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10 CHAPTER TWO EMERGENCY TRAINING AND EXERCISE NEEDS This chapter provides an overview of the emergency train- ing and exercise needs of M&O field personnel. Needs stem from several sources. First, they stem from the state DOTsâ EOPs, which reflect the DOTsâ National Response Framework (NRF) ESF-1 and ESF-3 roles and responsibili- ties, continuity of operations plans, emergency evacuation plans, and other plans and SOPs that involve field personnel. In addition, they stem from federal and state regulations; industry requirements and position-specific requirements; and federal and state disaster reimbursement programs. Post-event and after-action reports from exercises can iden- tify additional training and exercise needs. Finally, the agencyâs risk assessment may also warrant hazards-specific training and exercises. SYSTEMS, FRAMEWORKS, PLANS, AND GOALS RESULTING FROM PRESIDENTIAL DIRECTIVES The three Homeland Security Presidential Directivesâ HSPD-5, HSPD-7, and HSPD-8âproduced valuable national guidance, systems, plans, and tools. HSPD-5, âManagement of Domestic Incidents,â generated both NIMS and the National Response Framework (NRF). NIMS was released in 2004 and updated in 2008, incorporating lessons learned from Hurricane Katrina. The NRF was released in 2008 and updated in 2013. The NRF is an expanded version of the original National Response Plan, which was initially generated by HSPD-5. HSPD-7, âCritical Infrastructure Identification, Prioritization, and Protection,â generated the National Infrastructure Protection Plan (NIPP 2013). HSPD-7 was replaced by Presidential Policy Directive 21 (PPD-21), through which a revised and updated NIPP was produced and released in 2013. HSPD-8, âNational Pre- paredness,â released in 2003, has been replaced by Presiden- tial Policy Directive 8 (PPD-8). The National Incident Management System and the National Response Framework The goal of NIMS and the NRF is the same: the effective and efficient management of incidents. The NRF provides the national-level policy, and NIMS supplies the template. NIMS offers a common approach in both âpre-event preparedness and post-event response activities that allow responders from many different organizations to effectively and efficiently work together at the scene of an incidentâ (âSecurity and Emergency ManagementâAn Information Briefing,â FHWA 2009). The Incident Command System element of NIMS is a standardized management process that enables âeffective, efficient incident management by integrating a combination of facilities, equipment, personnel, procedures, and communi- cations operating within a common organizational structureâ (âIncident Command System,â FEMA 2013). As an incident evolves, the ICS organization can expand in a modular fash- ion because of its âflexible, yet standardized core mechanismâ that allows for âcoordinated and collaborative incident man- agementâ (âIncident Command System,â FEMA 2013). If field personnel are sent to another county or state, ICS will enable them to coordinate effectively with other agencies and organizations with which they may not be familiar. Another element of the NIMS command and management component is the Multiagency Coordination System (MACS), which is useful for incidents that span multiple jurisdictions and require responses by multiple agencies. The NRF is built on NIMS concepts. It âdescribes the principles, roles and responsibilities, and coordinating struc- tures for delivering the core capabilities required to respond to an incident and further describes how response efforts integrate with those of the other mission areasâ (National Response Framework, FEMA 2013, p. i). The NRF is an important part of the National Preparedness Goal (NPG), applies to any type of disaster, and âsets the doctrine for how the Nation builds, sustains, and delivers the response core capabilities identified in the National Preparedness Goalâ (National Response Framework, FEMA 2013, p. 1). The NRF also contains the Emergency Support Function Annexes. ESF Annexes describe âthe Federal coordinating structures that group resources and capabilities into func- tional areas that are most frequently needed in a national responseâ (National Response Framework, FEMA 2013, p. 32). The ESF Annexes are usually adapted by state DOTs for use in their EOPs. ESF-1 is Transportation, which âcoordinates the support of management of transportation systems and infrastruc- ture, the regulation of transportation, management of the Nationâs airspace, and ensuring the safety and security of the national transportation systemâ (National Response Frame- work, FEMA 2013, p. 32). Each state DOT adapts the ESF
11 according to its own requirements. Table 1 shows the key response core capability and functions pertaining to ESF-1. TABLE 1 ESF#1âTRANSPORTATION Key Response Core Capability Functions â¢ Critical transportation â¢ Transportation modes management and control â¢ Transportation safety â¢ Stabilization and reestablishment of transportation infrastructure â¢ Movement restrictions â¢ Damage and impact assessment ESF-3 is Public Works and Engineering, which âcoordi- nates the capabilities and resources to facilitate the deliv- ery of services, technical assistance, engineering expertise, construction management, and other support to prepare for, respond to, and/or recover from a disaster or an incident.â Table 2 shows the key response core capabilities and func- tions pertaining to ESF-3. TABLE 2 ESF #3âPUBLIC WORKS AND ENGINEERING Key Response Core Capability Functions â¢ Infrastructure systems â¢ Critical transportation â¢ Public and private services and resources â¢ Environmental response/ health and safety â¢ Fatality management â¢ Mass care services â¢ Mass search and rescue operations â¢ Transportation modes management and control â¢ Transportation safety â¢ Stabilization and reestablishment of transportation infrastructure â¢ Movement restrictions â¢ Damage and impact assessment The NRF has two other types of annexes (National Response Framework, FEMA 2013, p. 2): â¢ Support Annexes describe âthe essential supporting processes and considerations that are most common to the majority of incidents.â â¢ Incident Annexes describe âthe unique response aspects of incident categories.â National Preparedness Goal In the NPG, success is defined asâ A secure and resilient Nation with the capabilities required across the whole community to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risk. (National Preparedness Goal, FEMA 2011, p. 1) NPG mission areas are shown in Table 3 (National Pre- paredness Goal, FEMA 2011, p. 1). TABLE 3 NATIONAL PREPAREDNESS GOAL (NPG) MISSION AREAS PreventionâPreventing, avoiding, or stopping a threatened or an actual act of terrorism ProtectionâProtecting our citizens, residents, visitors, and assets against the greatest threats and hazards in a manner that allows our interests, aspirations, and way of life to thrive MitigationâMitigating the loss of life and property by lessening the impact of future disasters ResponseâResponding quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a cata- strophic incident RecoveryâRecovering through a focus on the timely restoration, strengthening, and revitalization of infrastructure, housing, and a sus- tainable economy, as well as the health, social, cultural, historic, and environmental fabric of communities affected by a catastrophic incident While the National Response Framework provides the context by which the whole community works together to fulfill the RESPONSE mission area of the NPG, it is only one of the five National Planning Frameworks. The other four frameworks address the other four mission areas of the NPG and PPD-8. These frameworks areâ â¢ PREVENTION. National Prevention Framework (2013) â¢ PROTECTION. National Protection Framework (2014) â¢ MITIGATION. National Mitigation Framework (2013) â¢ RECOVERY. National Disaster Recovery Framework (2011) (âNational Planning Frameworks,â FEMA 2014). The National Prevention Framework describes what the whole communityâfrom community members to senior leaders in governmentâshould do upon the discovery of intelligence or information regarding an imminent threat to the homeland to thwart an initial or follow-on terrorist attack. This framework helps achieve the National Preparedness Goal of a secure and resilient nation that is optimally prepared to prevent a terrorist attack within the United States (National Prevention Framework 2013, Executive Summary). The National Protection Framework describes what the whole community should do to safeguard against acts of terrorism, natural disasters, and other threats or hazards. The framework presents the core capabilities; roles and responsibilities; and coordinating structures that facilitate the protection of individuals, communities, and the nation. This framework is focused on actions to protect against the greatest risks in a manner that allows American interests, aspirations, and way of life to thrive (National Protection Framework 2014, Executive Summary). The National Mitigation Framework establishes a com- mon platform and forum for coordinating and addressing
12 how the nation manages risk through mitigation capabili- ties. Mitigation reduces the impact of disasters by support- ing protection and prevention activities, easing response, and speeding recovery to create better prepared and more resilient communities. This framework describes mitiga- tion roles across the whole community. It addresses how the nation will develop, employ, and coordinate core mitigation capabilities to reduce loss of life and property by lessening the impact of disasters. Building on a wealth of objective and evidence-based knowledge and community experience, the framework seeks to increase risk awareness and leverage mitigation products, services, and assets across the whole community (National Mitigation Framework 2013, Execu- tive Summary). The National Disaster Recovery Framework (2011) provides guidance that enables effective recovery sup- port to disaster-affected states, tribes, and local jurisdic- tions. It provides a flexible structure that enables disaster recovery managers to operate in a unified and collabora- tive manner. It focuses on how best to restore, redevelop, and revitalize the health, social, economic, natural, and environmental fabric of the community and build a more resilient nation (National Disaster Recovery Framework 2011, Executive Summary). The National Response Frameworkâs focus is on the RESPONSE mission area, which is key to effectively addressing emergencies and disasters. The frameworkâs core capabilities were identified by the NRF and integrated into the NPG (National Preparedness Goal, FEMA 2011, p. 2): â¢ Critical transportation â¢ Environmental response/health and safety â¢ Fatality management services â¢ Infrastructure systems â¢ Mass care services â¢ Mass search and rescue operations â¢ On-scene security and protection â¢ Operational communications â¢ Public and private services and resources â¢ Public health and medical services â¢ Situational assessment. The National Preparedness System will enable the imple- mentation of these core capabilities through a collaborative and whole community approach involving all sectors of the govern- ment and industry as well as individuals, families, and commu- nities. NIMS ensures a unified approach to the implementation process. In addition, NIMS compliance is required for federal emergency grants; therefore, it is important to incorporate NIMS concepts and principles into all relevant training and exercises. The NCHRP Guide to Emergency Response Plan- ning (2010) notes that state DOTs can implement the following actions to improve their response capabilities and coordination among responders, and to ensure compliance: â¢ Incorporate NIMS/ICS into all state/territorial and regional training and exercises. â¢ Establish employee and contractor training and exer- cise programs. â¢ Participate in joint multiagency training and exercises. This could include an all-hazards exercise program based on NIMS that involves responders from multiple disciplines and multiple jurisdictions. â¢ Identify through exercises and simulations the esti- mated time needed to complete an evacuation/shel- ter-in-place/quarantine for each of the catastrophic hazards identified and provide this information to highway, public safety, and transit agencies for coor- dination purposes. â¢ Identify through training exercises the time it takes to have field personnel and equipment in place to support an evacuation/shelter-in-place/quarantine. â¢ Conduct post-exercise debriefings to identify lessons learned during the exercise. â¢ Incorporate the results of training exercises, including corrective actions, into preparedness response plans and procedures. â¢ Leverage training facilities to coordinate and deliver NIMS training requirements in conformance with the NIMS National Standard Curriculum. â¢ Ensure that all personnel with a direct role in emer- gency preparedness and incident management or response complete the designated FEMA training. (Guide to Emergency Response Planning 2010, p. 64) National Infrastructure Protection Plan The revised National Infrastructure Protection PlanâPart- nering for Critical Infrastructure Security and Resilience (NIPP 2013) guides the national effort to manage risk to criti- cal infrastructure. To implement a key NIPP risk manage- ment elementâreduction of vulnerabilitiesâit is essential to develop and conduct training and exercises, identify lessons learned, and apply corrective actions resulting from the exer- cises and actual incidents. NIPP action item #9 is âStrengthen Coordinated Devel- opment and Delivery of Technical Assistance, Training, and Educationâ; action item #12 is âLearn and Adapt During and After Exercises and Incidentâ (NIPP 2013, p. 21). The NIPP provides the following detailed recommenda- tions for action item #9: â¢ âCapture, report, and prioritize the technical assis- tance, training, and education needs of the various partners within the critical infrastructure community.â â¢ âIncrease coordination of technical assistance effortsâparticularly within the DHS and among the SSAsâand leverage a wider network of partners to deliver training and education programs to better
13 serve recipients and reach a wider audience while conserving resources.â â¢ âPartner with academia to establish and update criti- cal infrastructure curricula that help to train critical infrastructure professionals, including executives and managers, to manage the benefits and inherent vulner- abilities introduced by information and communica- tions technologies in critical infrastructure assets, systems, and networks.â (NIPP 2013, p. 25) For action item #12, the NIPP recommends the following: â¢ âGiven the evolving nature of threats and hazards, the national aspiration of secure and resilient critical infra- structure is achievable only through the collective efforts of numerous partners grounded in continuous learning and adaptation to changing environments. The critical infrastructure community can better realize the opportu- nities for learning and adaptation during and after exer- cises and incidents through more collaborative exercise design, coordinated lessons learned and corrective action processes, and streamlined sharing of best practices.â â¢ âDevelop and conduct exercises through participatory processes to suit diverse needs and purposes. Promote broad participation and coordination among govern- ment and interested private sector partnersâincluding the R&D communityâin exercise design, conduct, and evaluation to reflect the perspectives of all partners and maximize the value for future planning and operations.â â¢ âDevelop exercises at multiple levels and in various formats to suit national, regional, and SLTT (State, Local, Tribal, and Territorial) needs.â â¢ âDesign exercises to reflect lessons learned and test corrective actions from previous exercises and inci- dents, address both physical and cyber threats and vulnerabilities, and evaluate the transition from steady state to incident response and recovery efforts.â â¢ âShare lessons learned and corrective actions from exercises and incidents and rapidly incorporate them into technical assistance, training, and education programs to improve future security and resilience efforts.â (NIPP 2013, p. 26) NIMS TRAINING The FEMA National Integration Center (NIC) released the NIMS Training Program in 2011. It supersedes the 2008 Five-Year NIMS Training Plan. The program aims to define âa national NIMS training curriculum and personnel quali- fications and to assemble and update the training guidance for available NIMS courses (organized as a core curricu- lum)â (FEMA 2011, p. vi). State DOTs that have experienced significant disasters have a firsthand understanding of the importance of NIMS and ICS. According to the Vermont Agency of Transportation Irene Innovation Task Force, which was created after Hurri- cane Irene to identify lessons learned from the disaster, âOne of the most frequently heard comments during the interview and focus groups was the need for ongoing training and pre- paredness in emergency response and also in the ICSâ (Irene Innovation Task Force Report, VTrans 2012, p. 13). The training and qualification of emergency management response personnel is critical to the success of NIMS implementation nationally. (NIMS Training Program, FEMA 2011, p. 2) Case example agencies for this report generally provide the introductory NIMS and ICS courses to their field per- sonnel. First-line supervisors typically receive additional training in ICS for Single Resources and Initial Action Inci- dents. For example, â¢ Washington State DOT (WSDOT) requires IS-100 (Introduction to ICS) and IS-700 (Introduction to NIMS) for emergency response providers. WSDOT states in its Emergency Operations Plan M 54-11.01 (2011), âWSDOT employees who have a role in emer- gency response shall receive training on the National Incident Management System and the Incident Command System.â WSDOT requires first-line super- visors to take IS-200 in addition to IS-100 and IS-700. (See Appendix F for the Training and Exercises com- ponent of Washington DOTâs EOP.) â¢ Texas DOT (TxDOT) requires maintenance personnel, including field personnel, to take IS-100 and IS-700. Like WSDOT, TxDOT requires supervisors to take the IS-200 course as well. â¢ Arizona DOT (ADOT) requires IS-100, IS-700, and traffic incident management (TIM) training for M&O field personnel. First-line supervisors are required to take IS-200 (ICS for Single Resources) and IS-800 (Introduction to NRF) as well. Table 4 shows ADOTâs Emergency Planning and Management Training Matrix Requirements for M&O field personnel under Operations #1 and #2. (See ADOTâs Maintenance Training Matrix in Appendix G for additional training requirements for maintenance workers.) â¢ Missouri DOT (MoDOT) recommends that of its employees, including all motorist assist and emergency response field staff, take IS-100 and IS-700, and recom- mends that first-line response supervisors take IS-200 as well. MoDOT emergency responders include Traffic Management Center operators and both urban and rural field staff. (See Appendices H and I for MoDOTâs Training Plan and the NIMS Training Guide, respectively.) â¢ Tennessee DOT (TDOT) field personnel are required to take IS-100 and IS-700. These courses are delivered online. If the region prefers the classroom method,
14 IS-100 and IS-700 can be delivered in a classroom format. Supervisors are required to take IS-200 and IS-800 in a classroom format, in addition to taking IS-100 and IS-700 online. â¢ Rhode Island DOT recommends that all field person- nel take ICS-100 and ICS-200, and that midlevel man- agers take ICS-300 (Intermediate ICS) and ICS-400 (Advanced ICS). These courses are provided at the Rhode Island Emergency Management Agency. â¢ Caltrans requires IS-100 for all new field personnel, along with training on the Standardized Emergency Management System (SEMS) for California. SEMS and ICS are included in the 2-week training provided to new maintenance employees. SEMS is similar to NIMS/ICS and includes key components of NIMS, such as ICS at the field level, mutual aid, and the operational area. California self-certifies NIMS compliance. In recognition of the fact that interactive field training would enhance content retention and preparedness of field personnel, Caltrans is developing ICS field training in conjunction with the Mineta Transportation Institute. Course development funding is through the Transportation Research Boardâs project NCHRP 20-59(30). â¢ Plant City, Florida, provides NIMS training to all field personnel through FEMA EMI Independent Study online training. NCHRP 20-59(30) Project The NCHRP 20-59(30) project on the Role of Transportation in the Incident Command System Structure and the National Incident Management System Structure will develop ICS training for state DOT field personnel. The training is expected to be applicable to PW field personnel as well and will address some of the training and exercise needs identi- fied in this synthesis (TRB senior program officer, personal communication, July 28, 2014). The 20-59(30) project is necessary and timely, especially because two FHWA publications concerning NIMS and ICSâthe National Incident Management System (NIMS): A Workbook for State Departments of Transportation Frontline Workers (2009) and the Simplified Guide to the Incident Command System for Transportation Profession- als (2006)âcontain content based on FEMA Independent Study material that has since been updated (TRB senior pro- gram officer, personal communication, July 28, 2014). The NCHRP 20-59(30) project is expected to produce the following products: â¢ A 1-hour PowerPoint-based ICS training customized for transportation field personnel; TABLE 4 ADOTâS EMERGENCY PLANNING AND MANAGEMENT TRAINING MATRIX REQUIREMENTS FOR OPERATIONS #1 AND OPERATIONS #2 PERSONNEL
15 â¢ Three 15-minute PowerPoint-based training modules on specialized topicsâsafety, communications, and collaboration; â¢ Four 10-minute scenario-driven, discussion-based exercises; â¢ Supporting material for the training and exercises, including instructor manuals and student manuals; â¢ ICS guide cards and a file folder for field supervisors to use in any emergency; and â¢ A checklist of personal and family emergency kit items for field personnel. (TRB senior program officer, personal communication, July 28, 2014) NIMS Training Program and Courses Panel members, respondents, and researchers have noted that the delivery of NIMS and ICS training to M&O field personnel is inconsistent and needs improvement, even though NIMS and ICS training and content are available through a number of sources and are based on the NIMS training standard contained in the NIMS Training Program (FEMA 2011). FEMAâs NIMS Training Program includes a national NIMS training curriculum and personnel qualifications, and guidance on the development of training plans, as well as the NIMS training standard. The program, established by FEMAâs National Integration Center, has the following three objectives (NIMS Training Program, FEMA 2011, p. 2): â¢ Support NIMS education and training for all emer- gency management personnel; â¢ Adapt the functional capabilities defined by NIMS into guidelines, courses, and a curriculum that help stake- holders develop personnel training and credentialing plans that yield the desired capabilities; and â¢ Define the minimum personnel qualifications required for service on complex multijurisdictional incidents nationwide. The training program also expects stakeholders in the public and private sectors to do the following (p. 4): â¢ Identify appropriate personnel to take NIMS training; â¢ Ensure that all course delivery meets the standard set forth in the NIMS Training Program and other training guidance provided by the NIC; and â¢ Credential emergency/incident management personnel. The training program document recommends sequencing training and exercises so that trainees can apply their learning before additional training. Because a training plan has âsig- nificant programmatic, schedule, and budget implications for the stakeholder,â stakeholders are allowed to create their own plans according to their needs and constraints in order to meet the NIMS Training Program requirements (NIMS Training Program, FEMA 2011, p. 8). The document states that training and experience can be gained through courses; practical applications, including a wide range of exercises; and on-the-job training (e.g., job shadowing, planned events, and incident management for small incidents). Most of the concepts and guidance in the 2011 NIMS Train- ing Program document are applicable to other emergency train- ing needs of state DOTs, tribal entities, and PW agencies. Congruent with the widespread federal practice of bas- ing assessment and training systems on competencies, the NIMS Training Program is based on core competencies. As the program document states, operational needs define core competencies (NIMS Training Program, FEMA 2011, p. 8). Operational needs are predicated on NIMS and other emer- gency functions, related responsibilities and activities of personnel, and the size and complexity of an incident. Core competencies identified through these needs then become the basis for the development of a training plan. Figure 3 shows the NIMS and ICS training needs for field personnel identified in the 2011 NIMS Training Program. FIGURE 3 Training for field personnel (adapted from NIMS Training Program, FEMA 2011, p. 18). *based on position-specific requirements and jurisdiction risk Training needs of field personnel are categorized by inci- dent type, from 1 through 5. Type 1 incidents are the most complex, while type 5 incidents are of the lowest complex- ity. Type 5 incidents require Introduction to ICS (either the instructor-led ICS-100 course or the online IS-100 version) and Introduction to NIMS (IS-700). Type 5 incidents can be handled with one or two resources and a maximum of six per- sons. They do not require activation of command or general staff positions. ICS for Single Resources and Initial Action Incidents (either the instructor-led ICS-200 course or the online IS-200 version) is recommended for type 4 incidents. These incidents require several resources and might require activation of command and general staff positions. For larger
16 and more complex incidentsâtypes 1, 2, and 3âadditional courses are needed, including ICS-300 (Intermediate ICS), ICS-400 (Advanced ICS), and IS-800 (Introduction to NRF). Table 5 highlights the characteristics of each of the five incident types as presented in the NIMS Training Program document (FEMA 2011, pp. 16â17). TABLE 5 CHARACTERISTICS OF RESPONSE BY LEVEL OF INCIDENT COMPLEXITY Type 1 â¢ Most complex â¢ Requires national resources â¢ High impact on local jurisdiction â¢ Total personnel will usually exceed 1,000 Type 2 â¢ Extends past local capabilities â¢ May require regional and/or national resources â¢ High impact on local jurisdiction â¢ Total personnel will not exceed 500 Type 3 â¢ When incident needs exceed capabilities, the appropriate ICS positions should be added â¢ Some or all of the command and general staff positions may be activated as well as division/group supervisor and/ or unit leaderâlevel positions â¢ May extend into multiple operational periods Type 4 â¢ Several resources are required, including a task force or strike team â¢ Command and general staff positions are activated only if needed â¢ The incident is limited to one operational phase Type 5 â¢ Can be handled with one or two single resources with up to six personnel â¢ Command and general staff positions (other than incident commander) are not activated â¢ Is contained in the first operational period, often within a few hours after resources arrive on the scene The FEMA Public Works Working Group developed models for Emergency Mutual Aid Compact (EMAC) mis- sion-ready packages using NIMS resource typing and per- sonnel credentialing. The mission-ready packages facilitate accurate and efficient identification and request of needed resources. They include details of missions supported, estimated cost, and location of the resource, in addition to resource-typed definitions. The packages are available on the APWA website through APWAâs Emergency Manage- ment Resource Center (âResource Center: Emergency Man- agement,â APWA n.d.). NIMS resource typing facilitates the identification and inventorying of resources. Resource typing is âcategorizing, by capability, the resources requested, deployed, and used in incidents.â Resource-typed definitions include the following: category, the function for which the resource is used; kind or like resources; components, the elements that comprise the resource; measures, the delineation of a resourceâs capability or capacity; and type, the level of resource capability (National Incident Management System, FEMA 2008, pp. 42â43). Personnel credentialing is âthe administrative process for validating personnel qualifications and providing authoriza- tion to perform specific tasks under specific conditions during an incident.â Personnel credentialing involves âthe objective evaluation and documentation of an individualâs current certi- fication, license, or degree; training and experience; and com- petence or proficiency to meet nationally accepted standards, provide particular services and/or functions, or perform specific tasks under specific conditions during an incidentâ (National Incident Management System, FEMA 2008, p. 40). Table 6 lists the NIMS training requirements for some public works resources; specifically, damage assessment teams, debris removal teams, debris management teams, disaster recovery teams, heavy equipment maintenance teams, and management teams. These five types of PW resources are only a subset of the 44 resource types included in the mission-ready package for public works on EMAC- Web.org (âPublic Works,â EMACWeb.org n.d.). TABLE 6 TRAINING REQUIREMENTS FOR SOME PUBLIC WORKS RESOURCES Damage Assessment Teams, Debris Removal, Heavy Equipment Maintenance â¢ NIMS, IS-100, IS-200 Supervisors for Damage Assessment Teams, Debris Removal â¢ NIMS, IS-100, IS-200, IS-300, IS-800 Public Works Management Team, Disaster Recovery Team, Debris Management Team â¢ NIMS, IS-100, IS-200, IS-300, IS-700, IS-800 Source: âPublic Works,â EMACWeb.org, n.d. MUTUAL AID AND GRANTS Emergency Management Assistance Compact and Mutual Aid Training State DOTs participate in mutual assistance efforts. They send their qualified personnel, including field personnel, to other states that are experiencing disasters or emergencies. They also request assistance when needed. Personnel who are sent to another state need to know exactly what is expected of them, how long they will be deployed, what to bring, how to document expenditures, and how to use the disaster soft- ware tools in use in that state. State DOTs that are receiving assistance need to prepare for the arrival of out-of-state crews and provide instructions on how to document work and costs. Training on mutual assistance procedures, including Emer- gency Mutual Aid Compact procedures, can improve the pre- paredness of both requesting and providing entities.
17 All 50 states, the District of Columbia, Puerto Rico, Guam, and the U.S. Virgin Islands are members of EMAC. The com- pact is administered by the National Emergency Management Association and facilitates emergency assistance through pre- arranged agreements that allow states to send resources (per- sonnel, equipment, and commodities) to other states. EMAC was established in 1993 and ratified by Congress in 1995. There are five EMAC phases: pre-event preparation, activa- tion, request and offer, response, and reimbursement. Article 1 of the EMAC legislation ratified by the member states authorizes these states to request and provide assis- tance for emergency training and exercises through EMAC: This compact shall also provide for mutual cooperation in emergency-related exercises, testing, or other training activities using equipment and personnel simulating performance of any aspect of the giving and receiving of aid by party states or subdivisions of party states during emergencies, such actions occurring outside actual declared emergency periods. Mutual assistance in this compact may include the use of the statesâ National Guard forces, either in accordance with the National Guard Mutual Assistance Compact or by mutual agreement between states. (âEMAC Legislation,â EMACWeb.org n.d.) Emergency Management Accreditation Program The Emergency Management Accreditation Program (EMAP) is an independent nonprofit organization that pro- vides accreditation to government emergency management programs. Accreditation is voluntary and is achieved through compliance with the EMAP emergency management standard (Emergency Management Standard 2013), which addresses training and exercises, evaluations, and corrective action. The standard states that an accredited emergency man- agement program includes a formal and documented train- ing program that has âthe assessment, development and implementation of appropriate training for Program offi- cials, emergency management/response personnel and the publicâ (p. 12). The standard also indicates that emergency personnel should have training aligned with their current and potential responsibilities (p. 12), as well as specialized training related to specific threats to their jurisdiction. Train- ing should be based on the results of the needs assessment, internal and external requirements, and deficiencies identi- fied in the corrective action process (p. 12). The standard states that an accredited emergency man- agement program includes an exercise, an evaluation, and a corrective action process. The exercise program should test the âskills, abilities, and experience of emergency personnel as well as the plans, policies, procedures, equipment, and facilitiesâ to address possible hazards (Emergency Manage- ment Standard 2013, p. 12). Evaluation methods may include âperiodic reviews, testing, post-incident reports, lessons learned, performance evaluations, exercises and real-world eventsâ (p. 13). Evaluations are documented and dissemi- nated to appropriate stakeholders and partners, and a cor- rective action process is implemented to identify deficiencies and needed corrective actions (p. 13). Records should include the personnel who participated in the training, the types of training provided or being planned, names and qualifications of trainers, and the retention period for the records (Emergency Management Standard 2013, p. 12). An accredited emergency management program also has an incident management system to facilitate effective response and recovery, resource management processes, and mutual aid procedures. The standard document notes the importance of incident management training for all person- nel with an emergency response role (Emergency Manage- ment Standard 2013, p. 9). The standard also addressed the following topics: â¢ Resource management and logistics â¢ Mutual aid â¢ Program management â¢ Administration and finance â¢ Laws and authorities â¢ Hazard identification, risk assessment, and conse- quence analysis â¢ Hazard mitigation â¢ Prevention â¢ Operational planning â¢ Communications and warning â¢ Operations and procedures â¢ Facilities â¢ Crisis communications, public education, and information. The FEMA Emergency Management Institute in Emmitsburg, Maryland, offers a course on the Emergency Management Accreditation Program (E0122). (For more information on EMAP, training, and the standard, go to the EMAP website at www.emaponline.org.) Grants The states receive grant funds from FEMAâs Emergency Management Performance Grant Program that enable them to engage in preparedness activities such as planning, devel- oping, and delivering training and exercises to state and local agencies, including state DOTs and PWs. Emergency Management Performance Grant funds are also distributed to various jurisdictions within a state. Because of minimum exercise participation requirements for recipients, jurisdic- tions may collaborate in the organization of exercises. Home- land Security Grant Program funds help state EMAs develop and deliver various homeland security training and exer- cises, usually at no cost to participating agencies. States also receive other grants through the Port Security Grant Pro-
18 gram, Transit Security Grant Program, and State Fire Train- ing Systems Grants. State DOTs and PWs can benefit from coordinating with their state EMA and selected jurisdictions to take advantage of training and exercise opportunities. HAZARDS AWARENESS, SAFETY TRAINING, AND HAZARD-SPECIFIC TRAINING State DOTs train their field personnel to recognize hazard- ous situations and assess them. Field personnel also need to know how to approach various hazards and what to do when they encounter them. State DOTs comply with or exceed Occupational Safety and Health Administration (OSHA) standards and require- ments. OSHA provides guidance on how to determine safety and health hazards and how to perform a Job Hazard Analysis, which examines each component of a job, iden- tifies hazards or potential hazards, and determines how to perform the job to mitigate the hazards. Also, while state agency workers are not directly covered by OSHA, state DOT workers may be covered by OSHA-approved state health and safety plans. Currently, 22 states or territories have OSHA-approved plans (OSHA Directorate of Train- ing and Education, personal communication, Dec. 4, 2014). OSHA also provides methods of identifying employees at greater occupational risk. OSHA online resources, acces- sible at www.osha.gov, offer training guidance on the devel- opment of instructional programs. In addition, state DOTs and PWs within the vicinity of a nuclear power reactor may be required to undergo additional training and exercises. Disclaimer on Hazmat Training Hazmat training is required for personnel who handle haz- ardous materials, and detailed federal requirements concern- ing hazmat training must be followed. Because the focus of this synthesis is not on hazmat training, the topic is not fully addressed. For information on OSHA requirements, consult your compliance unit. Hazards Assessment Training The Washington State DOTâs hazards assessment training includes the following topics: understanding the hazard assessment process; site safety awareness; proper applica- tion of processes to call out situations; and how to close roads and shut down activity (âHazards Assessment Pre- sentation,â provided by G. Selstead, WSDOT, personal communication, April 18, 2013). Specific training content on site safety awareness provided to WSDOT field person- nel includes instructions on assessing an incident scene for safety and recommendations on incident management and safety. Table 7 shows the content of one presentation used by WSDOT in its hazards assessment training. TABLE 7 RECOMMENDATIONS FOR ASSESSING AN INCIDENT SCENE FOR SAFETY Assessing the Incident Scene for Safety Incident Management and Safety Recommendations â¢ Observe the surroundings â¢ Identify possible hazards â¢ Understand what may have caused the accident/ incident and â¢ Request any needed additional assistance. â¢ Check your equipment â¢ Keep in communication with supervisor and Transportation Management Center â¢ Be certain you have received necessary training â¢ Have and use the proper personal protective equipment â¢ Be certain you have the proper traffic signs â¢ Do you need more personnel to do the job safely? â¢ Just because you are asked to do something by another responder, doesnât mean it is safe to do â¢ You have the power to walk away, shut down the job, or even shut down the road â¢ Always think about what is happening as you approach the scene â¢ Look around â¢ Do pre-activity safety planning â¢ Mitigate hazards as best as possible before starting work â¢ If it looks like danger is developing, stop the work and reassess. Missouri DOT offers a Hazardous Material Recognition Introduction course. This course introduces employees work- ing or traveling on highways to hazardous materials spilled or lost on state highways and right-of-ways. Oriented toward raising employee awareness, the course âteaches how to use the emergency response guidebook, who to identify, how to identify other signs of hazardous materials, and what MoDOT can do, if anything, to prevent the spread of a hazardous mate- rialâ (MoDOT District Incident Response Plan Training). Safety Training Safety refers to the prevention of âaccidental deaths and injuries due to natural or inadvertent manmade activitiesâ (Edwards and Goodrich 2011, p. 6). Survey respondents and case example participating agencies indicate that field personnel receive both the safety training required by OSHA state health and safety plans and training for other job-specific requirements. Some OSHA general industry and construction requirements include training guidance. OSHA requirements include Hazardous Waste Operations and Emergency Response (HAZWOPER), Emergency Action Plans, Medical and First Aid, and Fall Protec- tion (OSHA 1998). HAZWOPER training is based on the OSHA HAZWOPER standard and is important for workers involved in emergency response and exposed or potentially
19 exposed to hazardous substances. The following practices are observed among some of the agencies participating in the case examples: â¢ ADOT provides a hazard communications and an OSHA/DOT hazardous materials course along with safety courses on confined space awareness, fire safety, and first aid. Other courses are related to technology use, such as basic computer skills and the use of a two- way radio. Personnel in ADOTâs four technical levels are required to take additional courses. â¢ Caltrans safety officers provide safety and hazards training that includes the following content: hazmat communications, confined spaces, standard emer- gency management (SEM), hazardous waste gen- eration, emergency responder awareness, emergency responder operations (for supervisors), and manage- ment for hazmat specialists. â¢ Plant City, Florida, provides its field personnel with hazardous materials cleanup and water resource man- agement training once a year. Also, Florida requires intermediate traffic certification for all personnel involved in work zones. â¢ Missouri DOT provides the following safety-related courses to its employees: Advanced Work Zone Training, Basic First Aid, Blood-Borne Pathogens, Adult CPR, Child and Infant CPR, and Air Bag and Hybrid Vehicle Safety Training. Additional district training is also offered when available, including Dump Truck Operations, Fire Extinguisher Training, Flagger and Work Zone Training, and Front-End Loader Operations. â¢ The Rhode Island DOTâs Safety Office provides personal safety and hazards awareness courses to field personnel. Hazard-Specific Training In addition to all-hazards training, state DOTs must deal with hazards specific to their regions and must deliver appro- priate training to field personnel and supervisors. Additional training and exercises may be required for state DOTs and other agencies in the vicinity of a nuclear power reactor. TxDOT For example, TxDOT provides training on wildland fires and hurricanes to field personnel. During wildland fires, these people 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. During the Bastrop County fires in the fall of 2011âin which TxDOT personnel were at risk as they worked without interruption to clear the highway and other roads of debrisâit became clear that field personnel also need to know how to use personal protective equipment to prevent injury from fires. For hurricanes, TxDOT field personnel are responsible for traffic control and incident response, debris removal, and repairs to the facilities. Hurricane training is provided in a daylong workshop that covers protocols, evacuation and reentry, cleanup and response techniques, and communica- tions and interoperability issues. Also covered are debris and environmental contracts, issues related to the Moving Ahead for Progress in the 21st Century Act (MAP-21), and FEMA Public Assistance and FHWA Emergency Relief reimburse- ment issues. Coastal leadership also participates in regional hurricane conferences and the annual Texas Emergency Management Conference. Other States and Cities Plant City, Florida, provides field personnel with in-house hurricane training before the start of the hurricane season. The training includes hazards awareness, emergency opera- tions, safety issues, and communications. The Iowa DOT is challenged with winter weather and uses winter weather scenarios for its tabletop exercises for field personnel. Homeland-Security-Related Training Needs Security, defined as âfreedom from harm resulting from intentional acts or circumstancesâ in NCHRP Report 525, Volume 14, Security 101: A Physical Security Primer for Transportation Agencies (2009), is an important responsi- bility of field personnel and their supervisors. They are the frontline personnel who can prevent and respond to incidents. Responsibilities include security awareness, situational assessment, and response. All field personnel are trained to observe and to report suspicious activities and items; super- visors are responsible for assessment and decision making. Field personnel need to know what to do before the arrival of law enforcement and other responders (Chen et al. 2006; Lowrie and Shaw 2011; NCHRP Report 793: Incorporating Transportation Security Awareness into Routine State DOT Operations and Training). Security awareness programs consist of consistent and centralized security information dissemination policy and reminders, handbooks and tip cards, and training (Security 101 2009). As noted in Chen et al. (2006), federal agencies have taken on a significant role in providing nationwide secu- rity training and training content. For example, the National Domestic Preparedness Consortium (NDPC) is sponsored through the DHS/FEMA National Preparedness Director- ate. It consists of seven members: the Center for Domestic Preparedness (CDP) in Anniston, Alabama; the New Mex- ico Institute of Mining and Technology (New Mexico Tech); Louisiana State Universityâs Academy of Counter-Terrorist Education (National Center for Biomedical Research and Training); Texas A&M Universityâs National Emergency
20 Response and Rescue Training Center (TEEX); the Depart- ment of Energyâs Nevada Test Site; the Transportation Tech- nology Center, Inc.; and the National Disaster Preparedness Training Center at the University of Hawaii. NCHRP Report 793: Incorporating Transportation Secu- rity Awareness into Routine State DOT Operations and Training presents techniques to integrate all-hazards secu- rity awareness into routine state DOT operations, mainte- nance, and training. The report also provides a listing of transportation security training courses, training centers, and relevant resources. NCHRP Report 793, Appendix A, provides information on transportation security training courses and identifies the following training sources: â¢ Department of Homeland Security/Transportation Security Administration â¢ National Transit Institute â¢ Transportation Research Board â¢ Center for Transportation Safety, Security and Risk â¢ Federal Highway Administration â¢ Federal Transit Administration â¢ Federal Motor Carrier Safety Administration â¢ Pipeline and Hazardous Materials Safety Administration â¢ Federal Emergency Management Agency Security Training â¢ Other Federal Training â¢ State Emergency Management Agency Training â¢ Rural Domestic Preparedness Consortium. Interviewees noted that training content is âtoo genericâ and must be more relevant to the audience and maintain the interest of personnel (J. Western, personal communication, Sept. 12, 2013). There are gaps in NIMS training, and com- bining security awareness training with NIMS, ICS, TIM, and/or hazmat training may be a good idea. These comments are in line with results obtained from this synthesis report. Refer to the NCHRP Report 793 appendices for additional security training informationâAppendix A: Transportation Security Training Courses, Appendix B: Training Center Resources, and Appendix C: a Directory of Transportation Security Resources. Security Awareness Training Programs The following effective security awareness training pro- grams were identified and reviewed for the NCHRP 20-59(43) project, pursuant to the projectâs Task 1 (J. West- ern, personal communication, Sept. 12, 2013). TxDOTâs security awareness training course, consid- ered to be exemplary in the industry, provides the skills and knowledge TxDOT personnel need to understand and carry out their roles and responsibilities regarding system security. The course familiarizes personnel with the different roles in system security, the types of terrorist weapons, and why terrorist do what they do. It teaches them how to hold group exercises to discuss possible terrorist targets in their area of responsibility as well as how to spot and report suspicious activities and packages, and how to report possible terrorist incidents;. The course includes the following modules: â¢ Module 1: What Is System Security? â¢ Module 2: What Is Your Role in Reducing Vulnerability? â¢ Module 3: What Is Suspicious Activity? â¢ Module 4: What Is a Suspicious Object? â¢ Module 5: What Is Your Top Priority? â¢ Module 6: What Is Your Role in Incident Response? â¢ Module 7: What Are You Doing to Prepare? The Georgia DOT has worked with its employees, espe- cially field personnel, to encourage heightened awareness during their normal work routines. The Minnesota DOT requires all employees to attend a 4-hour security awareness class. In addition, the DOT devel- oped functional exercises with live play, focusing on statewide objectives as well as objectives developed by each district. The department brought in the National Guard, State Patrol, Coast Guard, and others for a 30-hour exercise, a major resource commitment. The exercises went beyond the tabletop experi- ence to simulate real experiences, with participants actually responding to the incidents. Employee feedback was positive. The New Jersey DOT developed security awareness training for every transportation subsector. The Ohio DOT is emphasizing the use of ICS and Unified Command to enhance on-scene operations management and coordination with response agencies. The Oregon DOT collaborated with the Oregon Emergency Management Agency, FEMA, WSDOT, and the Idaho DOT to develop a security awareness training program: Bio, Nuclear, Incendiary, Chemical, and Explosive. The Pennsylvania DOT delivers security awareness training through train-the-trainer programs. The DOT developed a facilities emergency opera- tions guide to use during its training sessions. WSDOT delivers two security training courses: (1) an awareness training course for all employees, focusing on pre- incident indicators and reporting protocol; and (2) a course for all levels of managers, including supervisors, that addresses their responsibilities in information gathering and analysis, hazard risk identification, and decision making (G. Selstead, WSDOT, personal communication, April 18, 2013). The Virginia DOT (VDOT) has a separate budget for security training and facilities hardening. VDOT has
21 developed a security program delivered in a classroom that focuses on âStop, Look, and Listenâ awareness. All new VDOT employees take the class, which incorporates FEMA components adapted to meet the needs of VDOT. DOT field personnel from many states have participated in the TRB course System Security Awareness for Trans- portation Employees (2005), developed by the National Transit Institute (NTI) in cooperation with FTA, DHS, the FBI, AASHTO, and WSDOT. The 3- to 4-hour CD-based interactive multimedia course is appropriate for both field personnel and their supervisors. It helps them understand their roles and responsibilities in transportation system secu- rity, recognizing suspicious activities and objects, observing and reporting relevant information, and minimizing harm to themselves and others. Modules include system secu- rity, reducing vulnerability, suspicious activity, suspicious objects, top priorities, and preparation. A 6-hour train-the- trainer (TTT) session is also available (System Security Awareness for Transportation Employees, TRB 2005). Online training to identify, report, evaluate, and share terrorism indicators is available to the emergency manage- ment community through the nationwide suspicious activ- ity reporting (SAR) website (âNationwide SAR Initiativeâ 2010â2013: http://nsi.ncirc.gov). The program is led by the U.S. Department of Justice, Bureau of Justice Assistance, in partnership with DHS, the FBI, and state, local, tribal, and territorial law enforcement partners. Its purpose is to help prevent terrorism and related criminal activity by establish- ing a national capacity for gathering, documenting, process- ing, analyzing, and sharing SAR information. The TSA First Observerâ¢ program trains transportation professionals, including highway M&O field personnel, to observe, assess, and report suspicious individuals, vehicles, packages, and objects to protect national transportation systems against terrorism and other threats. The program also shares security-related information with transportation professionals and communicates critical security-related information. First Observer modules have been unavailable online from the expiration of the grant funding at the end of 2012 through November 2014. The modules are again avail- able. The online program will remain functional while TSA develops a fully revised First Observer program that will be introduced in the near future (TSA First Observer project manager, personal communication, June 2, 2014). Cybersecurity Training Needs Cybersecurity is a national concern, as successful attacks by nation-states, criminals, âhacktivists,â and hackers increase. The computer systems and databases of many government agencies and private organizations have been compromised. Because any computer user can become a target, state DOTs might provide basic cybersecurity training to employees; for example, ADOT requires field personnel to take a com- puter security awareness course. Additional information on this topic will be identified in the NCHRP 20-59(48) proj- ect, Effective Practices for the Protection of Transportation Infrastructure from Cyber Incidents. TRAFFIC INCIDENT MANAGEMENT TRAINING Traffic incident management is a âmulti-disciplinary process to detect, respond to, and clear traffic incidents so that traf- fic flow may be restored as safely and quickly as possibleâ (âTraffic Incident Management,â FHWA 2013). The FHWA TIM program is included in FHWAâs emergency transporta- tion operations area. Emergency functions are separate from incident management functions, but field personnel usually perform TIM activities during disasters. To achieve satisfactory TIM training outcomes on a regional level, the FHWA primer Making the Connection: Advancing Traffic Incident Management in Transporta- tion Planning (2013) suggests âmaking the NIMS training and the SHRP 2 National TIM Responder Training Course widely available to all relevant staff in the region. TIM lead- ers in the region could take the SHRP 2 Train-the-Trainer course to become a trainer of the SHRP 2 National TIM Responder Training Courseâ (p. 47). The National Unified Goal for TIM developed by the National Traffic Incident Management Coalition consists of the following: â¢ Responder safety; â¢ Safe, quick clearance; and â¢ Prompt, reliable, interoperable communications. (Field Operations Guide, FHWA 2009, p. 1) TIM training content includes ICS and activities that are also necessary for emergencies and disasters, including road or lane closures, establishment of detours, and debris removal. The next generation TIM is expected to focus on standardized multidisciplinary training, organizational capacity, practices and protocols, and a connected responder environment (âTraffic Incident Management Programs,â National Traffic Incident Management Coalition n.d.). The Second Strategic Highway Research Program (SHRP 2) has developed a National Traffic Incident Man- agement Responder Training Course for TIM responders and managers. The SHRP 2 training, designed to be multi- disciplinary and interjurisdictional, allows representatives from various agencies and jurisdictions to interact with each other. Evaluation of the classroom training using the Kirkpatrick four-level evaluation approach is also being developed. As of July 2014, the following SHRP 2 projects had been completed:
22 â¢ âTrain-the-Trainer Pilot Courses for Incident Responders and Managers,â SHRP 2 Project L32-A, Second Strategic Highway Research Program (SHRP 2), Transportation Research Board of the National Academies, Washington, D.C., April 2013 [Online]. Available: http://www.trb. org/main/blurbs/168921.aspx. â¢ âTraining of Traffic Incident Responders,â SHRP 2 Report S2-L12-RW-1, Second Strategic Highway Research Program (SHRP 2), Transportation Research Board of the National Academies, Washington, D.C., 2012 [Online]. Available: http://www.trb.org/main/ blurbs/166877.aspx. As of July 2014, the following SHRP 2 projects were either in progress or on the verge of completion: â¢ âe-Learning for Training Traffic Incident Responders and Managers,â SHRP 2 Project L32-B, Second Strategic Highway Research Program (SHRP 2), Transportation Research Board of the National Academies, Washington, D.C. [Online]. Available: http://apps.trb.org/cmsfeed/TRBNetProjectDisplay. asp?ProjectID=3340. Note: This project has been implemented through the National Highway Institute online course FHWA-NHI-133126, which is available free of charge through the NHI website. â¢ âPost-Course Assessment and Reporting Tool for Trainers and TIM Responders Using the SHRP 2 Interdisciplinary Traffic Incident Management Curriculum,â SHRP 2 Project L32-C, Second Strategic Highway Research Program (SHRP 2), Transportation Research Board of the National Academies, Washington, D.C. [Online]. Available: http://apps.trb.org/cmsfeed/TRBNetProjectDisplay. asp?ProjectID=3341. Note: The final report will be available on the SHRP 2 web- site in January 2015. The map in Figure 4 shows the status of TIM SHRP 2 training in late 2014. Most of the case example states have conducted SHRP 2 National Traffic Incident Management Responder train- ing, including TTT sessions. For example, the Arizona DOT requires all its M&O field personnel to take TIM and has been working with the Arizona Department of Public Safety (AZDPS) to provide TIM training that has been developed based on the new SHRP 2 training. Statewide, approximately 70 trainers from several agenciesâinclud- ing ADOT and AZDPSâare using the SHRP 2 4-hour format in Arizona to deliver the training to federal, state, county, and local emergency response providers as well as FIGURE 4 National TIM Training Program Implementation Progress (Courtesy: Paul Jodoin, FHWA, personal communication, Jan. 21, 2014).
23 to private companies such as tow truck operators and debris removal contractors. The National Highway Institute offers courses relevant to TIM. These courses include Managing Traffic Incident and Roadway Emergencies (133048A), Managing Travel for Planned Special Events (133099), and Using the Incident Command System (ICS) at Highway Incidents (133101) as well as the aforementioned National Traffic Incident Man- agement Responder Training (133126) course. For additional information and to search for courses, visit the NHI website (âNational Highway Institute: Search for Courses,â NHI n.d.: https://www.nhi.fhwa.dot.gov/default.aspx). The I-95 Corridor Coalition offers several resources rele- vant to TIM. One is a quick clearance toolkit to help initiate or improve quick clearance programs and activities. The toolkit includes videos, documents, and workshops (âQuick Clear- ance Toolkit & Workshop,â I-95 Corridor Coalition n.d.). Another resource is the coalitionâs Virtual Incident Manage- ment Training, an online training program that uses computer gaming simulation technology and distance learning tech- nologies to test, validate, certify, and reinforce the dissemi- nation of the most effective incident management practices. This training is accessible at www.i95vim.com, although new users must register for an account (âVirtual Incident Manage- ment Training,â I-95 Corridor Coalition n.d.). Other Traffic-Incident-Management-Related FHWA Publications In addition to its Making the Connection primer (2013) and Field Operations Guide (2009), FHWA has released other publications related to traffic incident management (in chronological order here): â¢ Simplified Guide to the Incident Command System for Transportation Professionals (2006) â¢ Traffic Incident Management in Construction and Maintenance Work Zones (Jan. 2009) â¢ Traffic Incident Management in Hazardous Materials Spills in Incident Clearance (Jan. 2009) â¢ Traffic Incident Management Handbook (Jan. 2010) â¢ Best Practices in Traffic Incident Management (Sept. 2010) â¢ Traffic Incident Management Cost Management and Cost Recovery Primer (2012). The purpose of the 2006 Simplified Guide to the Inci- dent Command System for Transportation Professionals is to introduce ICS to stakeholders who may be called upon to provide specific expertise, assistance, or material during highway incidents. These stakeholdersâwho may be unfa- miliar with ICS organization and operationsâinclude pro- fessionals at transportation agencies, companies involved in towing and recovery, and elected officials and government agency managers at all levels (Simplified Guide to the Inci- dent Command System for Transportation Professionals 2006, p. 1). The 2009 Traffic Incident Management in Construction and Maintenance Work Zones primer provides work zone planners, traffic operations, and incident responders with strategies and techniques they can use to improve incident detection, responses, and clearance in work zones, and to improve site management and information sharing with both responders and the public about incidents in work zones. Each strategy and technique contains a list of online references that can be accessed to obtain more detailed information about when, where, why, and how the strategy can be deployed. With this information, work zone planners, traffic operations, and incident responders can devise an incident management program that fits the specific needs of their own work zones. While adopting incident management programs and poli- cies may not eliminate all impacts, quick detection, removal, and clearance of incidents in the work zone area shows an agencyâs commitment to mitigating the effects of work zones on traffic operations and congestion, and to improving safety in work zones (Traffic Incident Management in Construction and Maintenance Work Zones 2009, Executive Summary). The Traffic Incident Management in Hazardous Materi- als Spills in Incident Clearance primer documents several practices dealing with the cleanup of hazardous materials resulting from a traffic incident. These include, but are not limited to, the following: â¢ Using quick cleanup techniques by properly trained and certified first responders. â¢ Including the proper tools and materials necessary to facilitate the safe cleanup and storage for proper dis- posal of these materials as part of standard equipment carried by transportation personnel and tow truck operators. â¢ Implementing quick containment procedures to pre- vent spills from infiltrating water resources. â¢ Hiring predesignated private response contractors to handle spills. â¢ Improving coordination and preparedness efforts among first responder resources. â¢ Establishing formal written policies regarding the responsibilities and roles of the various first respond- ers in hazardous materials cleanup. â¢ Developing explicit written guidelines addressing the conditions in which transportation personnel and tow truck operators can assist in smaller vehicle fluid clean- ups, and providing the necessary instructions on the procedures to follow. â¢ Sharing video links from traffic management centers with law enforcement and fire-rescue. â¢ Having preplanned, coordinated response and traffic control protocols among the stakeholders to minimize
24 traffic delays resulting from extensive hazardous mate- rials cargo spills. (Traffic Incident Management in Hazardous Materials Spills in Incident Clearance 2009, Executive Summary) The 2010 version of the Traffic Incident Management Handbook includes the latest advances in TIM programs and practices across the country, and offers practitioners insights into the latest innovations in TIM tools and technologies. The handbook also features a parallel web-based version that can be conveniently bookmarked, browsed, or key- word-searched for quick reference. This version supersedes the Freeway Incident Management Handbook published by FHWA in 1991 and the Traffic Incident Management Hand- book published in 2000 [âTraffic Incident Management (TIM),â FHWA 2013]. Over time, various tools and strategies have been devel- oped and implemented in an effort to improve overall traffic incident management efforts. To this end, the Best Practices in Traffic Incident Management report (2010) describes task- specific and cross-cutting issues and challenges commonly encountered by TIM responders in the performance of their duties, and novel and effective strategies for overcoming these issues and challenges (i.e., best practices) [âTraffic Incident Management (TIM),â FHWA 2013]. Finally, the Traffic Incident Management Cost Manage- ment and Cost Recovery primer (2012) provides midlevel managers at transportation and other stakeholder agencies with the resources they need to explain the benefits of traffic incident management and TIM cost management and cost recovery to executive leadership. It also provides them with information that will help them implement TIM cost man- agement and cost recovery techniques. This primer focuses on recoverable costs related to TIM, as there are costs asso- ciated with TIM that cannot accurately be measured or replaced. However, costs related to responder and motorist injury, disability, fatality, and the related medical and soci- etal costs are not addressed in this primer, as those issues are addressed in a variety of ways in the existing literature [âTraffic Incident Management (TIM),â FHWA 2013]. WINTER MAINTENANCE AND OPERATIONS TRAINING Snow events can become disastrous snowstorms and bliz- zards, and their exact nature cannot be predicted with high accuracy. A good foundation and training in the understand- ing of snow removal concepts and equipment operations is important for state DOT and PW maintenance and opera- tions personnel to fulfill their agenciesâ emergency response functions during winter storms (Bergner 2014). Related winter M&O training content that can supple- ment emergency training includes the following topics: â¢ Worker safety, including driving in snow and icy conditions. â¢ Understanding route prioritization and optimization strategies. â¢ Understanding how to operate snow removal vehicles and equipment. Relevant winter training is also important for supervi- sors. APWA offers a winter maintenance supervisor certifi- cate program for supervisors and managers, to enhance their understanding of winter weather, planning and preparation, chemicals and equipment, communications with the public, and training (âWinter Maintenance Supervisor Certificate,â APWA n.d., accessed on June 2, 2014). EVACUATION Evacuation is the strategic, expedient, immediate, and rapid transportation of people or animals away from the threat or actual occurrence of hazardous conditions to safety (Princi- ples of Evacuation Planning Tutorial n.d.). States that experi- ence hurricanes and flooding have comprehensive evacuation plans that are typically included in emergency operations plans and that recognize the importance of training and exer- cises. Field personnel are involved in traffic management, incident management, closing and opening roadways, and setting up contraflow lanes for emergency evacuation and re- entry. Because evacuations require coordination among mul- tiple levels of local, state, and federal agencies, and between transportation and emergency response agencies, a thorough understanding of NIMS and ICS is essential. A Transportation Guide for All-Hazards Emergency Evacuation (Matherly et al. 2013) states that training on evacuation plans can vary in complexity and may involve walkthroughs of the plan, tabletop exercises, event simula- tions, and full deployment drills. The guide also stresses the importance of incident debriefings after any evacuation, because that may be the only practice for the plan. The 6-hour FHWA-NHI Principles of Evacuation Plan- ning tutorial (FHWA-NHI-133107) was developed through an FHWA pooled fund study. It is an Internet-based asyn- chronous/independent training that presents an introductory overview of evacuation planning and covers the roles and responsibilities of local, regional, and state agencies. CONTINUITY OF OPERATIONS Continuity of operations is another training need identified by our panel, survey respondents, and case example partici- pating agencies. HSPD-20 established a national policy on continuity and set continuity requirements for federal, state, and local and tribal entities. The policy requires state DOTs
25 to create a continuity of operations plan. Continuity is âan effort within individual executive departments and agencies to ensure that Primary Mission-Essential Functions continue to be performed during a wide range of emergencies, includ- ing localized acts of nature, accidents, and technological or attack-related emergenciesâ (HSPD-20 2007, section 2d). Primary mission-essential functions are âGovernment Functions that must be performed in order to support or imple- ment the performance of NEFs before, during, and in the after- math of an emergencyâ (HSPD-20 2007, section 2i). COOP supports continuity of government (COG), which, according to HSPD-20, is âa coordinated effort within the Federal Gov- ernmentâs executive branch to ensure that National Essential Functions continue to be performed during a Catastrophic Emergencyâ (HSPD-20 2007, section 2c). National essential functions are âGovernment Functions that are necessary to lead and sustain the Nation during a catastrophic emergency and that, therefore, must be supported through COOP and COG capabilitiesâ (HSPD-20 2007, section 2h). One element of COOP is personal and family pre- paredness. There have been instances in which, during an emergency, responders have left their posts to tend to their families (Edwards and Goodrich 2011, p. 14). By preparing employees and their families for emergency situations, agen- cies can ensure that their workers will not be distracted and can focus on the emergency itself. FEMA course IS-450 (Emergency Preparedness for Fed- eral Employees) addresses personal emergency prepared- ness and its relevance to professional responsibilities. The course presents the four steps to personal emergency pre- paredness (Be Informed, Make a Plan, Build a Kit, and Get Involved), then applies the four steps to a particular scenario (âIS-450: Emergency Preparedness for Federal Employees,â FEMA 2013, accessed June 2, 2014). Edwards and Goodrich of the Mineta Transportation Institute (MTI) have created comprehensive training focused on COOP and COG for state DOTs. They have researched the issue of how to integrate COOP/COG into the NIMS approach to emergency management and address it in the training (Edwards and Goodrich 2011, Abstract). While the training material is directed toward emergency operations center staff, some of it is also applicable to state DOT and PW field personnel. The material, including training presen- tations, is a part of the Continuity of Operations/Continuity of Government for State-Level Transportation Organiza- tions report available to the public through the MTI website, www.transweb.sjsu.edu. Disclaimer on Cost-Recovery-Related Training Needs Training is necessary for several categories of DOT person- nel, including M&O field personnel, in order to recover costs and reimbursements successfully through programs such as the FHWA Emergency Relief and FEMA Public Assistance programs. Program requirements for damage assessment and documentation of work performed may directly affect the procedures M&O field personnel and their supervisors must follow in performing their duties. Meanwhile, other nonfield DOT personnel would be responsible for understanding the cost recovery process, reimbursement procedures, applica- tion process, eligibility requirements, federal-aid rules and regulations, and state requirements. Training for M&O field personnel in supporting dam- age assessment and documentation is generally beyond the scope of this report. The toolkit includes a few resources, but state DOTs and PW agencies have a useful resource in their own personnel who are responsible for interacting with relevant FHWA and FEMA programs. These personnel can interpret how the requirements of these programs can affect M&O field procedures and, consequently, the training of M&O field personnel. SUPERVISOR TRAINING Supervisors play an important role in motivating field per- sonnel to perform well and take training courses and exer- cise programs seriously. However, supervisors themselves require appropriate training. Supervisors need to understand the work performed by their subordinates and have excellent technical skills and knowledge to supervise and evaluate this work. They are also required to be cognizant of the state DOT or PW agencyâs human resources practices. As stated in A Call to Action: Improving First-Level Supervision of Federal Employees, âgiven the complexity and impact of supervisory jobs, all new supervisors need training both to learn how to manage their employees effectively and to understand the agencyâs expectations for supervisorsâ (U.S. Merit Systems Protection Board 2010). The key areas in which supervisors require training are âperformance man- agement, including developing performance goals and stan- dards; assigning, reviewing, and documenting employeesâ work; providing feedback; developing employees; evaluat- ing employee performance; and managing poor performersâ (U.S. Merit Systems Protection Board 2010). Supervisors and managers need to emphasize the importance of train- ing so that workers take it seriously, are motivated to retain what they have learned, and implement and apply training content in their work (Kirkpatrick and Kirkpatrick 2007, pp. 24â25). In a study performed on behalf of the Wisconsin DOT, almost all the responding state DOTs offered some form of supervisor training program. Hence, there is joint training opportunity for emergency training for field person- nel supervisors. First-line supervisors need to know whether field person- nel have been properly trained. All the FEMA EMI courses
26 In a study performed on behalf of the Wisconsin DOT (WisDOT), important training topics for supervisors included the following (CTC & Associates LLC 2009, p. 3): â¢ Planning â¢ Weather and weather forecasting â¢ Working with the public â¢ Employee issues (discipline, contract issues, split shifts) â¢ Post-storm meetings â¢ Road weather information systems â¢ Stockpile management â¢ Budgeting â¢ Selecting and maintaining equipment â¢ Establishing service levels and performance measurements â¢ Liability issues â¢ Selecting and purchasing materials â¢ Security issues â¢ Sharing facilities with other state agencies. Field personnel should demonstrate whether they have acquired the needed skills to safely operate the heavy or specialized equipment required for emergencies. NYSDOT, for instance, provides equipment certification to field per- sonnel. Supervisors use certification forms and evaluation guides to help them determine whether field personnel are ready to be certified on a particular piece of equipment (e.g., a pavement-striping machine). These guides contain lists of competencies that must be demonstrated before being certi- fied in the operation of the equipment. The same content is used by equipment operator instructors to teach field person- nel in preparation for their skills demonstrations (Evaluation Guides for Skills Demonstration, NYSDOT). EXERCISES Exercises provide the opportunity to practice knowledge, skills, and plans. Exercises are âcontrolled activities con- ducted under realistic conditionsâ (âSecurity and Emergency ManagementâAn Information Briefing,â FHWA 2009) and can be used for multiple purposes. Exercises âcan be used to train and familiarize personnel with their roles and respon- sibilitiesâ and âto (1) test the written assumptions in the transportation management plan and (2) see what must be changed and how the plan can be improvedâ (Tabletop Exer- cise Instructions for Planned Events, FHWA 2007, p. 4). Exercises can be categorized into discussion-based or operations-based exercises (HSEEP 2013, pp. 2-4â2-6). Exercise programs are useful for multiple purposes, including practice and assessment, and can be implemented in agencies using various structures. Results of exercises can be used to strengthen and improve training programs and to develop new training content. Exercise programs are typically established by an exercise coordinator in transportation agencies with sufficient budgets and are supported by various departments, pertaining to NIMS and ICS have evaluation exams. State DOTs typically require their first-line field supervisors to take additional NIMS training. For example, the Missouri DOT (MoDOT) recommends that all of its employees, including motorist assist and emergency response field staff, take IS-100 (Introduction to ICS) and IS-700 (Introduction to NIMS), and that its first-line response supervisors take IS-100, IS-700, and IS-200 (ICS for Single Resources) training. One NCHRP training course is intended for first- and second-line supervisors and is designed to be conducted over two days. NCHRP project 14-11(2) produced mate- rial to supplement the course called Effective Motivation of Highway Maintenance Personnel: Tools for Peak Per- formance (2001). These supplementary materials included a participantâs workbook and an instructorâs manual. NYS- DOT hosts these materials online (âTransportation Main- tenance TrainingâTools for Peak Performance,â NYSDOT n.d.). The instructional material contains the following nine chapters and 13 exercises: â¢ Chapter 1âImportance and challenges of highway maintenance â¢ Chapter 2âAttributes of a successful organization and the role of motivation â¢ Chapter 3âIndividualsâ needs, desires, and motivations â¢ Chapter 4âThe use of rewards to motivate workers â¢ Chapter 5âDetermining expected performance, mea- suring and analyzing actual performance, and identi- fying performance problems â¢ Chapter 6âNecessary elements for achieving expected performance â¢ Chapter 7âPrinciples and techniques for improving worker performance â¢ Chapter 8âCommunication as a means to improve workersâ performance â¢ Chapter 9âDeveloping written action plans and a self- assessment test for supervisors. The NYSDOT Transportation Maintenance Divisionâs Basic SupervisionâStudy Guide notes that a supervisor must be a delegator, a decision maker, a coach, an instruc- tor, a motivator, and, most important, a leader (NYSDOT 2005, p. 8). The guide lists the primary responsibilities of a supervisor (p. 10): â¢ Training and development â¢ Planning and organizing â¢ Processing the work â¢ Controlling the operation â¢ Administering the rules â¢ Keeping people informed â¢ Making improvements â¢ Handling personnel matters â¢ Monitoring safety and security â¢ Serving as a representative.
27 cise design and development methodology, exercise conduct guidance, evaluation planning and conduct guidance, and the improvement planning and corrective actions process. Compliance with HSEEP guidance supports the National Preparedness System and helps ensure that exercise pro- grams are using the most effective practices and a consistent approach to developing and implementing programs. The key phases of the exercise cycle are shown in Figure 5; they include exercise design and development, exercise con- duct, exercise evaluation, and improvement planning. The factors to consider in the development of exercise program priorities (shown in Table 8) include threats and hazards, areas for improvement, external sources requirements, and accreditation standards/regulations. FIGURE 5 HSEEP Exercise Cycle (HSEEP 2013, p. 1-2). TABLE 8 FACTORS FOR CONSIDERATION IN DEVELOPING EXERCISE PROGRAM PRIORITIES Threats and Hazards â¢ National threats and hazards â¢ Jurisdictional threats and hazards â¢ Hazard vulnerability analysis Areas for Improvement/ Capabilities â¢ Real-world incident corrective actions â¢ Exercise corrective actions â¢ Identified and/or perceived areas for improvements External Sources Requirements â¢ Industry reports â¢ State or national preparedness reports â¢ Homeland security strategies Accreditation Standards/ Regulations â¢ Accreditation standards and/or requirements â¢ Grants or funding-specific requirements â¢ Occupational Safety and Health Administration regulations Source: HSEEP (2013, pp. 2â3). including operations and maintenance. If an agency does not have an exercise coordinator, the responsibility might be assigned to the senior manager in operations or maintenance, or a manager in the training, safety, or security department. State DOTs do not typically take the lead in full-scale exercises but do participate in state and federal exercises. For example, Edwards and Goodrich (2014) find that the HSEEP 2013 document has no transportation-specific information and is oriented toward multijurisdictional exercises with public safety responders in the lead, as in the past (p. 15). ICS still views the transportation unit as a logistics section function rather than an operations section function. Consequently, exercise programs are not consistent from agency to agency, and even if the agency participates, the number of field personnel who participate is typically low. There are various reasons for this. Full-scale exercises, in par- ticular, require the resources to carry out the exercise and a great deal of staff time in preparation, outreach, and planning activities. Also, the state EMA usually organizes full-scale exercises in which the state DOT is an invited participant. Drills are a common form of exercise in which M&O field personnel participate; they are useful for teaching a specific function or procedure, providing instruction on how to safely and correctly operate equipment, and assessing worker per- formance to ensure that they have acquired the necessary skills. Small incidents that occur frequently (such as traffic incidents) can enable field personnel to practice NIMS and ICS, though they are not formally defined as exercises. The HSEEP document (2013) notes that exercises are essential for national preparedness (Intro-1). They not only prepare personnel but help with planning, assessing, and val- idating capabilities, and addressing weaknesses. Exercises are cost-effective tools that âbring together and strengthen the whole community in its efforts to prevent, protect against, mitigate, respond to, and recover from all hazards.â Further- more, exercises offer the opportunity to âpractice and refine our collective capacity to achieve the core capabilities in the National Preparedness Goalâ (HSEEP 2013, Intro-1). Homeland Security Exercise and Evaluation Program The Homeland Security Exercise and Evaluation Program is âa set of guiding principles for exercise programs, as well as a common approach to exercise program management, design and development, conduct, evaluation, and improve- ment planningâ (HSEEP 2013, Intro-1). The 2013 version supersedes the 2007 version. Edwards and Goodrich (2014) note that the 2013 version is the result of condensing four volumes of guidance into one volume (p. 15). The HSEEP addresses the following topics: HSEEP fun- damentals, exercise program management guidance, exer-
28 The HSEEP document (2013) recommends that exer- cise programs be progressive in nature, meaning that they begin with small discussion-based exercises and proceed to operations-based exercises; start with drills and pro- ceed to functional and then full-scale exercises (p. 2-4). HSEEP 2013 emphasizes the importance of addressing known weaknesses through training or other means before the actual exercise. Key activities required to initiate exercise programs include the following: â¢ Assigning responsibility for the exercise program to a full-time position or part time to an existing position. (In terms of personnel requirements, one to three employ- ees can develop discussion-based exercises, while oper- ations-based exercises require three to five employees.) â¢ Creating a committee or task force of internal staff and/or external responders to oversee the program. â¢ Establishing permanent or ad hoc working groups with local responders and others who might participate in the transportation agencyâs exercises. â¢ Developing a program schedule that identifies activi- ties to be performed over the 3-year exercise cycle. Establishing a budget for the program, including the identification of internal resources, outside grant programs, and pooled funding sources. (Guidelines for Transportation Emergency Training Exercises 2006, p. 22) Figure 6 depicts the relationships among exercise pri- orities, objectives, and core capabilities. Exercise program priorities are based on threats and hazards analysis, areas in which improvement is needed, external requirements, and standards or regulations. These priorities then inform the exercise objectives; each objective should be aligned with one or more core capabilities. The mnemonic acronym SMART reflects the objectives an exercise should have (see Table 9) (HSEEP 2013, p. 3-11). FIGURE 6 Priorities, objectives, and core capabilities (HSEEP 2013, p. 3-11). WSDOT notes that exercise objectives are the âcorner- stone of exercise design and developmentâ and are created âto test particular capabilities that have been deficient in the past, or to verify those that have been successfulâ (WSDOT 2011, Appendix C). TABLE 9 SMART GUIDELINES FOR EXERCISE OBJECTIVES Specific Objectives should address the five Wsâwho, what, when, where, and why. The objective specifies what needs to be done with a timeline for completion. Measurable Objectives should include numeric or descriptive mea- sures that define quantity, quality, cost, etc. Their focus should be on observable actions and outcomes. Achievable Objectives should be within the control, influence, and resources of exercise play and participant actions. Relevant Objectives should be instrumental to the mission of the organization and link to its goals or strategic intent. Time-bound A specified and reasonable timeframe should be incor- porated into all objectives. HSEEP provides a toolkit that includes training, technol- ogy systems, tools, and technical assistance to help orga- nizations implement HSEEP; it is accessible through the HSEEP website at https://www.llis.dhs.gov/hseep (âHome- land Security Exercise and Evaluation Program,â DHS n.d.). Evaluations The Kirkpatrick evaluation method is used by many orga- nizations in various industries. Composed of the follow- ing four levels, it can be used to assess emergency training (Kirkpatrick and Kirkpatrick 2006, 2007). â¢ Level 1: Reaction. This level solicits the reaction of trainees to the training. It is the most basic level and the easiest to implement. Trainees are asked to provide their reactions to the instructor or facilitator, training subject/content, facilities, and schedule, and to suggest any improvements they would make to the training. â¢ Level 2: Learning. This level determines the extent to which the trainees have learned the material. To imple- ment this level, it is necessary to determine what the trainee knew before the training (pretest) and compare it with what the trainee has learned from the train- ing (posttest). A test or knowledge check can also be inserted during the training after a section or module has been given. To be certain that other factors did not affect the change in learning, control groups can be used when practical. â¢ Level 3: Behavior. In this level, trainees are evaluated to ensure that they are actually applying training con- tent to their jobs. In some cases, immediate implemen- tation of level 3 evaluation is appropriate. This level can be implemented by having supervisors observe personnel at work or during drills to ensure that they are demonstrating the desired behavior and, if not, to correct them. Another way to implement this level is to survey anyone who is directly observing the trainee or assessing work completed by the trainee. To be certain that other factors did not affect the change in behavior, control groups can be used when practical.
29 â¢ Level 4: Results. Results show whether the training is having the desired outcome (e.g., faster response to an incident) and can provide organizations with infor- mation on the effectiveness of a training program. To implement level 4, outcomes need to be measured before and after the training. Operations-based exer- cises can be useful in measuring outcomes. To be certain that other factors did not affect the change in outcomes, Kirkpatrick recommends the use of con- trol groups, although this is not typically practical. Exercises can be used to assess worker, team, and agency performance, and to identify the need for fur- ther training. HSEEP 2013 recommends that evaluation mechanisms be developed early in the planning of exercises. Capability targets, or the âperformance thresholds for each core capability,â are based on threat and hazard identification or risk assessment processes and should be evaluated (HSEEP 2013, p. 3-12). Discussion-based exercises may be more appropriate for some activities, while operations-based exercises may be bet- ter for others, such as evacuations. Guidelines for Emergency Transportation Training Exercises contains an exercise needs assessment (2006, pp. 135â140). The guidelines also identify exercise types appropriate for specific transportation emer- gency planning and response activities (see Table 10). TABLE 10 EMERGENCY EXERCISES FOR ASSESSING TRANSPORTATION ACTIVITIES Transportation Emergency Planning and Response Activities Seminar or Workshop TTX Game Drill FE FSE Emergency Planning Develop Mission Statement and Operational Concept for Transportation Agency Emergency Management x x Coordinate Local/Regional/State Response Plans and Evacuation Plans x x Develop Public Information Dissemination Strategies x x Develop System to Monitor Threat Levels (Weather, Security) x x x Develop Transportation EOPs and Procedures x x x Develop Transportation Training to Support Plans, Procedures x x x Emergency Response Detect Events x x x x x Verify Events x x x x x Notify the Appropriate People/Organizations x x x x x Assess Situations x x x x x Evacuate Passengers and Facilities x x x Manage Casualties x x Protect Property/Equipment x x x Evaluate/Combat Dangers at Incident Scene x x Develop Operations Objectives and Strategies x x x x x Integrate with Local/Regional Incident Management System x x x x x Coordinate Transportation Field Response x x x x x Protect Scene and Control Traffic x x x Provide Support for Emergency Responders x x x x x x Develop Area Traffic Control Strategies x x x x Evacuation Manage Evacuation Traffic x x x x Coordinate and Monitor Evacuation x x x x Provide Incident Management of Evacuation Routes x x x x Facilitate Traffic/Evacuation Re-Entry x x x x Stabilize Events x x Continuity of Operations/Recovery Restore Critical Services x x Manage Area Transportation x x x Dissipate Traffic x x x Restore Transportation Service x x x x Source: Adapted from Guidelines for Transportation Emergency Training Exercises (2006, p. 168).
30 Scenarios A scenario is a narrative or timeline and may be used for all types of exercises, including tabletop exercises (TTXs). HSEEP 2013 defines a scenario as âan outline or model of the simulated sequence of events for the exerciseâ and says that a scenario should be ârealistic, plausible, and challeng- ing . . . but not so complicated that it overwhelms playersâ (HSEEP 2013, p. 3-12). According to WSDOTâs Training and Exercise Plan, the type of hazard should not be the starting point for exercise development; capabilities that need to be tested and relevant objectives should be deter- mined first (WSDOT 2011, Appendix C). A scenario should contain the following elements: â(1) the general context or comprehensive story; (2) the required conditions that will allow players to demonstrate proficiency and competency in conducting critical tasks, demonstrating core capabili- ties, and meeting objectives; and (3) the technical details necessary to accurately depict scenario conditions and eventsâ (HSEEP 2013, p. 3-12). The TCRP Web-Only Document 60/NCHRP Web-Only Document 200 (available at: http://onlinepubs.trb.org/ onlinepubs/tcrp/tcrp_w60.pdf) provides a list of emer- gency management exercise scenarios from the following sources: TRB A-36 RFP, Emergency Management Staff Trainer, National Planning Scenarios, Public Transporta- tion System Security and Emergency Preparedness Plan- ning Guide, Airport Emergency Response Operations Simulation, and Subject Matter Expert Meetings (Table 3, TCRP Web-Only Document 60/NCHRP Web-Only Docu- ment 200 2013). The document also provides detailed sce- nario outlines for the six scenarios addressed in the Transit Cooperative Research Program (TCRP) Project A-36, âCommand Level Decision Making for Transit Emergency Managersâ: flood, hurricane, earthquake, power outage, hazardous materials, and active shooter. The following are examples of blizzard emergency and flooding scenarios from Wisconsin Emergency Managementâs Tabletop Exercise Scenarios, Volume 1 (n.d., pp. 10 and 12). Blizzard Emergency Scenario Example It is the morning of January 26, a cloudy day with a temperature reading of 28 degrees Fahrenheit. By noon, snow begins to fall and winds begin to increase. By 3:00 p.m., five inches of snow have fallen and forecasters are calling for snow to continue throughout the afternoon and evening. As offices close down early, traffic jams form throughout the city. By 6:00 p.m., snowfall has reached 12 inches and many vehicles are getting stuck in drifting snow. By 10:00 p.m., accumulations have reached 18 inches and temperatures have fallen to 21 degrees Fahrenheit. Hundreds of vehicles are abandoned in high drifts and people are forced to walk to shelters or remain in their vehicles. The interstate highway that runs through town is also full of stranded motorists who are unfamiliar with the area. People who leave their vehicles run the risk of becoming disoriented and lost, while those who remain in their vehicles run the risk of freezing or being poisoned by carbon monoxide from their vehiclesâ exhausts. The overnight forecast calls for temperatures to dip into the teens with continued blowing snow. Questions 1. What actions should the city have taken early in the afternoon to reduce the number of motorists becom- ing stuck? 2. What actions can be taken to rescue stranded motorists? 3. What arrangements can be made to provide shelter for motorists who have abandoned their vehicles? 4. How will emergency information concerning the storm and survival techniques be disseminated? 5. What procedures will be implemented to facilitate the delivery of emergency services such as medical treat- ment, firefighting, and law enforcement? Flood Scenario Example (Scenario planners and participants are to fill in each of the blanks with the information most appropriate to their agency.) It has been raining heavily for two days in the town of . Six inches of rain have caused small stream flood- ing, with moderate damage to local roads, parks, and struc- tures in low-lying areas. The River is running three feet above normal and is rising. The forecast calls for continued showers and thunderstorms for the next three days. If such heavy rainfall occurs, severe flooding should be expected for the downtown business district and homes along the River. Small stream flooding will affect the nearby down- stream towns of and . Questions 1. If the flooding appears imminent, how will the evacu- ation order be disseminated? 2. How will the evacuation actually occur? 3. If people do not evacuate in time and become stranded, how will you go about rescuing them? 4. Where will evacuation shelters be set up? Who will operate them? 5. Where are supplies of sandbags located?
31 6. Who will coordinate the services of volunteers during sandbagging operations? 7. When the floodwaters recede, what recovery phase operations will be conducted? 8. Who will be involved?