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84 APPENDIX B Survey Questionnaire NCHRP Synthesis 44-12 All-Hazards Emergency Training and Exercises for Maintenance & Operations Personnel Introduction Dear AASHTO Special Committee on Transportation Security and Emergency Management (SCOTSEM), AASHTO Subcommittee on Maintenance, American Public Works Association (APWA), and International Municipal Signal Association (IMSA): The Transportation Research Board (TRB) is preparing a synthesis on All-Hazards Emergency Training and Exercises for Maintenance & Operations Personnel. This is being done for NCHRP, under the sponsorship of the American Association of State Highway and Transportation Officials, in cooperation with the Federal Highway Administration. The Goal of NCHRP Synthesis 44-12 is to identify emergency training tools, exercises, and courses for the maintenance & operations (M&O) field personnel of (1) tribal and local public works agencies, and of (2) state DOTs, particularly at the district level. Maintenance & operations (M&O) personnel of state DOTs district offices, and tribal and local public works agencies who work in the field are often first on the scene when an emergency occurs. Therefore, their preparedness is essential, and training and exercises in all hazards emergency planning, preparation, and response is the key to their preparedness. Accordingly, the purpose of this Survey is to gather information on Emergency Operations and Hazards Awareness training and exercise practices of state DOTs and local and tribal public works agencies, as well as information on training and exercise delivery methods. We seek to create a Toolbox of relevant training and exercise information and to identify key training- and exercise-related needs and issues relevant to M&O field personnel. This questionnaire is being sent to state DOT district offices, and to local and tribal public works agencies around the country. Your cooperation in completing the questionnaire will ensure the success of this effort. If you are not the appropriate person at your agency or organization to complete this questionnaire, please forward it to the correct person. Please compete and submit this survey by March 12, 2013. We estimate that it should take approximately 20 minutes to complete. If you have any questions, please contact our principal investigator Dr. Yuko Nakanishi at
85 Dr. Yuko J. Nakanishi. Email: email@example.com. Phone: (347) 512-1959 Any supporting materials can be sent directly to Dr. Nakanishi by email. QUESTIONNAIRE INSTRUCTIONS 1. To view and print the entire questionnaire, Click on the following link and print using "control p". 2. To save your partial answers and complete the questionnaire later, click on the "Save and Continue Later" link in the upper right hand corner of your screen. A link to the incomplete questionnaire will be emailed to you from SurveyGizmo. To return to the questionnaire later, open the email from SurveyGizmo and click on the link. We suggest using the âSave and Continue Laterâ feature if there will be more than 15 minutes of inactivity while the survey is opened, as some firewalls may terminate due to inactivity. 3. To pass a partially completed questionnaire to a colleague, click on the on the "Save and Continue Later" link in the upper right hand corner of your screen. A link to the incomplete questionnaire will be emailed to you from SurveyGizmo." Open the email from SurveyGizmo and forward it to a colleague. 4. To view and print your answers before submitting the survey, click forward to the page following questions 19 and 20. Print using âcontrol p.â 5. To submit the survey, click on "Submit" on the last page. Thank you very much for your time and expertise. Please see the next page for a glossary and a list of acronyms used in this questionnaire. Please enter the date (MM/DD/YYYY). Please enter your contact information. NCHRP will email you a link to the online report when it is completed. First Name * Last Name * Position/Title Agency/Organization *
86 Glossary and Acronyms Glossary and Acronyms This Glossary is based primarily on NCHRP TCRP Vol. 9 and HSEEP Volume I Glossary: Drill. A coordinated, supervised activity usually used to test a single, specific operation or function in a single agency. Drills are commonly used to provide training with new equipment, to develop new policies or procedures, to practice and maintain current skills, and to test skills that constitute one or more components of a plan. Emergency. An incident that threatens human life, health, property, or the environment if not controlled, contained, and/or eliminated immediately. The threat of the condition, incident, or event requires immediate response actions to save lives; prevent injuries; protect property, public health, the environment, and public safety; or lessen or avert the threat of a disaster. Emergency Training. Instruction on hazards awareness and emergency operations which is meant to impart foundational knowledge (both in procedures and in concepts) to field maintenance and operations personnel so that they can (1) perform their assigned duties during response and Street Address * Apt/Suite/Office City State * Zip * Country Email Address * Phone Number *
