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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Suggested Citation:"APPENDIX E List of Interviewees and Case Examples." National Academies of Sciences, Engineering, and Medicine. 2015. Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel. Washington, DC: The National Academies Press. doi: 10.17226/22197.
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

114 APPENDIX E List of Interviewees and Case Examples List of Case Study Interviewees State Position and/or Division Arizona Emergency Manager California Branch Chief, Homeland Security Office of Emergency Management Iowa Director, Statewide Emergency Operations, Office of Traffic Operations Missouri Central Office Traffic and Highway Safety Rhode Island Division of Highway and Bridge Maintenance Tennessee Emergency Services Coordinator, Office of Emergency Operations Texas Emergency Management Coordinator, Congressional Liaison, Maintenance Division Vermont Program Development Division, Operations Division, Finance and Administration Washington Assistant State Maintenance Engineer Public Works Agency Position and/or Division City of Keene, New Hampshire Public Works Director Plant City, Florida Traffic and Street Stormwater Superintendent ARIZONA DEPARTMENT OF TRANSPORTATION (ADOT) CASE STUDY State Arizona Population 6,500,180 Size 113,635 sq. miles Density 45.2 persons/sq. mile DOT Size 4,600 employees DOT Field Personnel 900 employees Headquarters Phoenix District Offices 9 offices Roadway or Highway Mileage 6,722 miles Bridges 4,735 bridges Half of Arizona is forested, and drought conditions can be frequent as well as severe. This creates a higher likelihood of wild- fires. Seasonal rains bring flooding and landslides. Arizona also has a nuclear power station in Maricopa County; the Nuclear Regulatory Commission (NRC) requires additional training and exercises for agencies in the vicinity of the station. In 2013, incidents included nine winter storm events, the Doce Fire (June 16), the Yarnell Hill Fire (June 30), and the 19-vehicle three- fatality I-10 Dust Incident (Oct. 29). ADOT has nine district offices and over 4,600 employees, of whom 900 are M&O field personnel (these numbers do not include construction personnel and contractors). ADOT has an annual training budget of about $200,000, and two full-time training personnel for M&O personnel. Many ADOT staff perform training duties outside of their normal positions. Determining which personnel need what training has been difficult. After considerable planning and background research, training matrices were created. ADOT requires a minimum of IS-100, IS-700, and traffic incident management (TIM) training for its M&O field personnel. ADOT does not use contractors for exercise or training and does not pay for local public agency or contractor training. To facilitate training of its personnel on emergency preparedness and management, ADOT has created a comprehensive course catalog of courses available through ADOT, the Arizona Division of Emergency Management (ADEM), and other

115 sources. The catalog is also useful for other audiences, including public works personnel and local responders, but is currently not available for public viewing. TRAINING AND EXERCISE NEEDS OF M&O FIELD PERSONNEL Emergency Management: In 2007 the NIMS/ICS training matrix was created with four levels of training for M&O field personnel. The current matrix, shown in TABLE 1, has been updated and additional levels have been created. TABLE 1 only includes the first two of several training levels. TABLE 1 ARIZONA DOT EMERGENCY PLANNING AND MANAGEMENT TRAINING MATRIX FOR OPERATIONS #1 AND #2 (Courtesy: ADOT) The first two levels apply to M&O field personnel and their supervisors. All courses required for the first two levels are available online as FEMA’s Independent Study courses. Additional applicable audiences are also included in the matrix. • Operations #1 – IS-100 (ICS), IS-700 (NIMS) – M&O Field and Office Personnel, Public Works Personnel • Operations #2 – IS-100 (ICS), IS-200 (ICS), IS-700 (NIMS), IS-800 (NRF) – Maintenance Supervisors, First Line Supervisors including Field Supervisors and Single Resource Leaders • Traffic Incident Management for Responders (TIM for Responders) – This course is required of all M&O field personnel and is coordinated with Arizona Department of Public Safety (AZDPS) statewide for first responders. TRAINING PRACTICES There is no training policy specific to emergency management, but ADOT the Emergency Preparedness and Management Group maintains intranet pages on training and exercise for all ADOT employees. In addition to the comprehensive Emer- gency Planning and Management Training Matrix in TABLE 1, ADOT has created a Maintenance Roadway/Signing/Striping

116 Matrix containing ADOT training requirements for various levels of M&O field personnel and supervision. The Maintenance Roadway/Signing/Striping Matrix is presented in TABLE 2. TABLE 2 ARIZONA DOT FIELD PERSONNEL TRAINING MATRIX FOR MAINTENANCE ROADWAY/SIGNING/STRIPING MATRIX For example, the following courses are required for the Highway Operations Worker: • Basic Incident Command IS-100, 3 hours • National Incident Management Systems IS-700, 3 hours • Hazard Communication, 2 hours • OSHA/DOT Hazardous Materials Awareness, 3 hours • Traffic Incident Management for Responders, 4 hours Most of the other required courses are related to daily M&O responsibilities, as well as to technology usage such as two- way radio and basic computer skills. A computer security awareness course is also required. Safety courses which are required include topics such as confined space awareness, fire safety, and first aid. Traffic control/management courses include basic work zone traffic and TIM. Wildland fire courses may be required for certain M&O personnel. There are four technical levels of personnel who are required to take additional courses along with all of the basic courses. For example, a supplemental course for technician level I is Control of Hazardous Energy. A technician level III is required to take a cost estimating maintenance course. A supervisor is expected to take all of the courses taken by the Highway Opera- tions Worker and Technician Levels I–IV, along with courses on ICS for Expanding Incidents (IS-200), National Response Framework (IS-800), and Managing Resources Effectively. In addition, courses on supervisory responsibilities are also required. A superintendent is expected to take additional courses, including Intermediate Incident Command ICS-300 and Advanced Incident Command ICS-400.

117 In 2007, ADOT created a training requirements matrix for National Incident Management (NIMS) and Incident Command System (ICS) training for M&O field personnel, as well as other ADOT personnel. The training required by field personnel is online through the FEMA Independent Study website. Nine hundred to one thousand (900-1,000) field personnel at ADOT have taken the NIMS and ICS training online. Exercises and the TIM for Responders course also provide an opportunity for ADOT personnel to refresh their understanding and practice of NIMS and ICS. Requirements for higher level supervisors are indicated in the matrix as well and include both online courses as well as classroom courses through ADEM’s Event Registra- tion Management Application. Classroom courses are delivered through ADEM. ADEM, Arizona’s state EMA, receives federal grants to provide emer- gency training and exercises. Additional information about ADEM is appended to this case study. Some courses for M&O field personnel organized through ADEM are also provided from Texas A&M Engineering Extension Service (TEEX). ADOT personnel are also encouraged to apply for off-site FEMA Emergency Management Institute classes. Field crew meetings are not generally used for emergency management training purposes. ADOT does provide emergency management updates to the Maintenance Servant Leadership Team, which then shares information with the districts. OTHER TRAINING ADOT recently purchased an online training development software package through its Organizational and Employee Devel- opment Group, so ADOT’s trainers will select relevant PowerPoint presentations and convert them for distribution to ADOT’s field offices if the training will be effective in this format. Just-in-time training is provided occasionally when the need arises. For instance, ADOT might give training on the ICS structure to someone who needs to integrate into the system at an incident. EXERCISE PRACTICES Exercises are a vital part of any preparedness program. ADOT participates in local, county, and state exercises. ADOT holds exercises in the districts at least every other year. Each district is encouraged to participate in local drills, tabletops, work- shops, and functional and full-scale exercises as available. M&O management is supportive of this effort. Several districts request exercises outside of this schedule. ADOT also holds exercises for other divisions, such as Communications, Enforce- ment, and Compliance, and integrates their functions with M&O personnel. For example, in 2011 ADOT held an executive- level tabletop including the Director, Division Directors, and FHWA partners. ADOT works with district and division management for internally scheduled exercises and training. Exercises are usually scheduled in the spring and fall to avoid snow and wildfire events. ADOT coordinates with ADEM on statewide exercises and is involved as a stakeholder in the planning meetings. Example Calendar: Exercise Dates and Locations (2013) ADOT Vigilant Guard / Shield Tabletop Exercise Series • January 30th – Phoenix Maintenance, Construction and TOC 2013 Statewide Exercise Series • January 17th – Tribal WebEOC Workshop • January 31st – Critical Infrastructure Seminar (Participants included numerous state agencies and ADOT groups, including ADOT’s Enforcement and Compliance Division, Bridge Group, Traffic, Pumphouse, Fuels, State Engineers Office, Emergency Preparedness and Management, and Communications) • February 20th – Workshop on Concept Analysis of Extended Power Outage • September 19th – Executive Tabletop • October 10th – Power Outage School • November 6th and 7th – State Emergency Operations Center Power Outage Exercise • November 20th and 21st – Recovery Tabletop

118 Palo Verde Nuclear Generating Station • January 16th – Government Orientation • February 6th – Rehearsal Exercise • March 6th – Federally Evaluated Exercise • June 26th - 2014 Exercise Planning Meeting Arizona Department of Health Services 2013 Strategic National Stockpile • February 27– Full-scale Exercise (ADOT coordinated with AZDPS and US Marshals Service) Others • February 13th and 14th – Propane Industry Conference • February 20th – Logistics Capability Assessment Tool Workshop • March 26th and 27th – sessions of Highway Incident Command Overview at the ADOT Equipment Safety Roadeo • April 2nd – Arizona Wildland Fire Season Briefing and Tabletop • April 23rd – Mt. Graham U.S. Forest Service Fire Readiness Stakeholders meeting • May 5th – Communications Keynote Panel on US89 Landslide Response In 2011 a total of 9,000 participants participated in a statewide exercise focusing on an improvised explosive device explosion. ADOT personnel included M&O, Emergency Preparedness and Management, and Communications. In 2012, each of ADOT’s nine (9) districts did a tabletop exercise on the 2011 improvised explosive device scenario focused on M&O personnel. Coordination with Other Agencies or Organizations ADOT’s primary coordination is with ADEM and AZDPS. ADOT also works closely with the county emergency managers and some local entities for coordination of specific training and exercises. ADOT has worked directly with other agencies in the past, such as Arizona Department of Corrections and Arizona Fish and Game, to assist with their exercises and training. Exercise Evaluation In terms of exercise evaluations, ADOT follows the Homeland Security Exercise and Evaluation Program (HSEEP). Evalu- ation forms are distributed, and after-action reports are created. For state exercises, ADOT is evaluated based on ADOT’s responsibilities in the state plan. Training and Exercise Implementation Costs and Issues Distance issues make training and exercise delivery particularly challenging for training and exercising M&O field personnel. Arizona is a large state, and some locations are difficult to reach. Because resources tend to concentrate in the urban areas, it is important for the trainers to reach out to the other districts as well. This requires ADOT’s two trainers to travel frequently. ADOT does not pay for training and exercises for local public agencies. Contractors Hazmat contractors for routine and non-routine response are required by state contract to take IS-100 and IS-700 training in addition to the appropriate hazmat training. While ADOT does not typically pay for contractor training and exercises, ADOT does include contractor or vendor part- ners in training and exercises if possible. For example, ADOT planners worked with a tow company to develop a hazmat scenario for the November 2013 statewide exercise.

