may be in an oversight or funding role.

The program will put in place the framework for handling regional planned special events including:

• A template for groups created to deal with specific special events.
• Identification of funding to support such planning.
• Identification of infrastructure improvement needs in the region to better manage special events.

All of these elements used to implement a regional special events program can be considered the resources. These resources will vary depending on what is available in the region and to the participants.

Scope and Benefits

The scope of such a program should focus on planned special events of regional significance. If an event can be wholly managed within and by a single agency or jurisdiction (e.g., through a planned special event permit program), then there is no need for the regional plan to come into effect.

However, those events that reach beyond a single agency or jurisdiction would be addressed by this program. Regional events may vary in size. For example, a parade through two towns would have limited regional impact and might require only minimal coordination, but a mega-event, such as the Olympics, would involve multiple regions and a large number of agencies.

Key benefits of a regional planned special event program include:

• The primary benefit to the creation and maintenance of such a program is that it establishes a mechanism for agencies to work together before they are forced to work together as the result of an impending event.
• By early identification of funding opportunities, agencies can address monetary needs prior to the event. Therefore, when an event is proposed, stakeholders can focus on planning and not be concerned with funding the planning.
• Another benefit is that by early identification of infrastructure improvements, there is a higher likelihood that the improvements can be put in place before they are needed. Noting what improvements are needed just before the event may mean they will not be available given the lead time needed to make the improvements.
• Legislative and policy needs will also be identified through this program. As with infrastructure improvements, this will allow these needs to be addressed prior to their being required.
• An intangible benefit accruing from a regional planned special events program is the development of relationships that will extend to other operational areas.
• Better communication and cooperation is likely and will help in areas such as incident management and construction coordination.

It is important that performance measures be planned: (1) to note the performance benefits of the regional planned special events program and (2) to demonstrate the differences it has made to mobility and coordination within the region. Since the goals and objectives of the program are part of a collaborative process, what is measured should also be agreed to by the participants.

Stakeholder Organization

The stakeholders in a regional program such as this will vary from region to region. Table 4-1 lists organizations that should be considered part of the program. Leadership of the program will vary by region, but the agencies most likely to take the lead include state DOTs, state law enforcement agencies, and MPOs.

Program Development and Sustainment

Perhaps the hardest step in the development of the program is the first step, creation of the program. A champion of the idea, who is willing to go through the difficulties in establishing the program, is very helpful. This person can reach out to those people in leadership positions who will support the program and assign people within their organization to work on its creation. The champion will also shepherd the program through the red tape, agency mazes, and obstacles any significant new idea is sure to face.

Ideally, agencies should assign people within their organization who support the concept and who can speak on behalf of their agency when decisions need to be made. These people should have a strong commitment to the program and be willing to attend meetings and take follow-up actions identified at these meetings.

Potential funding agencies should be a part of the program from the start. They can provide guidance on where funding is available and the steps that need to be taken to obtain it. By being involved at the beginning, the representative from the funding agency can guide the group in what they must do and help avoid situations where early decisions have to be adjusted to meet needs that are later identified.

The sustainment of the program will be due, in part, to the support of those who participate. Open lines of communication should keep all stakeholders and interested observers informed of what is being done as well as problems that may be encountered. What is needed is not someone who only sees the good, but someone who can make a realistic assessment of where the challenges lie and how to overcome them.

While what is described in this section involves varying levels of involvement, a region just starting to initiate program planning for regional planned special events should not be intimidated by what may be required before they take their first steps. As a starting point, even before high-level support is obtained or funding is identified, first steps can be taken on an informal basis among operations level staff to share information and to use resources which are already available, such as highway advisory radio (HAR), changeable message signs (CMSs), and interagency communications channels. Often it is these first, informal steps that demonstrate the value of regional coordination and lead to more formal support.

Services and Initiatives

The customers for this group are the event planning team and traffic management team charged with making planned special events run smoothly from a transportation perspective. The services they provide should be designed to make special event operations run well. While the regional planned special events program stakeholder group will identify early action steps and other needs, it is important that they seek the input of operations personnel as they define the services they will provide.

The very creation of the group provides an important service: (1) a forum for information to be shared and (2) needs to be identified. Other services the program will provide are those noted earlier:

• Identification of funding sources.
• Funding of the program itself.
• Identification of needed infrastructure improvements.

By handling these issues, the program will allow operations staff to focus on specific plans and leave some of these other concerns to the group.

Institutional Issues

A regional planned special events program will face some of the same institutional issues faced by other multi-agency programs. To assure the success of the program, the following two institutional issues should be handled at the start of the process:

• Control and leadership issues.
• Need for buy-in from participating agencies.

The program needs to be flexible enough to deal with changing conditions. The structure established may not always be the ideal one for every event. Agencies should be comfortable dealing with the ambiguity that comes with new situations and be able to adjust to the situation presented.

The flexibility also affects budgeting. While expenditures need to be allocated, a reallocation will likely be needed at times to address new concerns and needs.

While a core group will participate in running the program, it may be necessary from time to time to bring in new organizations. The program should anticipate expansion so that it does not become an issue and can easily be integrated. While institutional issues among participating agencies may be a problem at the start, there exists danger of the program itself becoming an institution and presenting its own set of issues.

Many institutional issues can best be handled by those who participate in the regional planned special events program. The relationships established by committee members can be extremely helpful in overcoming encountered problems. As personal relationships develop among the members, institutional barriers become less significant and easier to deal with.

A regional committee on planned special events should not see their task as a one-time effort. Even without a specific event on the horizon, the group should work to maintain the relationships developed and adjust the planning process so that it remains fresh. This could be encouraged through regular meetings in which the group looks at upcoming special events that might require regional coordination or by expanding the role of the group so they can address other transportation management issues in-between special events. This could include areas such as roadway construction coordination and incident management planning. Some regions have even used groups such as this to provide better regional coordination for non-events such as road weather management or recreational traffic management (e.g., reach the beach, etc.).

While many of the issues addressed in this section look at planning for special events on both a short-term and medium-term basis, agencies also should consider long-term planning (10-20 years) on how they wish to handle special events. This long-term planning can address areas such as: (1) major infrastructure improvements, (2) creation of new organizations that may be needed, or (3) long-term financial and legislative needs to address these improvements. While operations level people can help identify these needs, the development of long-term plans also will require the involvement of planners and executive staff, along with legislators and their staffs. An MPO can also be expected to play a major role in meeting these long-term needs since they will approve Federal funding and will be able to view these needs in the context of all transportation needs for the region.

Relationship to FHWA Traffic Incident Management Self-Assessment Guide

The FHWA maintains a Traffic Incident Management (TIM) Self-Assessment Guide intended for use by state and regional TIM program managers to assess their achievement of a successful multi-agency program to manage traffic incidents effectively and safely.⁽²⁾ Managers may also utilize the tool to evaluate gaps and needs in existing multi-agency regional and statewide efforts to mitigate congestion and safety impacts caused by traffic incidents. The TIM Self-Assessment tool consists of a series of questions designed to allow those with traffic incident management responsibilities to rate their performance, by assigning a score ranging from 0 (no progress) to 4 (outstanding efforts), in specific organizational and procedural categories.

Planned special events often represent a major element of a traffic incident management or freeway management and operations program. Such programs may spawn a committee on planned special events for the purpose of managing all planned special events in the program's region. The TIM Self-Assessment tool contains a TIM administrative team assessment question on planned special events. Question 4.1.2.5 states: Does the assessed TIM program conduct planning for "special events" including sporting events/concerts/conventions, etc.? This tool also includes several assessment questions applicable to measuring a program's progress regarding the advance planning and management of travel for planned special events.

Table 4-2 lists pertinent assessment questions categorized by the five defined phases of managing travel for planned special events. This technical reference provides guidance on the topics identified in the assessment questions from the perspective of planned special event planning, operations, and evaluation.