87 recovery phases and (2) exercise their roles during the preparedness phase. Note that exercises are a form of training. Evaluation. The process used to measure the demonstrated ability to accomplish specified objectives within a discrete exercise. Exercise evaluation refers to the act of reviewing or observing and recording exercise activity or conduct; applying the behavior or activity against exercise objectives; and noting strengths, weaknesses, deficiencies, or other observations. Exercise. An activity requiring a performance, integration, and coordination of response activities by several individuals and teams. Exercises, except for table-top exercises, normally involves mobilization of personnel and resources. As noted in HSEEP Volume I, an exercise is carried out to train for, assess, practice, and improve performance. It can also be used for testing and validating policies, plans, procedures, training, equipment, and inter-agency agreements; clarifying and training personnel in roles and responsibilities; improving interagency coordination and communications; identifying gaps in resources; improving individual performance; and identifying opportunities for improvement. Field Crew Meetings. Field crew meetings such as tail gate, hip pocket, and tool box talks can be good opportunities for personnel training. Full-Scale Exercise (FSE). An exercise enabling the validation of major aspects of plans, policies, procedures, systems, and resources and involving all levels of participating organizations. FSEs greatly expand the scope and visibility of the exercise program. FSEs include the mobilization of personnel and resources and the actual movement of crisis and consequence management workers, equipment, and resources required to demonstrate coordination and response capability. Large FSEs actively involve agencies and participants. Functional Exercise. An exercise designed to test and evaluate individual capabilities, multiple functions, or activities within a function or interdependent groups of functions. A functional exercise can take place in an operating center, in the field, or a combination of the two. This format is applicable where the activity can be effectively evaluated in isolation from other activities. In contrast to the full- scale exercise, the objective of the functional exercise is to demonstrate the execution of specific plans and procedures and the direct application of established policy, plans, and procedures under emergency conditions, within or by a particular function team. The functional exercise simulates the reality of operations in a functional area to the maximum degree possible by presenting complex and realistic problems requiring rapid and effective responses by trained personnel in a highly stressful environment. Through documented evaluation and subsequent corrective action, the capabilities of the functional area are improved and weaknesses are reduced or eliminated. Functional exercises are sometimes called "command post" exercises. Hazard. An actual or potential condition that can cause injury, illness, or death of personnel; damage to or loss of equipment or property and the environment; or degradation to an organizational capability.
88 Incident. An event that affects normal operations, requires attention, and has the potential to precipitate an emergency or crisis. Just-in-Time Training. Just-in-Time training refers to training that is provided as the need arises. Scenario. A sequential account of a hypothetical situation or chain of events that depicts an incident, emergency, or crisis and all the associated consequences used to frame and guide simulation during an exercise. Seminar. An informal discussion in a group setting, in which a seminar leader facilitates the group's focus on a specific topic or issue. Seminars occur in a low-stress environment. As noted in HSEEP Volume I glossary, it is a type of discussion-based exercise that orients participants to authorities, strategies, plans, policies, procedures, protocols, resources, concepts, and/or ideas. Simulation. An artificially produced condition that replicates a real-life situation. In the broad sense, exercises and games are simulations. The term, Computer-Assisted Simulation, refers to a method of conducting exercises in a virtual environment. Tabletop Exercise (TTX). An exercise that simulates an emergency in an informal, stress-free, conference-room-type environment. As noted in HSEEP Volume I glossary, it is a type of discussion- based exercise which can be used to facilitate understanding of concepts, identify strengths and shortfalls, and/or achieve a change in attitude. Terrorism. The unlawful use of force or violence against persons or property