119 Scenarios In choosing scenarios, ADOT attempts to select scenarios that enhance an all-hazards approach. ADOT also participates in exercises hosted by other organizations. Some scenarios have been functional, focusing on communications, organization, and so on. Others have been hazard specific, focusing on wildfire, hazmat, traffic, terrorism, power outage, and so on. Train-the-Trainer In the first rollout of the NIMS/ICS training in 2007 ADOT trained a cadre of about 10 instructors to teach the classroom ICS 100 and NIMS 700 to district personnel. However, both are now available as self-paced online training as IS-100 and IS-700 in the FEMA ISP catalog. Traffic Incident Management for Responders (TIM) TIM training started in 2013 and it includes a strong ICS element, as well as one section devoted entirely to incident command. The training promotes a shared understanding of the requirements for quick clearance and safeguards between responders and motorists. The training is conducted by AZDPS and ADOT using the SHRP2 course materials. The 2-day train-the-trainer course that facilitates widespread use of the multi-disciplinary training was given in Arizona in August 2012. Ten of the 70 instructors in Arizona are from ADOT. ADOT and AZDPS are using the SHRP2 4-hour format to deliver the training to first responders throughout Arizona from federal, state, county, and local agencies, as well as private companies such as tow truck operators and cleanup contractors. Over 60 sessions were held by ADOT and AZDPS in 2013. ADDITIONAL INFORMATION Some of the courses offered through ADEM are taught by TEEX, though most of the NIMS and ICS training and exercises are taught by the ADEM adjunct faculty. In order to request a course, the request must be put through a county’s emergency manager. For instance, in May 2012, ADOT requested an ICS 300 course through a county’s emergency manager. ADEM then staffs the course and provides materials and event registration. ADOT does not use LTAP for its emergency operations and hazards awareness training needs. LTAP’s focus is on meeting the needs of county and local (rather than state) functions. For facility emergency preparedness, ADOT must comply with the following codes, standards, and guidelines (ADOT Emergency Preparedness and Management, Oct. 2012): • ADOT Emergency Preparedness and Management’s EPM-3.01: Internal Emergency Actions • The National Fire Protection Association’s NFPA 101: Life Safety Code • OSHA Regulations on Emergency Action Plans in the Code of Federal Regulations, Title 23, Part 1910, Section 38 (i.e., 23 CFR 1910.38, “Emergency Action Plans”) • The Arizona State Fire Marshal’s Regulations on Emergency Planning and Preparedness (Section R4-36-306 of the Arizona Administrative Code) • The Phoenix Fire Code’s section on fire evacuation plans (Section 404.3.1 of the Phoenix Fire Code) • The Arizona Department of Administration’s guidance on Emergency Planning (Program Element R2-10-207.4 of the Arizona Department of Administration’s Emergency Action Plan) Emergency Action Guidelines cover the general actions employees can take in emergencies. Emergency plans cover spe- cific information for individual facilities. ADOT’s Emergency Action Guidelines contain the following items presented in FIGURE 1:

120 FIGURE 1 ADOT’s Emergency Action Guidelines (“Emergency Action Guidelines,” ADOT 2012). ARIZONA DIVISION OF EMERGENCY MANAGEMENT The mission of the ADEM Preparedness Section is to prepare state agencies and local emergency management organizations to prevent, respond to, recover from, and mitigate against disasters through planning, training, and exercise activities. Courses and Training The Arizona Division of Emergency Management (ADEM) Training and Exercise Office offers a wide variety of courses in five major areas: emergency management, hazardous materials, multi-hazard emergency planning for schools, Community Emer- gency Response Team (CERT), and weapons of mass destruction/homeland security. Within each of these areas are a wide range of courses that cover emergency planning, mitigation, awareness, operations, incident command, and domestic preparedness. FEMA’s Emergency Management Institute allows ADEM to provide their G-Level programs through ADOT’s State Adjunct Instructor Program. ADEM contracts with over 150 adjunct instructors to provide emergency management training throughout Arizona. Exercises Exercises can cover a broad range of scenarios and must be compliant with HSEEP. Exercises are a practical, efficient, and cost-effective way for a community to prepare for disasters. The purpose is to provide competence in all emergency functions. All exercises conducted by ADEM follow the Homeland Security Exercise and Evaluation Program guidelines. A request for an exercise must be made through the county emergency manager. The Palo Verde Nuclear Generating Station (PVNGS) is located approximately 55 miles west of downtown Phoenix in Maricopa County. It is located on 4,050 acres of land near the town of Wintersburg, Arizona. PVNGS’s three identical pres- surized water reactors provide electric power to the southwest. Training is offered to state, local, and volunteer agencies to prepare them to respond to an unlikely accident at the PVNGS. Drills and exercises are conducted several times each year to evaluate plans, emergency response capabilities, and related protocol. A plume exposure pathway exercise is conducted once a year. Ingestion exposure pathway exercises are conducted every 6 years. Every other year the plume exercise is evaluated by the Federal Emergency Management Agency (FEMA) and the Nuclear Regulatory Commission (NRC), and once every 6 years they evaluate the ingestion pathway exercise.

121 CALIFORNIA DEPARTMENT OF TRANSPORTATION (CALTRANS) CASE STUDY State California Population 36,756,666 persons Size 155,959 sq. miles Density 217.2 persons/sq. mile DOT Size 22,000 employees DOT Field Personnel 4,500 employees Headquarters Sacramento District Offices 12 offices Roadway or Highway Mileage 50,000 miles Bridges Over 12,000 bridges California has one of the largest DOTs in the United States, Caltrans. Caltrans has 12 district offices and 22,000 employees, of which 6,000 are maintenance personnel. Of these six thousand, 4,500 are field personnel. Caltrans has an in-house Mainte- nance Training Academy in Sacramento with 9 or 10 full-time trainers and support personnel. The Academy was established in 1979 and also brings in trainers from district offices for various classes. At times the Academy will travel to the district offices to provide training. Caltrans field personnel are busy with their projects and perform essential duties such as repairing roads and moving debris. Consequently, Caltrans’ field personnel are encouraged (but not required) to participate in full-scale, functional, or tabletop exercises when their work schedules allow. Superintendents or managers normally represent field maintenance dur- ing exercises. It should also be noted that the normal duties for field maintenance personnel may be similar to duties performed during emergencies. In terms of disaster assessment, field personnel are critical for rapid assessment. One method for rapid assess- ment is by windshield assessment. This helps determine the priorities for assessments by engineers. Engineers do the actual disaster assessments. Current field personnel are highly encouraged (but not required) to take IS-100 training, which is offered at the Academy and at some of the district offices in a classroom setting or online through FEMA EMI’s Independent Study Program (ISP). Caltrans recommends that IS-100 be retaken every 3 years. New employees, however, are required to take the IS-100 training. Standard Emergency Management System (SEMS) training is also mandated. It is very similar to NIMS and is a multi- tiered organization which represents the emergency management community in California. SEMS includes key components of NIMS, including ICS at the field level, mutual aid, and the operational area. SEMS has also been enhanced to include and integrate additional NIMS components. The State of California self-certifies NIMS compliance (California Implementation Guidelines for the NIMS: Workbook and User Manual, Cal OES 2006). California-specific NIMS guidance and manuals relevant for Caltrans and local public agencies are provided via Cal OES’s website (“Standardized Emergency Management System,” Cal OES 2011). ICS field training for field personnel is being developed in conjunction with MTI at San Jose State University due to the recognition that interactive field training would be helpful. MTI has performed other training (NIMS, ICS, SEMS, EOC, COOP) in the past and has traveled to Caltrans district offices to do the training. They have also used VTC technology to facilitate the training. TIM train-the-trainer training from SHRP 2 is being developed and will be implemented for all field personnel. Tailgate meetings are held every 10 days at Caltrans maintenance yards. These meetings are used to share information and train on new procedures, technologies, equipment, and safety issues.

122 NEW EMPLOYEE MAINTENANCE ORIENTATION (NEMO) New employees receive a 2-week-long training program, New Employee Maintenance Orientation (NEMO) at the Academy. They undergo both pre- and posttests. They must pass the posttest; otherwise they must repeat the training. A sample schedule for new employees is presented below: First Week • NIMS • Standard First Aid and CPR • Chapter 8 Training • Hearing Protection • Heat Stress • Ladder Safety • Diversity Training • Stormwater Management • Temporary Traffic Control Training • Defensive Driver Training • Sexual Harassment and Violence in Workplace, and the Employee Assistance Program • Human Resources Overview • First Responder Awareness • Hazard Communication • Caltrans Overview • Career Development • International Union of Operating Engineers Second Week • Batteries • Backing Course • Brake Lab • Decs and Dust • Equipment Responsibility • Pre-Ops • Radio Communications • Temporary Traffic Control Training – Field Activities – Way Traffic Control – Lane Closures – Shoulder Closures – Driving Test • Tires • Trailers and Chain ID • Transmissions • Trucks • Turbos • Substance Abuse Of the courses above, the courses in TABLE 3 are mandated for new employees.

123 TABLE 3 MANDATED COURSES FOR NEW EMPLOYEE MAINTENANCE ORIENTATION (NEMO) Course Titles Day of the Wk Hours Maintenance Employee Safety Orientation Monday 3 Standard First Aid (14 students each group) Tuesday 4 CPR Refressher (14 students each group) Tuesday 3 Protection of Workers – Chapter 8 Tuesday 4 Defensive Drivers Training Wednesday 3.5 Heat Stress Wednesday 0.5 Sexual Harrassment Prevention (Rank & File) Wednesday 3 Hazardous Substance First Responder Awareness Level Wednesday 4 Haz Mat Comm Prog Thursday 2 Hearing Protection Program Thursday 1 Temporary Traffic Control (2 Part Class- Thurs. & 2nd Monday) Thursday/2nd Monday 8 Storm Water Magmt 4 New Mtce Employee Friday 6 NIMS Compliance for Field Friday 2 Vendor Workplace Safety and Personal Responsibility 2010-11 Friday 3 Diversity Awareness Trng-Rank & File - MEET on Common Grnd 2nd Tuesday 2 The train-the-trainer method is used to train field personnel on equipment. As they undergo training, they will be evalu- ated. If the trainer determines that the trainee cannot use the equipment, they will not continue with the training – the trainee will need to take additional training before getting the hands-on training. Bridge crews receive specialized bridge crew train- ing that is one week long at the Academy. Safety and hazards training is provided by a safety officer from headquarters who travels to each district office. It includes the following topics: hazmat communications, confined spaces, SEMS, hazardous waste generation, first responder aware- ness, first responder operational (for supervisors), and hazmat manager for hazmat specialists. A few local agencies are allowed to sit in on the 2-week new staff training at the Academy. Training is not provided to contractors. Caltrans, through Cal OES, works with various state departments, including Forestry and Water Resources. ISSUES Issues include lack of PCs in the field. Each supervisor has one PC which can be provided to his three or four field personnel. However, the supervisor may need to use the PC for much of the day, leaving little time for his field personnel. Budget is typically not an issue. The annual training budget is about $600,000 a year. Districts spend a portion of their allocated maintenance funds for training. ICS COURSE WITH MINETA TRANSPORTATION INSTITUTE A contract under development would allow MTI to create and deliver ICS Training to field personnel, including field super- visors. Field supervisors would also then be able to provide training once they have undergone it. The need for this course stems from the belief that content retention could be improved beyond the levels achieved by the FEMA EMI ISP training. More information, especially from an operational perspective, needs to be delivered to field personnel. Also, ICS is important, because without it the field personnel would not know how to integrate themselves into other units. Furthermore, the agency