to intimidate or coerce a government, the civilian population, or any segment thereof, in furtherance of political or social objectives. Terrorism can be domestic or international. Threat. The known or suspected presence of an actor with the ability, will, and motive to inflict harm. Train-the-Trainer. Train-the-Trainer courses and tools focus on training for instructors of training courses. Workshop. A meeting that generally involves briefings and the use of facilitated breakout sessions where pre-established topics and issues are discussed and results of these breakout sessions are reported in a plenum. As noted in HSEEP Volume I glossary, it is a type of discussion-based exercise and provides increased participant interaction with a focus on achieving or building a product. Workshops are typically used to train groups in coordinated activities; obtain consensus; and test new ideas, processes, or procedures. Acronyms ICS Incident Command System
89 IS Independent Study LTAP Local Technical Assistance Program M&O Maintenance and Operations NIMS National Incident Management System NRF National Response Framework TTAP Tribal Technical Assistance Program VOIP Voice Over Internet Protocol Background Questions Background Questions 1. How many employees does your DOT or public works agency employ? Select one. 2. How many full-time equivalent (FTE) maintenance and operations field personnel does your DOT or public works agency employ? Select one. <50 51-99 100-249 250-499 500-999 1000-1999 2000-4999 >5000 <50 51-99
90 3. Does your DOT or public works agency outsource maintenance and operations functions to contractors? If yes, approximately what percentage of your work is outsourced? (cont.) Please provide the maintenance and operations functions that you have outsourced: 4. For Fiscal Year 2012, what was the annual training and exercises budget of your DOT or public works agency? (Numeric answer, in $) 5. Of the amount given in the previous question, what percentage was expended for maintenance and operations (M&O) field personnel training? (Numeric answer, 0-100%) 100-249 250-499 500-999 1000-1999 2000-4999 >5000 Yes No
91 6. Does your organization provide training, drills, and/or exercises to its maintenance and operations field personnel in Emergency Operations, Hazards Awareness, or related functions? Please select one: If Yes, which hazards are covered? Please select all that apply. Questions on Training Questions on Training Note that all questions in this section refer to your organization's maintenance & operations (M&O) field personnel. 7. Does your DOT or public works agency make use of any of the following formal Instructor-led Classroom Training resources in its program to train field personnel for their role in Emergency Operations and Hazards Awareness? This includes Instructor-led Classroom training delivered over Closed-Circuit TV (CCTV), Video Tele Conference (VTC), and Voice- or Video-over-IP services (for example, Skype). Also, please indicate whether it is required or voluntary. Yes No All-hazards Flood Earthquake Wildfire Hurricane Windstorm Snowstorm Landslide Please list Other Hazards not mentioned above:
92 We Do Not Use Required Voluntary Center for Domestic Preparedness (FEMA) Emergency Management Institute (FEMA) National Highway Institute (FHWA) National Transit Institute (FTA) National Training and Education Division (FEMA) LTAP/TTAP Center University/College (other than LTAP/TTAP) 8. Does your DOT or public works agency make use of any of the following Online- and Computer- Based Training resources in its program to train field personnel for their role in Emergency Operations and Hazards Awareness? Also, please indicate whether it is required or voluntary. We Do Not Use Required Voluntary ICS Training Program & Resource Center (FEMA) Independent Study (IS) Program (FEMA) NIMS Training Program & Resource Center (FEMA) NRF Resource Center (FEMA) National Transit Institute (FTA) National Highway Institute (FHWA) LTAP/TTAP Center University/College (other than LTAP/TTAP) 9. In its program to train field personnel for their role in Emergency Operations and Hazards Awareness, are there other resources that your DOT or public works agency uses which were not listed in the preceding two questions? If so, please list them below:
93 10. What is/are your DOT's or public works agency's preferred delivery method(s) when training M&O field personnel for their role in Emergency Operations and Hazards Awareness? Please select all methods that apply, and please indicate frequency of training delivery. Frequency of Training (e.g. Ongoing, 2-3 times/yr, annually, as needed, when available) Instructor-led Classroom Training Scenario-based Training Online- and Computer-based Training Interactive Videos Field crew meetings (aka "tail-gate", "hip- pocket", or "tool box" talks) Webinars Seminars or Workshops Just-in-Time Training Train-the-Trainer Other, please specify in textbox at right, along with Frequency 11. In its program to train field personnel for their role in Emergency Operations and Hazards Awareness, are there other delivery methods for training that your DOT or public works agency uses which were not listed in the preceding question? If so, please list them below: Questions on Training 12. Does your DOT or public works agency use performance metrics or other tools in assessing the