124 could be liable if personnel are injured during a disaster or emergency and adequate training had not been provided. This course is expected to be 3 ½–4 hours long, and up to 15 percent of the field personnel can take it at one time. Therefore, it may take up to 1 year for all Caltrans’ field personnel to be trained (Dr. Frances Edwards and Daniel Goodrich, Mineta Transporta- tion Institute, personal communications, March 5, 2013). IOWA DEPARTMENT OF TRANSPORTATION CASE STUDY State Iowa Population 3,002,555 persons Size 55,869 sq. miles Density 52.4 persons/sq. mile DOT Size 2522 employees DOT Field Personnel 1378 employees Headquarters Ames District Offices 6 offices Highway Mileage 9,000 miles Bridges 4,000 bridges As noted in Iowa’s Emergency Response Plan, the state of Iowa is mainly farmland; only 5 percent is forested. Iowa’s lead- ing industries are agricultural (Iowa Emergency Response Plan, Iowa HSEMD 2010). Iowa DOT has two major interstates: Interstate 80 runs east-west, and Interstate 35 runs north-south across the state. Iowa DOT has six districts, and its primary weather-related hazards are winter weather events and flooding. Iowa DOT is the lead for transportation (ESF-1). Its respon- sibilities are listed in the ESF-1 portion of the Iowa Emergency Response Plan (Iowa HSEMD 2010): 1.2.1. Restoring and maintaining the primary road systems needed for the support of response activities during and immediately following an emergency or disaster. 1.2.2. Restoring and maintaining other public transportation systems needed for the support of response activities during and immediately following an emergency or disaster. 1.2.3. When necessary, assisting with the restoration and maintenance of non-public transportation systems, such as railroad and aviation, needed for the support of response activities during and immediately following an emergency or disaster. 1.2.4. Coordinating requests for transportation system repair and restoration assistance from local emergency response organizations, local governments, and state agencies. 1.2.5. Whenever practical, meeting the minimum transportation needs of the general public in emergency/disaster- affected areas. 1.2.6. Gathering data for emergency response and for general public use about the effects of an emergency/disaster on transportation systems and associated infrastructure. 1.2.7. Tracking transportation system restoration activities on a statewide basis. 1.2.8. Restricting the use of transportation systems and associated infrastructure by the general public to facilitate emergency response activities and/or address public safety concerns. Iowa DOT, along with the Department of Natural Resources, is the co-lead for Public Works and Engineering (ESF-3). ESF-3 has been organized into sub-functions, as shown in TABLE 4. Iowa DOT is the sub-function lead for debris removal and co-lead for engineering and technical services.

125 Iowa Emergency Response Plan (Iowa HSEMD 2010). TABLE 4 SUB-FUNCTIONS FOR ESF 3 PUBLIC WORKS AND ENGINEERING Iowa’s Emergency Response Plan requires state agencies, including Iowa DOT, to develop and test standard operating procedures, be prepared to deploy resources, request needed resources, provide requested personnel to staff the Emergency Operations Center, attend emergency or disaster-related briefings and surge training, coordinate with other agencies, maintain good records, and maintain communications with personnel. The counties, which are part of Iowa’s six emergency manage- ment planning districts, have an important role in emergency management and shoulder emergency planning responsibilities through state legislation (Iowa Code, Chapter 29C). Furthermore, Iowa considers public works agencies to be first responders. HAZMAT TRAINING About 10 years ago Iowa DOT’s operations division began offering OSHA’s hazmat courses. Train-the-trainer courses for the hazmat courses were developed using a consultant. The 8-hour-long courses were provided in a classroom setting to Iowa DOT’s trainers from each of its six districts. They have trained over 1,500 field personnel on hazmat response. These hazmat courses are also provided to new employees during their new employee training sessions. Refresher courses on one of the 12 OSHA hazmat courses are provided at the shop level on site at each garage once a year. ICS TRAINING The push for ICS training began when the Director of Iowa DOT directed its implementation. In the spring of 2012, ICS train-the-trainer courses on IS-100 (Introduction to ICS) and IS-200 (ICS for Single Resources and Initial Action Incidents) were provided to district office and motor vehicle enforcement trainers. They then trained more than 1,600 personnel over the course of the year. The classroom setting provided trainers the ability to interact intensively with field personnel and other Iowa DOT trainees. Break-out teams were established to discuss and respond to a variety of scenarios. ICS 300 (Intermediate ICS) and ICS 400 (Advanced Incident Command and Executive System) were provided to field personnel supervisors and management executive-level employees. Additionally, an executive course was provided to the department’s executive management. Obstacles to training implementation included the lack of sufficient number of staff qualified to perform the training. That is one of the reasons the train-the-trainer strategy is being used by Iowa DOT. It is cost-effective and does not require the hiring of additional personnel.

126 EXERCISES Iowa DOT plans three to four regional tabletop exercises per year. In spring of 2013, two regional tabletop exercises were held with 50–60 personnel. Participants included DOT personnel and the State Patrol staff. The exercises were focused on winter weather with multiple crashes. The exercise included communications and resource movement scenarios. The 2013 exercise was held on April 10th and was also focused on winter weather. A future exercise will likely be focused on flooding. In the future, these tabletop exercises may be converted into functional exercises. IOWA HOMELAND SECURITY AND EMERGENCY MANAGEMENT DEPARTMENT The Iowa Homeland Security and Emergency Management Department (HSEMD) is the coordinating body for homeland security and emergency management activities across the state. These activities include training and exercises. For more information, please visit the following sites: • “Iowa Homeland Security and Emergency Management,” Johnston, IA, http://homelandsecurity.iowa.gov (This is Iowa HSEMD’s home site) • “IowaTrainingNow: Training Now for Tomorrow’s Challenges,” IowaTrainingNow.com, Homeland Security Training Center, Iowa Central Community College, Fort Dodge, IA (IowaTrainingNow.com lists available training and exercise sessions, including TTXs and full-scale exercises by region) References Iowa Homeland Security and Emergency Management Division (HSEMD), Iowa Emergency Response Plan: Basic Plan PLUS 15 Emergency Support Functions (ESFs), Special Needs Support Annex, Johnston, Iowa, Oct. 2010. Iowa Legislature, Iowa Code, Title I “State Sovereignty and Management,” Chapter 29C, “Emergency Management and Security,” updated 2014. MISSOURI DOT (MODOT) CASE STUDY State Missouri Population 5,911,605 persons Size 68,885.93 sq. miles Density 81.2 persons/sq. mile DOT Size 5,100 employees DOT Field Personnel 2,500 employees Headquarters Jefferson City District Offices 7 offices Highway Mileage 33,845 miles Bridges 10,000 bridges The state of Missouri experiences frequent natural disasters such as ice storms, tornadoes, severe storms, and flooding. Mis- souri has had over 30 federal major disaster declarations since 1990 (“Declared Disasters in Missouri,” Missouri SEMA n.d.). MoDOT has about 5,100 employees and 2,500 M&O field personnel, not including contractors. The number of contractors is minimal. MoDOT has seven district offices, of which two are urban and five are rural. MoDOT does not have a specific training budget – the training costs are absorbed by the operating costs. MoDOT has 10 trainers, and none of them are dedi- cated trainers; that is, their delivery of training constitutes only one part of their other professional responsibilities.

127 TRAINING AND EXERCISE PRACTICES MoDOT has developed a Training Plan for Overall Emergency Response, which is attached with this case study. MoDOT’s Training Plan contains course descriptions and recommendations for those with incident response responsibilities. MoDOT’s philosophy for exercises is to participate in as many state and local exercises as possible. MoDOT has a “Tracker Measure” for Involvement in Emergency and Disaster Response that tracks involvement in exercises. The latest version is attached. In 2010 and 2012 MoDOT participated in 25 exercises statewide. In 2013, MoDOT participated in 30 exercises. The primary emergency training need for field staff is task-based training and safety training. For middle-level staff the biggest need is NIMS training. Field crew meetings are used to train field personnel for field-oriented task-type training. Historically, no just-in-time train- ing has been used, but MoDOT is developing a new training program with more just-in-time training. This type of training is intended to instruct field personnel on their responsibilities and job duties as they expand. TRAINING SOURCES Training sources include MoDOT [in-house; Missouri State Emergency Management Agency (SEMA)]; other federal, state, and local agencies; and some contract training. Missouri SEMA has a very good training program and offers many classes at no cost to MoDOT. Training frequency varies by position from a few hours a year to many hours a month. The courses included in the Training Plan (which is attached in this case study) are: • Adult CPR • Advanced Workzone Training • Air Bag and Hybrid Vehicle Safety Training • Amateur Radio (Ham) Operator • Basic First Aid • Bloodborne Pathogens • Child and Infant CPR • District Incident Response Plan Training (where available) • Dump Truck Operations • Fire Extinguisher Training • Flagger and Workzone Training • ont-End Loader Operations • Hazardous Material Recognition Introduction • Hazardous Waste Operation and Emergency Response (HAZWOPER-40 HR) • Highway Watch (Missouri) • Post-Incident Bridge Inspection Training • System Security Awareness for Transportation Employees The Incident Command Training Suite provides MoDOT’s NIMS training recommendations. MoDOT’s NIMS training recommendations are also presented in appendices H and I. MoDOT recommends that all emergency responders take IS-100 and IS-700 and that first-line response supervisors take IS-100, IS-200, and IS-700. Emergency responders include the following personnel: • Motorist assist and emergency response field staff, both urban and rural • Urban or rural field staff with any involvement in emergency response. • TMC operators. First-line response supervisors are: • All immediate supervisors of above. • All first-line maintenance and traffic field supervisors. • Other appropriate district support staff.

128 Descriptions of the IS-100, IS-200, and IS-700 courses can be found both in the FEMA Emergency Management Institute’s catalog and in the two MoDOT documents attached with this case study (the MoDOT Training Plan and the MoDOT NIMS Training Recommendations). EXERCISES Most of MoDOT’s exercises are multi-agency exercises and most are hosted by other agencies. MoDOT occasionally holds MoDOT-only exercises. M&O field personnel participate in at least half of the exercises. The percentage varies from exercise to exercise. About once a year MoDOT has a large-scale exercise with about 10 percent or more of the field staff involved. Every district is typically involved in a few exercises a year. MoDOT varies the exercise types and scenarios to provide training on a large range of scenarios. About half of the exer- cises are tabletop exercises, while the other half is mostly functional exercises. There is typically about one full-scale exercise a year. Over the last few years MoDOT has had earthquake exercises, severe weather exercises (snow, ice, tornado, etc.), nuclear power plant scenarios, terrorism-based exercises, and others. Also note that MoDOT includes the number of real events in its TrackerMeasure. MoDOT has several a year, and these real incidents provide the best opportunity to facilitate learning and preparation for disasters. MoDOT coordinates with other agencies and organizations on its exercises. TRAINING AND EXERCISE EVALUATION In most cases, exercise evaluations are a simple after-action review process. Trainees perform self-evaluations. HSEEP guid- ance is followed for the larger multi-agency exercises that are facilitated by SEMA or FEMA. CONTRACTORS/LPAS MoDOT does not typically pay for contractor training and exercises; nor does MoDOT require contractors to undergo training and exercises. MoDOT does not require LPAs to undergo training/exercises. ISSUES MoDOT believes that while online training is less effective, it is sometimes the only practical option. Because the Traffic and Highway Department has been downsized by 20 percent, lack of time is a major challenge. MoDOT’s field personnel are busy and stretched thin. The lack of a dedicated training fund is another major challenge in training provision. Consequently, MoDOT needs to use operating funds for training. Fortunately, Missouri’s SEMA offers a training program which is provided at no cost to MoDOT. TRAIN-THE-TRAINER MoDOT reports limited success with train-the-trainer programs. Field staff does not have time to deliver complex or time- consuming training such as IS-300 or 400. In short, Train-the-trainer has been most successful in simple training that is given to a large percentage of employees (e.g., two-way radio training and much of the task-based training). PERFORMANCE METRIC MoDOT has some training that is “required” by title and is tracked in the MoDOT “Learning Management System.” The following tracker measure performance metric is used to track Involvement in emergency and disaster response:

129 Purpose of the Measure The measure tracks the number of disaster and emergency responses and the number of related exercises in which MoDOT is involved. Some of the exercises are limited to Central Office staff only – for example, State Emergency Operations Center tabletop exercises. However, many events involve district staff and have a local component to them. MoDOT also includes the monthly emergency communications testing in this measure, since they are an important part of MoDOT’s disaster prepared- ness efforts. Major Events and Significant Exercises The measure also tracks the number of “major” events or significant exercises in which central office and/or district staff is involved. A “major” event is one that creates a lot of damage and/or affects a large area and typically involves the activation of the Central Office EOC and/or the State Emergency Operations Center. By nature, these events are multi-agency events. Improvement Status The Tracker Measure for the years 2008–2012 is given in FIGURE 2. The year 2009 showed an increase over 2008 in the number of exercises. The year 2010 featured a similar number of exercises, but all of these exercises involved districts. The year 2011 was a year of historic disasters, including a record snow storm, historic flooding in Southeast Missouri, the Joplin Tornado, and historic Missouri River flooding. The number of exercises was down in 2011, because MoDOT and many other agencies were involved in these real-world responses. The number of exercises in the year 2012 returned to the number in 2010. MoDOT has become more involved in emergency management at the state and local levels. MoDOT’s continuing goal is to improve their working relationships with responder and emergency management agencies and to improve their emergency response at all levels. MoDOT’s goal across the entire organization is to improve preparedness and the ability to respond to major disasters. While MoDOT has no control over the occurrence of real emergencies, these emergencies serve as the best “exercise” opportunities for emergency and disaster preparation. FIGURE 2 Emergency and Disaster Response Tracker Measure (Courtesy: MoDOT January 2013–14 TS Division Tracker). MISSOURI SEMA The Missouri State Emergency Management Agency (SEMA) offers an Emergency Management Training (EMT) curricu- lum which includes All Hazards Incident Management Team, Multiagency Coordination System (MACS), Hazmat Incident

130 Response, ICS 300, and web EOC training. Missouri SEMA also holds an annual Missouri Severe Weather Awareness Week in conjunction with the National Weather Service and Missouri’s local emergency management offices. The 2013 week was March 4–9, 2013, during which a statewide tornado drill was held. The After Action Report/Improvement Plan (AAR/IP) template used by Missouri SEMA complies with HSEEP. TABLE 5 shows the content of this template. TABLE 5 MISSOURI SEMA AFTER-ACTION REPORT/IMPROVEMENT PLAN (AAR/IP) TEMPLATE (Courtesy: MoDOT) ATTACHMENTS FROM MODOT MoDOT has permitted this case study to attach the following documents: • MoDOT Training Plan (see Synthesis Appendix H) • MoDOT NIMS Training Guide (see Synthesis Appendix I) Reference Missouri State Emergency Management Agency, “Declared Disasters in Missouri,” Missouri Department of Public Safety, Jefferson City, n.d. [Online]. Available: http://sema.dps.mo.gov/maps_and_disasters/disasters/.

131 RHODE ISLAND DOT (RIDOT) CASE STUDY State Rhode Island Population 1,050,788 persons Size 1,045 sq. miles Density 1003 persons/sq. mile DOT Size 780 employees DOT Field Personnel 224 employees Headquarters (city) Providence District Offices N/A Roadway or Highway Mileage 1,100 miles Bridges 800 bridges Rhode Island has 1,100 miles of roadway and 800 bridges. Snowstorms are frequent in the state, and severe winter weather has been a major challenge for the DOT. The major disasters faced by Rhode Island in recent years have been two hurricanes (Irene in 2011 and Sandy in 2012), flooding in 2010, and a massive blizzard (Nemo) in 2013. The head of the Maintenance Division, Administrator Joseph Baker, is responsible for design and construction, planning, finance, and administration. He is also the designated Incident Commander during all incidents. ICS-100 (Introduction to ICS) and ICS-200 (ICS for Single Resources and Initial Action Incidents) are recommended for all field personnel. In addition, mid-level managers typically take ICS-300 and 400. Upper-level managers also take the IS-700 course (Introduction to NIMS). These courses are provided by the Rhode Island Emergency Management Agency at their facilities. Training is paid for by Rhode Island DOT. Because Rhode Island is a small state, it is relatively easy for their personnel to travel to the State EMA for training. The State EMA provides the ICS and NIMS courses as well as tabletop exercises – the exercises are in a classroom setting and are interactive. In terms of other training needs, personal safety and hazards awareness courses are provided by the RIDOT Safety Office. The office has recently purchased and distributed a CD on safety training created by ARTBA, OSHA, and the U.S. Department of Labor. The office considers online training to be just-in-time training, because it can be given whenever the need arises. TRAFFIC INCIDENT MANAGEMENT (TIM) TIM training was recently introduced by the SHRP 2 program. It is being provided to DOT field personnel and other agencies and organizations by the State Fire Academy and State Police. The TIM training contains an ICS component which is useful during any incident, large or small. UNIVERSITY OF RHODE ISLAND TRANSPORTATION CENTER RIDOT has entered into a formal partnership with the University of Rhode Island Transportation Center to train RIDOT field personnel in a wide range of topics. EXERCISES Ten percent of RIDOT’s field personnel have started participating in full-scale exercises organized by the State EMA. This level of participation is expected to continue.

132 TENNESSEE DEPARTMENT OF TRANSPORTATION (TDOT) CASE STUDY State Tennessee Population 6,495,978 persons Size 42,146 sq. miles Density 154.1 persons/sq. mile DOT Size 3,900 employees DOT Field Personnel 2,600 employees Headquarters (city) Nashville Super District Offices 12 District Offices 22 Roadway or Highway Mileage 13,896 state-maintained centerline miles Bridges 19,650, of which 17,060 are over-water bridges TDOT is divided into four regions, 22 districts, and 12 super districts. In the state of Tennessee, TDOT responds to more emergencies than any other entity in the state and is also the last incident commander for most incidents. TDOT originated the ESF-1 concept and is recognized as a first responder by the state. Senior management is very supportive of TDOT’s training and exercise initiatives, and, as a result, TDOT personnel, including field personnel, are well-trained in their emergency roles and responsibilities and participate in relevant exercises. The emergency training and exercise program is developed at the TDOT main office and then implemented at the regional level. Currently, TDOT is in the process of revising its EOP, which will contain an Emergency Training and Exercise annex. In its regional offices TDOT has four full-time training staff, one for each of its four regions, and multiple other personnel with various qualifications to teach specific classes. TDOT’s Training Division keeps track of training and exercises taken by field personnel. Note that TDOT does not have a specified emergency operations training budget. Time expended by field personnel for training and exercises is accounted for in the budgets of each region. TRAINING NEEDS TDOT is meeting all of its emergency training and exercise needs which emanate from the TDOT EOP and from ESF-1 and ESF-3 responsibilities, as well as from the job-specific requirements of the field personnel. TDOT personnel also understand their emergency roles and coordination responsibilities with FEMA ESF-1, ESF-3, the state EMA, and the Tennessee Emer- gency Management Agency (TEMA). The training and exercise needs of district field personnel vary depending on the region and on the requirements and equip- ment that must be used for the job function. Each region faces different hazards which dictate hazard-specific training and exercise needs. East Tennessee has two nuclear power plants, four other nuclear facilities, and snowstorms; West Tennessee has earthquakes and flooding; and Middle Tennessee has floods and tornadoes. Flood, rain, and seismic events are the most concerning with respect to highway bridges. Of the 820 scour critical bridges, 75 percent are in West Tennessee. Training needs for TDOT field personnel in Eastern Tennessee emanate from Department of Energy (DOE) and Tennessee Valley Authority regulations governing the nuclear power plants. The emergency response plans for DOE and the Tennessee Valley Authority plants include TDOT and its field personnel. Emergency worker training is provided by the Tennessee Valley Authority and the DOE. Field personnel involved in damage assessment and emergency response receive comprehensive training on the FHWA Emergency Relief program and the FEMA Public Assistance program.

133 The training provided by TDOT includes details of both programs, including purpose; administration; damage assessment process, forms, and documentation; eligibility criteria; identification and definition of eligible routes; damage assessment team composition and necessary equipment; and definition of emergency repairs, permanent restoration, and betterments. The TDOT personnel that successfully complete the program receive credentials issued by TEMA. NIMS AND ICS TRAINING TDOT is NIMS compliant and delivers required NIMS and ICS training to its employees. All TDOT field personnel are required to take IS-100 and IS-700, which are delivered online. If the region prefers the classroom method, IS-100 and IS-700 may be delivered in a classroom format. Supervisors are required to take IS-200 and IS-800 delivered in a classroom format. This requirement is in addition to the IS-100 and IS-700 requirements. Managers are required to take ICS-300 and ICS-400, also delivered via a classroom format. This requirement is in addition to the IS-100, IS-700, IS-200, and IS-800 requirements. OTHER TRAINING Other training that is required of some of the field personnel and their supervisors include: radio communications, hazmat, emergency vehicle operations, traffic incident management, and first responder life-saving. STRIKE TEAM TRAINING Strike teams respond to disasters and emergencies and are self-sufficient. Personnel from each region selected to be part of a strike team receive special training and participate in full-scale exercises so that they can operate during any disaster or emergency without logistical support and without outside food or water. They are trained for all types of hazards and incidents and can operate specialized equipment. This training is helpful when they are requested by other states to provide assistance during a disaster. TRAINING DELIVERY METHOD TDOT relies heavily on train-the-trainer to meet its emergency training needs. The Emergency services coordinator at the main office holds training sessions for trainers at each of TDOT’s four regions. The coordinator coordinates to bring in adjunct instructors to do train-the-trainer sessions for specific topics when necessary. Each training officer coordinates training for all of TDOT’s field personnel. Train-the-trainer is used to deliver IS-100, IS-700, IS-200, IS-800, radio communications, and traffic incident management training. New hires will be sent to other agencies—TEMA, law enforcement, fire department, or emergency medical services – for emergency training in order to increase their familiarity with partner agencies. The training is provided by the agencies free of charge. TDOT also coordinates training activities with wildlife agencies, U.S. Army Corps of Engineers, and utilities, as well as with state, county, and city agencies. TDOT has an arrangement with TEMA in which they “exchange” training—the training delivered by TEMA is complimen- tary to TDOT personnel and training delivered by TDOT is complimentary to TEMA personnel. TEMA’s Hazmat Institute delivers a 1-day hazmat awareness course and a 1-week hazmat operations course at TDOT for TDOT personnel (including field personnel). Course participants, in addition to TDOT personnel, include local emergency management, fire, and police. Other training delivery methods used by TDOT include the following: • The just-in-time training method is also used to train field personnel for the specific skills or knowledge required for exercises immediately prior to an exercise. • Interdisciplinary training with the Civil Air Patrol is organized at least once a year. • Incident management task forces have quarterly meetings for field personnel. Various emergency management agencies and TDOT personnel participate in these meetings. • Field crew meetings are also used as a training delivery method.

134 REFRESHER TRAINING For NIMS and ICS courses, field personnel are required to take a 4-hour refresher course every 5 years. The refresher training is provided by the Emergency Service Coordinator at monthly field crew meetings. EXERCISES In all incident response activities, TDOT field personnel use NIMS and ICS and thereby have extensive practice implement- ing the concepts. For each of the years from 2011 to 2013, TDOT has organized one full-scale exercise for its field personnel. About 15 percent of its field personnel participate in this exercise. Districts hold drills on various pieces of equipment such as snow plows, chainsaws, and salt trucks for their field personnel. Field personnel also participate in numerous exercises held by other agencies and organizations. By participating in exercises they gain familiarity with other agencies (such as Highway Patrol, Department of Health, Human Services, National Guard, local EMAs, and local fire and police) and their personnel and pro- cedures. Because the state has accepted TDOT personnel as emergency responders, TDOT is generally invited to participate in 20–30 different exercises held by different entities in different jurisdictions. Every 5 years, all of TDOT’s field personnel that wish to do so will have participated in an exercise. While currently no emergency exercises are done in conjunction with universities or colleges, other exercises and training involve the state’s educational institutions. TDOT and the Tennessee Highway Patrol are constructing a training and exercise tool that spans 4 acres and includes a 600-ft.-long interstate replica where drills, functional exercises, and full-scale exercises may be held with other responding agencies. EVALUATIONS In terms of training and exercise evaluations, participants are asked for their input in terms of what worked and what did not work. If any time changes are made to a plan, the changes are incorporated into the subsequent exercise scenario so that the updated plan can be tested. Scenarios used have included the ones most likely to occur in the state: catastrophic flooding, severe ice storm, and cata- strophic earthquake. For example, in 2014 the scenario is a catastrophic tornado. CONTRACTORS TDOT requires its contractors to have taken NIMS IS-100 and IS-700 and have the appropriate equipment licenses. Contrac- tors who are supervisors must have also taken NIMS IS-200 and IS-800. In addition, TDOT requires contractors to participate in tabletop exercises or functional exercises. PUBLIC WORKS AGENCIES TDOT provides training for public works agencies—occasionally, the agencies conduct training for TDOT personnel as well.

135 TEXAS DEPARTMENT OF TRANSPORTATION (TXDOT) CASE STUDY State Texas Population 24,326,974 persons Size 261,231 sq. miles Density 96.3 persons/sq. mile DOT Size 12,120 full -time employees DOT Field Personnel 5,000 employees Headquarters Austin District Offices 25 districts, 246 maintenance sections Roadway or Highway Mileage 79,000 miles Bridges 51,808 The Governor of Texas is responsible for homeland security and for managing disasters and disruptions affecting the state. The Texas Department of Public Safety’s Division of Emergency Management (TDEM) is responsible for developing a comprehensive all-hazard emergency management program for Texas and assisting local public agencies in deploying their emergency management programs. More specifically, TDEM’s responsibilities include the following: 1. Emergency Planning: TDEM maintains the State of Texas Emergency Management Plan and adopts standards for local emergency management plans. 2. Training: TDEM conducts an extensive emergency management-training program for local and state officials and emergency responders. 3. Public Education & Information: TDEM provides educational materials on threat awareness and preparedness for the public, and on emergency information during disasters. 4. Hazard Mitigation: TDEM administers pre- and post-disaster programs to eliminate or reduce the impact of known hazards. 5. Response: TDEM coordinates mobilization and deployment of state resources to respond to major emergencies and disasters. 6. Disaster Recovery: TDEM administers disaster recovery programs. In the past 5 years Texas has had three major disaster declarations for hurricanes, two for wildland fires, and one for an explosion. Many tropical disturbances develop in the Atlantic Ocean, Caribbean Sea, and Gulf of Mexico; some increase in intensity becoming tropical storms, and a few may turn into hurricanes (Roth 2010). Droughts are another natural hazard for Texas. A drought began in October 2010, and 2011 became the driest year for the state. Records for low rainfall were set in March–May 2011 and June–August 2011. The state’s temperatures have been rising over the years and have caused increased evaporation of any water received from rainfall. While conditions improved by the spring of 2012, droughts were again experienced in the fall of 2012 in some parts of the state (“Everything You Need to Know about the Texas Drought,” n.d.). These droughts have sparked disastrous wildland fires (see FIGURE 3 for one example). These fires have not only endangered the lives of firefighters but also those of TxDOT field personnel working to clear debris, along with dead and dying trees, and repair damaged roadways and bridges.

136 FIGURE 3 Bastrop, Texas, following a wildland fire (Source: “Texas Drought and Wildfires,” Huffington Post 2011). Additional hazards and threats are snowstorms and terrorism. TxDOT has more than 5,000 maintenance employees and 246 maintenance sections; the average section has 10–30 person- nel. Four regional support centers provide operational and project delivery support for the agency’s 25 geographical districts. TRAINING NEEDS AND SOURCES According to the State Agency Matrix of Responsibilities in Appendix 3 of the State of Texas Emergency Management Plan, TxDOT is the primary agency for ESF-3 Public Works and Engineering (Texas Department of Public Safety, 2012, page 3-1). TxDOT is also the support agency for: • Communications • Direction and control • Evacuation • Firefighting • Hazard mitigation • Hazardous materials and oil spill response • Public information • Recovery • Terrorism incident response • Transportation The Texas Department of Criminal Justice is the primary agency for ESF-1 Transportation. TxDOT’s primary emergency training and exercise needs emanate from its primary role for ESF-3 responsibilities and from its support role for ESF-1 and other areas. All maintenance personnel are required to take FEMA EMI’s IS-100 (ICS) and IS-700 (NIMS) courses. Supervisors are also required to take the IS-200. This training is available to their employees through their emergency management website. ICS 300 and 400 are required for senior managers – these courses are taught in a classroom setting by various entities, including TDEM, Council of Governments, local fire departments, local police departments, and qualified instructors. The Division Office sends training information and reminders to district offices. Note that TDEM receives grants from the federal government for training and exercises; therefore, TxDOT employees are able to receive TDEM training free of charge. TDEM’s training catalog and calendar are available through the Texas Emergency Management Preparedness Website (www.preparingtexas.org).

137 Training on communications during emergencies and web EOC training are also provided but are not required for field personnel. For wildland fires, TxDOT field personnel are responsible for traffic control and incident response, providing water to firefighters, providing fuel to volunteer fire departments, debris removal, and repairs to their facilities. TxDOT field person- nel also need to know how to use supplemental personal protective equipment (PPE) to prevent personal injury from fires. In-house training on wildland fires and wildland fire response is being developed with the assistance of Texas Tech. Wild- land fires in East Central Texas were especially destructive in 2011. The 2011 fire season included around 27,976 fires which burned a record 3,959,040 acres. Thousands of homes and structures, along with vegetation and trees, were destroyed. The Bastrop County fires started on Sept. 4, 2011, near Bastrop State Park. High winds fueled the fires, and numerous homes and trees became engulfed. Texas State Highway 71 runs through this area. Numerous dead trees had to be cleared from the highway. In addition, there were dead and dying trees which were still standing near the highway. During the wildland fires TxDOT personnel were at risk as they worked without interruption to clear the highway and other roads of debris, to control traffic, and to make necessary repairs. After the Bastrop fires it became clear that TxDOT personnel not only needed addi- tional PPE but required training on how to use it. Two trailers with PPEs, helmets, and fire shelters were purchased by TxDOT. The 6-hour training started in May 2013 and included fire safety information, training on TxDOT’s role during wildland fires, and demonstrations on how to don the PPE and deploy the fire shelters. For hurricanes, TxDOT field personnel are responsible for traffic control and incident response, debris removal, and repairs to their facilities. Hurricane training in the form of a workshop is provided once a year. The day-long workshop was held on April 23, 2013, and covered evacuation, reentry, cleanup, and response techniques. Protocols concerning the suspension of construction schedules were also presented. In addition, radio communications and interoperability issues were discussed. Debris and environmental contracts, issues related to the Moving Ahead for Progress in the 21st Century Act (MAP-21), and FWHA Emergency Relief and FEMA Public Assistance reimbursement issues were also covered. In addition, the data that needs to be input into the maintenance management system was discussed. Volunteer management guidance was also pro- vided. Typically, approximately 90-100 TxDOT personnel attend and participate in the workshops. Key district staff members (including district engineers and directors of operations and maintenance) are in attendance. Coastal leadership also partici- pates in regional hurricane conferences and the Texas Emergency Management conference, which is held yearly. Information on FHWA and FEMA reimbursement procedures are also disseminated at meetings of district engineers and key maintenance staff. TxDOT also provides just-in-time training (JITT) to local governments on Federal Highway Admin- istration Reimbursement Eligibility. This training was provided to the county of Bastrop immediately following their major wildland fire in 2011. A 4-hour homeland security course required of all TxDOT personnel, including field personnel, is provided through the TxDOT learning center. EXERCISES TxDOT organizes and holds one full-scale exercise a year. The exercise typically focuses on contraflow evacuation. In 2012 TxDOT, the Texas Department of Public Safety, and local law enforcement agencies participated in a contraflow exercise spanning from Corpus Christi to San Antonio. About 100 TxDOT personnel participated, and during the exercise personnel and equipment were mobilized at each ramp in the exercise scenario. While the ramps were not actually closed, the personnel actually transported the equipment to the ramps and deployed them. This process was timed and evaluated. The May 2013 exercise was a larger contraflow exercise and involved the I-10 and the I-45. More districts and a larger por- tion of field personnel participated in this exercise. Most district level emergency response personnel (including the emergency management coordinator) participate in exer- cises held throughout the state – full-scale exercises, functional, drills, tabletop exercises, seminars, and workshops.

138 ISSUES Personnel turnover makes training a challenge. Training and exercise gaps may occur when there is leadership turnover, especially in coastal areas. Experiences and lessons learned are often lost when employees retire or leave. Another issue in providing training and exercises for field personnel is the difficulty in scheduling them, due to their day-to-day work priorities. References Texas Department of Public Safety, State of Texas Emergency Management Plan, Austin, May 2012. “Texas Drought and Wildfires: Before and After the Severe Weather,” Huffington Post, Nov. 12, 2011 [Online]. Available: http://www.huffingtonpost.com/2011/09/12/texas-wildfire_n_958780.html. VERMONT AGENCY OF TRANSPORTATION (VTRANS) CASE STUDY State Vermont Population 621,270 Size 9,249.56 sq. miles Density 65.8 persons/sq. mile DOT Size 1,300 employees DOT Field Personnel 400 employees Headquarters Montpelier District Offices 9 Roadway Miles 2,700 miles Bridges 4,000 bridges Vermont has nine district offices (garages). Headquarters arranges most of the training for the 400 or so field personnel, but each district also provides additional training as needed. Vermont hires contractors for various tasks (approximately 30 percent of the work is outsourced) but does not currently provide them with training. Vermont’s primary hazards are snowstorms and flooding. A recent focus has been hurricanes after the 2011 Tropical Storm Irene that devastated parts of the state. Because Vermont also has a nuclear reactor in the city of Vernon, the district field personnel in the area undergo periodic training and scenario-based drills in radiological emergency response. VTrans is the lead for State Support Function One (Transportation, SSF-1) and is responsible for the development and maintenance of the State of Vermont EOP SSF-1 Annex. The mission of the SSF-1 is: “To provide assistance to state and local governmental entities and voluntary organizations requiring transportation capacity to perform response missions following a catastrophic or major disaster or emergency. Support includes, but is not limited to: coordinating assessment of the transportation system to support emergency operations; making the necessary emergency repairs to the state transportation system; assisting local jurisdictions with emergency repairs to their transportation system when resources are available; identifying and obtaining (from state agencies, the federal government, or by donation, lease, or purchase) appropriate transportation assets and/or transportation support capabilities to meet response and recovery operational requirements; coordinating establishment of emergency refueling and maintenance facilities; identifying evacuation routes along the state and federal highway systems; and, with the assistance of SSF13 (law enforcement), coordinate evacuations along those routes should the emergency require” (“SSF-1 Annex,” Vermont DEMHS, 2013, page 1). The SSF-1 Annex notes that all primary and support agencies must maintain inventories and procedures to obtain the fol- lowing transportation assets: 1. Buses of various types and sizes, with drivers, including non-emergency patient transportation carriers, to be used for evacuations and other transportation missions. 2. Passenger and utility vans of various types and sizes, with and without drivers, including non-emergency patient transportation carriers, to be used for evacuation and other transportation missions.

139 3. Trucks and/or trailers of various types, sizes, and combinations with drivers/operators to be used for various transportation missions. 4. Aircraft, aircrews, and ground and operations personnel and communications for transportation of emergency officials, personnel, light-load cargo, and for various aerial surveillance and reconnaissance flights. 5. Boats of various types and sizes, powered and non-powered, for various transportation missions. 6. Cars of various sizes to be used for various transportation missions. 7. Vehicle repair facilities, equipment, and personnel to be used for repairs to various types of emergency vehicles. 8. Fleet parking and storage areas to be used for the staging, parking, and storage of various types of emergency vehicles. 9. Motor pool and vehicle service facilities and personnel to be used for refueling and servicing various types of emergency vehicles. 10. Parking and storage areas to be used for staging, categorizing, storing, and distributing resources in coordination with SSF-7 (Resource Support) throughout the state. 11. Material handling equipment, including forklifts. 12. Locomotives and rail lines. (“SSF-1 Annex,” Vermont DEMHS 2013, p. 5) The specific SSF-1 responsibilities of VTrans are stated as the following: 1. Identify, train, and assign VTrans personnel to staff SSF-1 in the SEOC. 2. Provide all transportation assets listed in paragraph A2 thru A3 and A6 thru A10 above. 3. Monitor status of all road networks and provide continuous updates to SEOC. 4. Assist Vermont Division of Emergency Management and Homeland Security (DEMHS) and VSP with the development of evacuation routes to include physical identification of routes. 5. Provide required barrier material, signage, and manpower to support evacuation operations. 6. Conduct route reconnaissance to ensure structural integrity of road network; suspend and clear all construction along evacuation routes. 7. Provide SEOC and SEOC-deployed teams with maps for all modes of transportation. 8. Maintain database of all state-owned civil aviation assets. 9. Identify and maintain lists of all public and private airports, heliports, and hospital helispot data including location, elevation, navigation and communications aids, runways, maximum aircraft size and weight, aviation fuel availability, and owner- operator points of contact. 10. Evaluate and coordinate requests for temporary flight restrictions, including low-level flights, with the Federal Aviation Agency (FAA). 11. Monitor status of all facilities in paragraph V.A. 7 - 10 above and provide regular updates to SEOC. 12. Assess airport damage, report to the SEOC, and assist in restoration of airports. 13. Identify and maintain railroad transportation systems data and points of contact. 14. Monitor status of rail infrastructure during emergencies and provide updates to the SEOC. (“SSF-1 Annex,” Vermont DEMHS 2013, p. 6) VTrans is the co-lead for SSF-3 Public Works and Engineering along with the Vermont Division of Fire Safety (“SSF-3 Annex,” Vermont DEMHS, 2013, page 1). The mission of SSF-3 is: to provide technical advice and evaluation, engineering services, contracting for or providing construction management and inspection, contracting for the emergency repair of water and wastewater treatment facilities when resources are available, potable water and ice, emergency power and real estate support to assist the State in meeting goals related to lifesaving and life-sustaining actions, damage mitigation, and recovery activities following a major disaster or emergency. (“SSF-3 Annex,” Vermont DEMHS 2013, p. 1)

140 VTrans is also the lead agency for the Infrastructure and Environmental Restoration Task Force (“Appendix III,” Vermont DEMHS 2013, p. 11). In addition, VTrans develops, plans, and trains based on internal policies and procedures to meet the EOP preparedness, mitigation, response, and recovery needs (“Agency Annex H,” Vermont DEMHS 2013, p. 1). This training will also include “multi-level, interagency training and exercises” (“Agency Annex H,” Vermont DEMHS 2013, p.1). ACTUAL EVENT—LESSONS LEARNED After Tropical Storm Irene, VTrans sought to identify lessons learned and strategies for enhancing response in future disas- ters. To this end, the Irene Innovation Task Team was established after the recovery phase had been completed. The Task Team was comprised of four members: one with an emergency response background, the VTrans contract administration chief, a former VTrans local transportation facilities program manager, and an organizational development consultant. The Task Team sought to identify lessons learned and determine whether they were applicable for future disaster preparedness or for ongoing operations or both. To this end, the Task Team organized and held eight focus groups, along with a survey, and also reviewed debriefing surveys, meeting notes, and after-action reports (AARs); over 60 response participants were interviewed (Irene Innovation Task Force Report, VTrans 2012, p. 4). Many significant insights and lessons learned were captured through this process. One of the key training-related lessons learned was “the need for ongoing training and preparedness in emergency response and also in the ICS” (Irene Innovation Task Force Report, VTrans 2012, page 13). The report stated that “the use of the ICS was essential to the successful response. However, a lack of planning, practice, and a 3-day delay in implementation initially limited the ICS’s effectiveness” (Irene Innovation Task Force Report, VTrans 2012, p. 4). In other words, the on-the-job, just-in-time training in ICS that took place during Irene was not optimal, and that prior training would be useful for future disasters. This finding prompted a senior-level mandate for all VTrans personnel to take ICS training. All M&O field personnel are now required to take both the instructor- led ICS 100 course offered by the Vermont State Police Academy and the FEMA IS-100 course at VTrans training facility, and they are paid for their time. Vermont Agency of Transportation has a training facility with classrooms, PCs, internet con- nection, and learning materials. Supervisors and managers are required to take additional courses, including ICS 200, 300, and/or 400, based on their job responsibilities. Additional training-related recommendations contained in the Irene Innovation Task Force Report included the following: • Conduct an annual training in disaster response for staff at all levels. While pre-identified leaders need the most training, those at the front lines also need to better understand roles. Training should include checklists and emergency standard operating procedures (SOPs), especially with regards to how finances are handled. A manual should be developed, possibly with the help of other states that have already written them. Clarity regarding Detailed Damage Incident Reports (DDIRs) should also be included in the training manual (short-term). • Use ongoing mini-disasters as a chance to practice and evaluate the skills of potential leaders (ongoing). • Train staff in the use of new technology used in the response such as smart phones, tablets, laptops, Wi-Fi, mifi (mobile Wi-Fi___33), and satcards was also identified as an important short-term objective. While embedding IT staff in the Incident Command Centers has mitigated this need, the report recommends that VTrans incorporate new technology into daily operations in order to familiarize personnel with the technology before another disaster or emergency occurs. Accordingly, the report recommends that if new technology is not incorporated into ongoing operations, a plan should be developed to support technology used in emergency response. • Develop pocket manuals for use by section heads in Incident Command Center units – Logistics, Planning, Operation, Finance— in order to record “who responds, what they do, where they go, and when they do it, as well as FAQs addressing Incident Command Center operations.” The development of these pocket manuals are seen as a mid-term endeavor. • Clarify the role of VTrans in training key stakeholders, including contractors, towns, regional planning commissions, the Director of Public Works, and subcontractors. The Task Team concluded that they would have benefited from additional knowledge about VTrans’ procedures during the emergency including response protocols and contracting methods. The lack of understanding of its procedures contributed to issues in completing project worksheets and DDIRs required for the FHWA Emergency Relief and FEMA Public Assistance programs, and caused VTrans to incur additional expenses and time in addressing these issues. • Incorporate river management principles into VTrans Operation’s training institute as one method of institutionalizing river engineering into infrastructure engineering. This final training-related recommendation has a mid-term focus. (Irene Innovation Task Force Report, VTrans 2012, pp. 13–15) A maintenance emergency plan/manual is under development. Field testing of this plan/manual is expected, and the train- ing of field personnel on this plan/manual is planned as well.

141 EXERCISES The State Emergency Operations Center organizes full-scale exercises. All field personnel undergo 4- to 5-day full-scale exercise in hurricanes and weapons of mass destruction (WMDs). Drills are voluntary and are held quarterly. Field person- nel typically attend four operations-based exercises, including the drills and the full-scale exercise, and six discussion-based exercises (seminars) a year. The seminars are on hazards and threats pertinent to Vermont and VTrans’ transportation facili- ties and are held in various locations and venues. VERMONT AGENCY OF TRANSPORTATION TRAINING CENTER (VTTC) The Vermont Agency of Transportation Training Center (VTTC) is comprised of seven full-time staff members. The VTTC has adopted AASHTO Transportation Curriculum Coordination Council’s training competencies. The most current catalog (“Catalog of Learning Opportunities”) can be found on the VTTC website (VTrans Training Center, http://vtransoperations. vermont.gov/training_center). The courses offered are classroom-based training and include the following topics: • Workzone safety • Outdoor safety • First aid • Personal safety • Chemical safety • Respect in the workplace policies • Construction safety • Fire safety. (“Catalog of Learning Opportunities,” VTrans 2013–2014) Other safety and health training courses offered at the VTTC or other VTrans locations include: • Bloodborne Pathogens • Chain Saw • Confined Space • Defensive Driving • Electrical Safety • Fall Protection • First Aid/CPR • Forklift • HazMat • Lockout/Tagout • Meth Lab • Mine Safety and Health Administration • Power Tools • Securing and Transporting Loads • Snow and Ice Control • Trenching and Shoring Safety (“Catalog of Learning Opportunities,” VTrans 2013–2014) Supervisory Courses VTTC offers a course titled “Advancing Towards Supervision” which provides an overview of needed skills for supervisors (“Catalog of Learning Opportunities,” VTrans 2013–2014). VTrans has a 6-day Fundamentals of Supervision course for supervisors, team and crew leaders, and specialists. The course covers supervisory roles and expectations, motivation and communication techniques, and the development of an individual development project plan. The course includes the following three segments:

142 1. Supervisory roles and expectations, how to foster an environment that motivates employees to excel and communicate effectively. 2. Focuses on legal and contractual responsibilities. 3. Focuses on supervisory skills needed to succeed. (“Catalog of Learning Opportunities,” VTrans 2013–2014) The Fundamentals of Supervision course also requires participants to attend and complete other courses: • Managing Under the Contract, Parts I–IV • Interviewing & Hiring for Success • Mandatory Equal Employment Opportunity for Agency Supervisors and Managers • Ethics (“Catalog of Learning Opportunities,” VTrans 2013–2014) The objectives of the Fundamentals of Supervision course are: • Participants will identify the roles and expectations of supervisors. • Learn the tools to motivate and coach employees. • Understand communication styles. • Learn the processes involving discipline, corrective action, and grievance handling. • Understand how to identify sexual harassment and create a workplace of respect (including generational and cultural differences). • Learn conflict management methods and understand employee behavior. • Learn the performance management cycle. (“Catalog of Learning Opportunities,” VTrans 2013–2014) NEEDS ASSESSMENT TOOL Attached with this case study is the Manager/Supervisory Needs Assessment Tool. VTTC uses this Needs Assessment Tool to help determine whether a particular training course is needed. VERMONT DIVISION OF HOMELAND SECURITY AND HOMELAND SECURITY (DEMHS) The Division of Homeland Security and Homeland Security (DEMHS) of the Department of Public Safety is the Vermont state EMA. Although the Vermont DEMHS has its own website (http://dps.vermont.gov/demhs), there are also separate portal websites for Vermont Emergency Management (http://vem.vermont.gov/ and Vermont Homeland Security http://hsu. vermont.gov/). In 2013, DEMHS offered 120 training courses on NIMS and ICS, emergency management, terrorism awareness, fire inci- dent response support, responder safety and health, and on other related topics. Field courses, including hazmat training, are offered at various locations in the state. While transportation to the training site is not covered, the course, course materials, lodging, and meals are provided by DEMHS. The state’s exercise officer supports the exercise needs of VTrans and other agencies in Vermont. DEMHS is developing a new training program for state and local emergency management personnel using existing resources and qualified training contractors. Field training and training on ICS and EMAC will be included in the new program. Personnel from other states will be invited to participate. In addition, the program will be packaged so that it will be usable by other states. References Vermont Agency of Transportation (VTrans), “Catalog of Learning Opportunities,” Vermont Agency of Transportation Training Center, Berlin, 2013–2014.

143 Vermont Division of Emergency Management and Homeland Security (DEMHS), “Agency Annex H: Agency of Trans- portation,” State of Vermont Emergency Operations Plan, Department of Public Safety, Waterbury, 2013. Vermont Division of Emergency Management and Homeland Security (DEMHS), “Appendix III: State Support Functions Summary,” State of Vermont Emergency Operations Plan, Department of Public Safety, Waterbury, 2013. Vermont Division of Emergency Management and Homeland Security (DEMHS), “State Support Function (SSF) Annex 1: Transportation (SSF-1 Annex),” State of Vermont Emergency Operations Plan, Department of Public Safety, Waterbury, 2013. Vermont Division of Emergency Management and Homeland Security (DEMHS), “State Support Function (SSF) Annex 3: Public Works and Engineering (SSF-3 Annex),” State of Vermont Emergency Operations Plan, Department of Public Safety, Waterbury, 2013.

144 Needs Assessment Questionnaire Name: Title: Date: Division: What is the need? 1. Describe the need in general. 2. How has this arisen as a need? 3. Who is driving the request? What is the agency/division/section impact? 4. What is the impact on the agency or your functional area if training was not provided? Who is involved? 5. Who is the targeted audience(s)? a. Division(s): b. Functional area(s): c. Job level(s): d. Approximate number of employees: 6. What other functional areas will be impacted or need to be involved and how? (stakeholders) 7. Who has experience or knowledge that we could leverage (e.g., internal customers, external customers, suppliers)? 8. Should the employees who are responsible for achieving the desired outcomes be involved in the design process? If so, how? If so, will we have access to them to discuss training solutions so there will be collaboration and shared under- standing of the goal? 9. What do they know about the initiative? 10. What support has been secured for the training (budget, supplies, people, commitment, etc.)? What is the scope of work for the VTTC? 11. Has this project been proposed before? 12. How was the initiative been approached in the past? What worked about past solutions? What didn’t work? 13. What type of solution do you envision? a. Solution description: b. Delivery method and strategy: Needs Assessment Questionnaire

145 14. What ways can we document and measure progress after the initiative is implemented? 15. What constraints do you anticipate? 16. Will any policies or procedures be impacted? 17. Are there any compliance or re-certification requirements? New Skills, Knowledge, Behaviors 18. In broad terms, what do employees need to know about the topic? 19. What will employees need to be able to do differently as a result of the training? 20. Why is this information important to them? 21. How will supervisors of participants coach pre- and post-training to ensure transference? 22. How will this impact the employees’ jobs? a. Incentives? b. Disincentives? c. Barriers? Development 23. What materials have already been developed to assist in development of the training? 24. Do you suggest a pilot of the materials to test the approach? If so, will we be able to make adjustments after the pilot? 25. What evaluation methods will be expected/allowed? 26. What metrics could we use to measure impact (i.e., evaluations, audits, reports)? Communication 27. Who will champion and advocate the training? 28. What means of communication do you feel would be appropriate? WASHINGTON STATE DEPARTMENT OF TRANSPORTATION (WSDOT) CASE STUDY State Washington Population 6,882,400 Size 71,362 sq. miles Density 103 persons/sq. mile DOT Size More than 6,800 employees DOT Field Personnel 1,600 employees Headquarters Olympia Districts 6 regions, 24 maintenance areas Highway Miles 20,677 miles Bridges 3,500+ bridges Ferries 23 ferries

146 Washington State is subject to many human-caused, technological, and natural hazards. WSDOT has identified the follow- ing hazards that pose the greatest potential to adversely affect the state transportation system: • Earthquake • Flood • Severe storms • Tsunami • Wildland Fire • Civil disturbance • Volcano • Tornado • Pandemic influenza • Mudslide and/or landslide • Hazardous materials spill/release • Major accident • Terrorism • Radioactive materials release • Infrastructure failure WSDOT undertakes the building block approach to training and exercises. WSDOT delivers increasing levels of knowl- edge to their personnel and, when feasible, provides them with the opportunities to apply what they have learned. According to the WSDOT training manager, all WSDOT field personnel that come in contact with emergency situations should have a basic understanding of: • The incident command system and the part they play in it • How to conduct or adjust the portions of their job that are applicable and appropriate to emergencies • How to integrate with outside agencies, locals, and private enterprise when the need exists for all to pull together • The importance of documentation (photos, notes/logs) • How to move information to the people who need to have it and knowing who those people are • How to ensure that safety of themselves and others comes before any actions they might take WSDOT’s emergency training and exercise needs emanate from WSDOT’s role as the primary agency on ESFF #1 (Trans- portation), as the joint primary agency on ESF#9 (Search & Rescue), and as a support agency on the majority of other ESFs, including ESF#3 (Public Works and Engineering) (“Annex C,” Washington State Emergency Operations Plan, Washington Military Department 2008, p. C-3). In addition to the Washington State Emergency Operations Plan, WSDOT has its own EOP (Emergency Operations Plan M 54-11.01, WSDOT 2011). Appendix C of WSDOT EOP M 54-11.01 is a training and exercise plan. TRAINING AND EXERCISE ELEMENTS OF THE WSDOT EOP Appendix C of WSDOT EOP 54-11.01 describes training and exercise requirements of WSDOT personnel. IS-100 and IS-700 are required training for all field personnel. However, due to scheduling, budget, and related constraints, not all field personnel have been trained in them yet. Traffic incident management is also a requirement and is taught in-house. WSDOT Emergency Responder Training WSDOT personnel who respond to emergencies need to understand the actions they must take during emergencies (Emer- gency Operations Plan M 54-11.01, WSDOT 2011, p. 3). This requires training that may include, but is not limited to, classroom instruction, required reading, and participation in drills and exercises. Emergency response training and the determination of who must attend will be developed and coordinated by the WSDOT Emergency Management Working Group, with oversight from the WSDOT Office of Emergency Management (Emergency Operations Plan M 54-11.01, WSDOT 2011, p. 3).

147 National Incident Management System (NIMS) and Incident Command System (ICS) Training WSDOT employees who have a role in emergency response shall receive training on the National Incident Management System and the Incident Command System (Emergency Operations Plan M 54-11.01, WSDOT 2011, p. 3). Information concerning whether or not a position requires NIMS and/or ICS training is located in the training matrix in found in Appendix C of the WSDOT EOP 54-11.01 (2011, p. C-3). The WSDOT Office of Emergency Management can also be contacted for this information. TABLE 6 shows the categories of WSDOT employees who are required to take the IS-100, IS-200, and IS-700 courses. NIMS and ICS training is conducted by the WSDOT Office of Emergency Management and can be taken online through self- study courses or through other local sources. WSDOT must report that all staff have completed training annually as required by Homeland Security Presidential Directive Five (HSPD-5). TABLE 6 EXCERPTS FROM THE ICS REQUIRED TRAINING MATRIX FOR IS-100, IS-200, AND IS-700 (Source: Emergency Operations Plan M 54-11.01, WSDOT 2011, P. C-3) WebEOC & SharePoint Training WSDOT personnel who are assigned to work in an EOC should be provided with WebEOC and SharePoint training (Emer- gency Operations Plan M 54-11.01, WSDOT 2011, p. 3). This training is designed to familiarize personnel with WSDOT’s Common Operating Picture during emergency/disaster operations.

148 TRAINING METHODS Most training is done in-house using WSDOT trainers and qualified staff because the training is WSDOT-specific. In-house methods use regional safety/maintenance trainers, WSDOT Office of Emergency Management staff, and online classes. Dur- ing district-level crew meetings, information on skills and safety are covered in brief. WSDOT has one maintenance trainer per district. The trainer has also considered going out to the field to drill staff about their response to hypothetical situations that could be occurring at that very moment. EXERCISES Ideally, WSDOT believes that all field personnel should participate in all levels of emergency exercises (tabletops, drills, functional, and full-scale) on a regular basis. Realistically, this is not possible. WSDOT’s exercise program approach is all hazards. Therefore, any hazard that exists in the region may be used. Exam- ples are: earthquake, fire, tsunami, dam failure, lahar, and winter storms (wind, flooding, snow). The WSDOT Office of Emergency Management Exercise Coordinator is responsible for creating scenarios around situations, incidents, and hazards identified through needs assessments. The exercise coordinator accomplishes this responsibility either individually or in conjunction with regional representation. Additional details are included in the Training and Exercise Plan (Appendix C) of WSDOT Emergency Operations Plan M 54-11.01 (2011). The WSDOT Office of Emergency Management Exercise Coordinator currently creates exercises based on need or execu- tive request. WSDOT field personnel are included as determined appropriate by exercise design and the approval of regional supervisors. If involved, field personnel would partake in these exercises no more than one or two times a year. Many WSDOT exercises are organized and held in conjunction with other state and/or local agencies and the State Emer- gency Management Division, although very few if any field personnel are involved in them. When WSDOT participates in them, they are designed and run through collaborative planning meetings with all involved entities. Overall exercise objectives are created and then each entity will also have their own objectives that they are focusing on as well. The exercise is then designed to have each participant respond as they normally would. The exercise is evaluated against the pre-determined objectives. A TTX was developed based on an actual disaster that occurred on February 28, 2007, at Snoqualmie Pass in Washington. Due to winter weather conditions, including snow and ice, 50 vehicles of various types, including tractor trailers, collided at the Snoqualmie Pass near exit 47 on westbound I-90. A fuel spill also occurred. Tractor trailers were stuck in the eastbound lanes, which caused the closing of all lanes in both directions. Emergency responders, including field personnel, were involved in this TTX, which took place at WSDOT on May 9, 2007. WSDOT notes the importance of exercise evaluations and that the success of training and exercises is determined by improvement in its response during an exercise or real event. Subject matter experts are utilized as evaluators. In large exercises, the HSEEP Exercise Evaluation Guides are used; however, in smaller exercises or drills, less in-depth evaluations (including performance metrics) are used. In these cases, evaluation takes place by comparing the actions of players to the exercise objectives, and corrective actions are determined based on the evaluation results. ISSUES Scheduling is difficult because WSDOT supervision and management face significant scheduling and budgetary challenges. WSDOT already schedules mandatory safety training and other required training for their field personnel. In order to provide emergency training and exercises to field personnel, it would require pulling them off of their jobs or interrupting them on site and using their paid time to deliver the training. Therefore the department as a whole does not strongly support it. Also, online training is a challenge in some of the district offices that do not have good access to the internet. WSDOT has considered the development of interactive, computerized emergency training classes and exercises that contain WSDOT-specific situations. Ultimately, WSDOT decided that the cost to create them in the current budget climate was excessive.

149 CONTRACTORS There is no WSDOT emergency training program given to contractors other than safety briefings each morning prior to begin- ning work. While there would be benefits to including contractors and PWs in WSDOT emergency exercises, this is not done at this time. Currently, WSDOT is financially challenged and without a resilient agency program already in place for their own staff moving forward, integrating locals or contractors in their emergency training and exercise initiatives or placing requirements or expectations on locals or contractors is premature. CITY OF KEENE, NEW HAMPSHIRE, CASE STUDY The City of Keene’s public works department has 68 employees whose responsibilities encompass the following: • Engineering • Forestry management • Maintenance and repair of the city’s vehicles and equipment • Maintenance of the water and wastewater distribution and collection systems • Solid waste management, including recycling • Street and bridge design and maintenance, including sweeping, paving, snow removal, line painting and general upkeep • Street and traffic sign maintenance • Stormwater management • Wastewater collection and treatment • Water supply treatment , protection, and distribution If a disaster should occur, counties and cities are responsible for repairing local routes and must apply to FEMA’s Public Assistance program for assistance. Damages to federal-aid routes are the responsibility of the state DOT. The public works director for the City of Keene cites three key obstacles in providing NIMS and ICS training to person- nel: support from senior management, scheduling, and budget issues. Firstly, he believes that additional support from senior management to provide this training is needed. Without adequate support, it is difficult to implement the training. A second obstacle is scheduling. The city’s M&O field personnel are required to take specific licensing and certification training and refresher training to maintain their licenses. Scheduling this training for them already requires considerable time, efforts, and expenditure of limited resources. Consequently, adding any additional training is difficult both from a scheduling and a budgetary perspective. The public works director noted that his perspectives are shared by other local public works agencies, especially smaller agencies. Providing adequate training is especially challenging if direction and support are not provided from senior management. Training would be beneficial on the FEMA public assistance reimbursement process, which can be difficult to navigate. While FEMA does provide training on the process at the EMI facility in Virginia, small communities usually do not have the ability to release staff or the resources to send their personnel to the training. This training needs to be brought to the local communities and public works agencies. PLANT CITY, FLORIDA, CASE STUDY The Traffic and Street Stormwater Superintendent of Plant City, Florida, was interviewed for this case study. The Superin- tendent manages three divisions – traffic signal, storm water and street – and is responsible for training the 50 field personnel in his divisions. Plant City considers hurricanes to be a primary hazard for the city, as they are for the state of Florida. In addition, Plant City is at higher risk for hazmat emergencies due to industrial and chemical plants located in and around the city. Also, a corridor (I-4) which has heavy truck and freight traffic and rail lines passes through the city.

150 NIMS TRAINING All field personnel are given training on the basic IS-700 NIMS course through FEMA’s online independent study program training. HURRICANE TRAINING Once a year in-house training on various hurricane-related scenarios is provided prior to the start of the hurricane season (in May). These include hazards awareness, emergency operations, safety issues (electrical lines, downed trees, debris manage- ment), and communications. OTHER TRAINING In addition, hazmat cleanup and water resource management training are provided once a year on site. MEETINGS Weekly safety meetings are often held during lunch on various topics, including hazards awareness and emergency opera- tions. These meetings are a combination of training, discussions, and information sharing. Plant City’s four divisions each have up to nine employees, and these divisions hold weekly safety meetings. A superintendent prepares training content and trains workers during the meetings. At some meetings, workers themselves may do some preparatory research or readings and lead a discussion. An incident may also become a focal point for a discussion. DRILLS Drills are held periodically on certain topics such as chain saw usage or debris management on an as-needed basis. These drills allow personnel to receive hands-on training in a specific area or process. Approximately 10 to 20 employees undergo the drills, depending upon staff availability. SAFETY COMMITTEE Also, there is a safety committee comprised of management and personnel from each division which reviews accidents and their causes. This information may be used as one of the topics for the weekly safety meetings. LTAP CENTER AND THE PUBLIC WORKS ACADEMY Various training is also provided by the Florida Transportation Technology Transfer Center at the University of Florida (which is an LTAP Center) and the Public Works Academy in St. Petersburg, Florida. They offer safety training and specific classes related to hazards awareness, hazmat, and emergency management. INTERNATIONAL MUNICIPAL SIGNAL ASSOCIATION (IMSA) TRAINING Florida law requires certification of personnel who design work zones for intermediate traffic certification. The P.E. license is acceptable as well. Independent/private companies also offer this certification. Plant City uses International Municipal Signal Association (IMSA) for this type of certification and training. Sixty to seventy percent (60–70 percent)of Plant City field personnel have undergone state-required IMSA training based on their job responsibilities. This percentage is generally applicable to other municipalities within the state of Florida as well.

151 IMSA is a nationally recognized professional organization which was established in 1896. It offers educational and certi- fication programs in traffic signals, signs and markings, work zone traffic control, municipal and interior fire alarm systems, and public safety dispatcher and flagging and has issued more than 100,000 certificates. The training and certification of field personnel in these areas are often required by states and municipalities. In 1982, the IMSA and the IMSA Educational Foundation began certification of individuals involved with various public safety activities including DOT and public works personnel. IMSA notes on its website that “certification can also provide an entry into many job assignments that otherwise would be difficult to obtain, since employers recognize certification as an indication of the individual’s ability to do specific job tasks without the need for on-the-job training.” IMSA currently offers certification in the following fields: • Electronics in traffic signals • Fiber optics for ITS • Fire alarm monitoring • Flagging and basic traffic control • Interior fire alarm • Microprocessors in traffic signals • Municipal fire alarm • Roadway lighting • Signs and markings • Telecommunicator / public safety dispatch • Traffic signals • Traffic signal inspection • Work zone traffic control safety The certification process involves the purchase of a manual and the taking of a proctored examination. Moderated review programs are also offered by IMSA in various locations.

Next: APPENDIX F Washington DOT Emergency Operations Plan Training and Exercises »
Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel Get This Book
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TRB’s National Cooperative Highway Research Program (NCHRP) Synthesis 468: Interactive Training for All-Hazards Emergency Planning, Preparation, and Response for Maintenance and Operations Field Personnel identifies interactive emergency training tools and sources that may be applied by maintenance and operations field personnel of state departments of transportation and public works agencies. The report also identifies potential obstacles to their implementation and develops a toolkit of relevant training and exercise information.

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