94 effectiveness of training? If Yes, please describe these metrics or tools: 13. Has your DOT or public works agency encountered any problems or challenges with implementing its existing program to train field personnel for their role in Emergency Operations and Hazards Awareness? Please select one: If Yes, please specify the problems or challenges: (Please select all that apply) Yes No Yes No Inadequate facilities and other resources (e.g. PCs, Internet) Insufficient budget for staff overtime to take training Insufficient budget for training contractor Difficulty in scheduling/conflict with work priorities Lack of desired content Lack of facility to deliver training Lack of in-house staff qualified to deliver training Lack of personnel interest Lack of management support NIMS/ICS training requirements are confusing Evaluation issues
95 14. Are there any gaps or unaddressed needs in your current program to train field personnel for their role in Emergency Operations and Hazards Awareness? Please select one: If Yes, please describe the needs in further detail here: Questions on Exercises Questions on Exercises Note that all questions in this section refer to the inclusion of your DOT's or public work agency's field personnel in emergency exercises. Please refer to the Glossary for a definition of Exercises and for definitions of specific types of exercises. 15. Please indicate in which of the following exercise types your DOT or public work agency requires or encourages your field personnel to participate. Also, please indicate whether the participation of your field personnel is required or voluntary: M&O Field Personnel Do Not Participate Required Voluntary Full-Scale Exercises Functional Exercises Drills Language issues Lack of computer skills Other, please specify: Yes No
96 Table-Top Exercises Workshops on Emergency Operations and/or Hazards Awareness Seminars on Emergency Operations and/or Hazards Awareness Comments: if you have any comments regarding exercises, please provide below: 16. What problems or challenges has your DOT or public work agency encountered in incorporating field personnel into emergency exercises? (Please select all that apply) Inadequate facilities and other resources (e.g. PCs, Internet) Insufficient budget for staff overtime to take training Insufficient budget for training contractor Difficulty in scheduling/conflict with work priorities Lack of desired content Lack of facility to deliver training Lack of in-house staff qualified to deliver training Lack of personnel interest Lack of management support NIMS/ICS training requirements are confusing Evaluation issues Language issues Lack of computer skills Other, please specify:
97 Questions on Guidance Documents Questions on Guidance Documents Note that all questions in this section refer to documents which guide your DOT's or public work agency's emergency training and exercise programs. 17. Which guidance documents, if any, does your DOT or public work agency use in designing its training and exercise program related to Emergency Operations and Hazards Awareness? Please specify below: 18. Please list any relevant links to web pages for your DOT's or public work agencyâs training and/or exercise program related to Emergency Operations and Hazards Awareness: 19. Would you be willing to provide additional information about your training and/or exercise program related to Emergency Operations/Hazards Awareness? New Page 20. If you answered No on Question 6, please indicate the reasons why your DOT or public work agency has not implemented an Emergency Operations and Hazards Awareness training or exercise program that incorporates its field personnel: (Please select all that apply) Yes No Inadequate facilities and other resources (e.g. PCs, Internet) Insufficient budget for staff overtime to take training
98 Please advance to the next page to review your responses. Please Review Your Responses Thank You! Thank you for taking our survey. Your response is very important to us. If you have any questions or comments, please feel free to contact Dr. Yuko Nakanishi at Dr. Yuko J. Nakanishi. Email: firstname.lastname@example.org. Phone: (347) 512-1959 Difficulty in scheduling/conflict with work priorities Insufficient information about available training Lack of desired content Lack of facility to deliver training Lack of in-house staff qualified to deliver training Lack of personnel interest Lack of management support NIMS/ICS training requirements are confusing Evaluation issues Language issues Lack of computer skills Insufficient budget for training contractor Other, please specify: