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VTrans March, 2012 Irene Innovation Task Force . ReGeneration Resources Irene Innovation Task Force March 2012 Vermont Agency of Transportation

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VTrans March, 2012 Irene Innovation Task Force

.

ReGeneration Resources

Irene Innovation Task Force

March 2012

Vermont Agency ofTransportation

VTrans March, 2012 Irene Innovation Task Force

ReGeneration Resources

Table of Contents

Table of Contents

Executive Summary................................................................................................................................................ 4

Introduction........................................................................................................................................................... 6

Mission of the Task Force....................................................................................................................................... 7

Methodology ......................................................................................................................................................... 7

Task Force Overview .............................................................................................................................................. 8

Improving Future Disaster Response...................................................................................................................... 9

Incident Command ............................................................................................................................................ 9

Four Keys to Incident Command Response ........................................................................................................ 9

Suggestions for Incident Command Moving Forward ....................................................................................... 10

Proposed Three-Tiered Incident Command System for VTrans......................................................................... 11

Recommendations for Incident Command....................................................................................................... 11

Integration Issues ............................................................................................................................................ 12

Internal Integration of VTrans Functions...................................................................................................... 12

Recommendations to Improve Internal Integration ..................................................................................... 12

Integration of Diverse Municipal, State and Federal Agencies ...................................................................... 12

Recommendations to Improve External Integration..................................................................................... 13

Training and Preparedness............................................................................................................................... 13

Recommendations for Training.................................................................................................................... 14

Contract Administration .................................................................................................................................. 15

Recommendations for Contract Administration........................................................................................... 17

Information Technology and Logistics .............................................................................................................. 17

Recommendations for Information Technology ........................................................................................... 18

Workflow......................................................................................................................................................... 19

Recommendations for Workflow ................................................................................................................. 19

Communications.............................................................................................................................................. 19

Recommendations for Improving Communication ....................................................................................... 20

Operations....................................................................................................................................................... 20

Recommendations for Improving Operations .............................................................................................. 20

Improving Ongoing Operations ............................................................................................................................ 22

General Comments About Ongoing Innovations at VTrans ............................................................................... 22

High-Level Recommendations for Ongoing Innovation at VTrans ................................................................. 22

Process and Workflow ..................................................................................................................................... 22

Recommendations for Improving Ongoing Processes and Workflow............................................................ 24

Integration within VTrans and with Other State, Municipal and Federal Agencies ............................................ 25

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Recommendations to Improve Integration .................................................................................................. 26

Communications.............................................................................................................................................. 26

Recommendations to Improve Communication in Ongoing Operations ....................................................... 26

Information Technology................................................................................................................................... 26

Recommendations to Innovate VTrans IT Processes..................................................................................... 27

Operations....................................................................................................................................................... 27

Recommendations to Promote Innovation During Ongoing Operations –General/Prevention...................... 28

Recommendations to Promote Innovation During Ongoing Operations –Design Related ............................. 28

Appendix A: Incident Command Recommended for VTrans................................................................................. 30

Appendix B: Listing of those interviewed.............................................................................................................. 31

Appendix C: Task Force Member Overview ........................................................................................................359

Appendix D: Glossary of Acronyms...................................................................................................................... 40

Appendix E: A Summary of Recommendations—Emergency Response................................................................ 41

Appendix F: Summary of Recommendations—Ongoing Operations ..................................................................... 48

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Executive Summary

After Tropical Storm Irene devastated Vermont with flooding not seen in decades, the Vermont Agencyof Transportation (VTrans) went to work rebuilding 260 state roads and 33 state-owned bridges. Theagency quickly recognized that an Incident Command System (ICS) would be needed to respond to themagnitude of the disaster and it set up Incident Command Centers (ICC) in Dummerston, Rutland, andBerlin. It also established a Unified Command Center in Montpelier.

The Agency coordinated with dozens of key partners, including other state agencies, utilities,contractors, National Guard units, and transportation workers from other states. Through hard work,coordination, and the implementation of many innovative practices, the last segment of an estimated531 miles of closed roads was reopened on December 29th, roughly four months after the storm hit. TheAgency’s response was unquestionably a huge success.

Once the recovery phase was completed, an Irene Innovation Task Team was established to identify the“lessons learned” from the VTrans tropical storm response. The work included determining whichlessons learned could be applied to preparedness for future disasters and those that could be applied toongoing operations. To accomplish this task, the team interviewed more than 60 participants involvedin the Irene response effort, reviewed debriefing surveys, meeting notes, and numerous after-actionreports compiled by others. The team also led eight focus groups and conducted their own survey.

The use of the ICS was essential to the successful response. However, a lack of planning, practice, and athree-day delay in implementation initially limited the ICS’s effectiveness. Recommendations forimproving emergency response include choosing leaders early, training leaders intensely, increasingtechnology available to key ICC leaders, training all staff in ICS principles, ensuring that adequateresources are available (including shift coverage and administrative support for key leaders) and writingStandard Operating Procedures (SOPs) that clarify the role of the planning section, the structure ofUnified Command (UC), and the role of IT in the ICS.

Those working in Contract Administration (or those otherwise providing administrative support throughthe ICCs and other sections) were hindered by their lack of familiarity with Federal EmergencyManagement Administration (FEMA) and Federal Highway Administration (FHWA) documentationrequirements and different financial practices used in different parts of the agency. Lessons learned forContract Administration include the need to standardize internal practices, develop an emergencywaiver process, and develop a contractor registry database. Other recommendations for emergencyresponse include developing communication protocols, clarifying the level of civil engineer testingneeded in disaster response, clarifying the Detailed Damage Incident Report (DDIR) process, and betterutilizing technology in the initial assessment phase of the disaster.

While state agencies worked together in unprecedented ways during the disaster response, continuedefforts to integrate VTrans internal functions and integrate VTrans functions with other state agenciesare needed. Continuing the use of cross-functional teams will help integrate VTrans functions internally.Including Regional Planning Commissions (RPCs), Agency of Natural Resources (ANR), FEMA and FHWAin ICC planning should benefit future efforts. Stewardship agreements with key agencies to coverprotocols for emergency response are also necessary. A complete listing of the recommendations foremergency response is in Appendix E.

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Many of the ways the agency responded to Irene have great potential to increase VTrans efficiency inongoing operations. Many of the innovations initiated during Irene were the product of 1) the use ofcross functional teams; 2) the infusion of tech-savvy youth; 3) empowering staff to make more decisionsat the local level; and 4) a level of urgency not experienced during ongoing operations. Continuing theuse of cross-functional teams, as well as recruiting and training youth, empowering staff, and keepingsome projects high–priority, is critical to ongoing innovation.

Moving forward with innovation, VTrans will need 1) people willing to champion new practices; 2) thecapacity to design new business processes; and 3) the ability to develop policies and governancestructures to support new practices.

Additional high-level recommendations to foster innovation in ongoing operations are to:

Develop ideas to streamline the permitting process;

Evaluate other processes for potential streamlining, including the design process;

Close roads more frequently during repairs;

Move away from committees and toward the use of “task groups” (teams established anddedicated to focus on high-priority projects);

Work to improve communication and integration with other agencies and municipalities as wellas improve integration and communication among divisions of VTrans. VTrans internalchallenges include data integration and financial processing standardization;

Find people to champion, test, and implement technology used during the Irene response;

Work to create a culture less adverse to risk.

A complete list of recommendations to promote innovation during ongoing operations is included inAppendix F.

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Introduction

On August 27 and 28th, 2011, Tropical Strom Irene dumped more than seven inches of rain on parts ofVermont, resulting in the flooding and devastation that had not been experienced in over 80 years. Inaddition to hundreds of homes being lost and unthinkable damage to personal property, elevencommunities were left completely isolated due to 260 road and 33 state highway bridge closures.Moreover, 90 municipal bridges were closed and 289 local bridges were left damaged. Within a fewdays the Vermont Agency of Transportation (VTrans) responded by establishing an Incident CommandSystem (ICS).1

As the chart below indicates, the ICS organization consists of five major functions: Command,Operations, Planning, Logistics, and Finance.

1The National Interagency Incident Management System (NIIMS) was developed as a total system to collectively provide an

approach to all-risk incident management. The ICS organizational structure for each incident is created in a modular fashion,based on the size and complexity of the incident as well as the specifics of the hazard environment created by the incident.When needed, separate functional elements can be established, each of which may be further subdivided to enhance internalorganizational management and external coordination. Responsibility for the establishment and expansion of the ICSmodular organization ultimately rests with Incident Command, which designs the ICS organization to suit the requirements ofthe situation. As incident complexity increases, the organization expands from the top down as functional responsibilities aredelegated. Concurrently with structural expansion, the number of management and supervisory positions expands toaddress the requirements of the incident adequately.

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In addition to local incident command set-ups, large incidents require a Unified Command (UC) or CentralCommand which allows agencies with different legal, geographic, and functional authorities andresponsibilities to work together without affecting individual agency authority, responsibility, oraccountability.

With the establishment of Incident Command Centers (ICC) in Dummerston, Rutland, and Berlin, along with aUC in Montpelier, VTrans established, and went to work addressing its major goals:

Establish emergency access to cut-off/isolated towns and locations within communities; Establish access for utility companies to restore power to areas cut off; Establish mobility (public access) to towns that have emergency access only; Establish mobility along east/west corridors (to include truck traffic and commerce); Inspect all bridges; Prepare state roads for winter operations.

While as many as 700 VTrans employees from across the state (as well as transportation workers fromNew Hampshire and Maine, National Guard troops from eight different states, scores of volunteers, andapproximately 1,800 private sector workers) were rebuilding roads, some with holes as deep as 100 feet,staff in Montpelier worked on communicating with the public. A 20-line call center was established, amapping center worked with Google to constantly update the status of roads and bridges, a dedicatedIrene email account was established, and Facebook and Twitter accounts were utilized.

Within one month of the storm, 28 of the 34 closed bridges had reopened and more than 96 percent ofthe estimated 531 miles of state highway road segments had been reopened. The last mile of statehighway reopened on December 29th, roughly four months after the storm hit.

By any measure, this amazing recovery effort by VTrans was a huge and undisputed success. Throughhard work, long hours, and innovation, an astonishing amount of rebuilding work was accomplished inthe fall of 2011. This report looks more closely at what practices the agency employed that worked andwill want to replicate in future disasters, what changes might have allowed recovery efforts to workeven better, and what lessons learned might be applied to ongoing operations to increase theeffectiveness of the agency.

Mission of the Task Force

The Irene Innovation Task Force was directed to gather, organize, and compile any and all informationrelated to innovative practices or ideas resulting from lessons learned during the tropical storm Ireneresponse and recovery effort. The team was asked to make recommendations to Executive Staffregarding innovative practices that should be implemented – or further explored – in the short,intermediate, and long term. Possible innovations included any business process the agency isresponsible for during both normal and emergency operations. This report, intended for Executive Staff,is the main deliverable of the Task Force. Recommendations are based solely on potential forinnovation within VTrans and do not consider the potential cost of innovations. Before moving forwardwith recommendations, some study of return on investment should be conducted.

Methodology

To accomplish the mission referenced above, the Task Force reviewed and analyzed the notes from the“Brown Bag” lunch series conducted by Sue Minter, notes from the weekly debriefing meetings ofUnified Command, survey responses of demobilized employees (conducted by Dr. William Bress), and

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reports written by the Irene Recovery Coordination Team and the Regional Planning Commissions.Additionally, the Task Force conducted its own survey of all VTrans staff with access to email. Moreover,eight focus groups were held with VTrans employees who were involved in the response efforts andover 60 individual interviews with VTrans employees and outside stakeholders were conducted. Thegroup met frequently to discuss and analyze findings. A list of those interviewed is included in AppendixB.

Some of those interviewed had already compiled a summary of their lessons learned. These summarieswere very useful to the team and usually had some ideas that contained a level of detail beyond whatwe understood our mission to be. Therefore, we compiled these summaries and offer them unedited asa separate supplemental report. While we do not agree with all of the suggestions made by others, wedo imagine that those who implement the recommendations set forth in this report will benefit fromsome of the ideas and detailed thinking contained in the supplemental report.

Finally, while the great majority of the recommendations we present in this report come from those weinterviewed, we did not agree with every recommendation we heard and therefore this report is not acomplete list of suggestions from those we interviewed. Additionally we occasionally used ourprofessional expertise to reflect on suggestions and put them in the context of ICS or organizationaltheory. Therefore, a few of the recommendations presented are the Task Force’s synthesis of ideas weheard.

Task Force Overview

The Irene Innovation Task Force was composed of Greg Hessel, Chair; Dr. William Bress, IncidentCommand Systems Expert; Donna Holden, Administrative Support; Denise Gumpper, Chief of ContractAdministration; Al Neveau, Former LTF Chief, Retired; Rich Tetreault, Unified Command, Advisory; andScott Rogers, Unified Command, Advisory. A short biography of each task force member is included inAppendix C.

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Improving Future Disaster Response

“Productive things can happen without having to form a committee to study what needs to becompleted.” VTrans employee

Incident Command

It was recognized early on that an Incident Command would be necessary to carry out the storm damageresponse. Because many participants at the ICC s were not familiar with the Incident Command System,they were forced to learn on the job. The lack of ICC training, as well as different management styles ofthe ICC leaders, resulted in the ICCs using different techniques and lacking uniformity, leading toconfusion among some workers and within communities. While the missions of the ICCs weresuccessful, and complete uniformity is not needed for success, standardization in certain areas shouldimprove future performance.

An ICS is an efficient, on-site tool to manage all emergency response incidents and UC is a necessary toolfor managing multi-jurisdictional responses to disasters. Although a single Incident Commandernormally handles the command function, an ICS organization may be expanded into a UC. The UC is astructure that brings together the Incident Commanders. The State of Vermont uses the VermontEmergency Management State Emergency Operations Center, (SEOC) to coordinate disasters.Representatives from various state and federal agencies are represented at the SEOC. Unfortunately,the physical location of the SEOC in Waterbury was evacuated due to flooding early in the emergency.The magnitude of damage to roads and bridges in the state required a full emergency mobilization ofVTrans. Therefore, it was a natural progression to institute a combination of Unified Command at theNational Life Building in Montpelier and also separate Incident Command Centers in Dummerston andRutland.

Four Keys to Incident Command Response

Experience has shown that there are four keys to successful Incident Command response. Thoseinvolved must learn, plan, start early, and practice.

First, in learning, all responders learn the ICS and UC structures and protocols. The better theseelements are understood, and the more familiar staff is with them, the easier it will be to form acommon structure when an incident demands one.

Second, when planning, those involved develop protocols for how the ICS/UC will be implemented invarying situations. This should be decided well in advance of an incident. The planning process shouldbe used to identify roles and responsibilities of the various participants during different responsescenarios.

Third, it is important to start early. As soon as it is determined that a response is warranted, an ICS/UCshould be implemented.

Finally, practice, including periodic training and role-playing drills, is crucial to success. To maintainproficiency, using ICS during smaller disasters should be considered. Planners and responders at alllevels need to understand the authorities and resources that each response organization brings to aspecific incident. When plans and procedures are understood, agencies can support each other

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effectively. However, each response results in new lessons learned, which necessitate continuingrefinement of procedures and processes as well as development of better methods and meshing ofagency needs and actions.

Suggestions for Incident Command Moving Forward

The fact that the ICS worked as well as it did, with little to no learning, planning, or practice speaks tothe strength of the system and the people who adapted to it. Moving forward, we recommend planningwhich should include the clarification of roles, especially that of IT, the planning sections, and UC. IT,which played a critical role in the response, was not initially a part of either the UC or ICC system.Formalizing the role of IT as its own section moving forward will be important. A second role needingclarification is that of the planning section. Planning in ICC is not the same as planning in VTrans.Planning in the ICC model focuses on tracking people and materials and not performing design work.We recommend keeping design work in operations. Planning might also provide a short orientation toall new ICC staff. The orientation should include information such as required paperwork; supply anddistribution of food; reimbursement procedures; and other logistics. It is the responsibility of planningto account for all staff including the whereabouts of everyone in the field on a daily basis. Safety of allworkers and contractors should be part of the ICCs daily safety plan. Additionally, roles and tasks needclarification between ICCs and UCC, VEM and UC, DDIR writers, and ICCs, as well as the role of theNational Guard (emergency repair vs. long-term repair use).

We also believe that future responses would be even more effective than the Irene response if the UCmore closely mirrors the ICC structure, particularly with the inclusion of IT and administrative personnel.This would have alleviated communication and workflow issues including 1) Operation’s business officedid not believe they were brought into the effort soon enough; and, 2) unintentional competition forresources between the two ICCs. There was the perception that whoever spoke up first got theresources, resulting in friction. In the future, the UC logistic person should be tasked with anticipatingcritical needs and allocating resources based on prioritization of roads and not on a first-come, first-served basis.

The absence of SOPs for VTrans ICS operations created confusion. Notable is the lack of standardizedpractices for financial matters, which created confusion for contractors.

Finally, many people we communicated with commented on the importance of selecting UC and ICCcandidates who are a good fit for the assignment. One way to accomplish this is to survey staff ahead oftime to identify and match skills and abilities. Those assigned to leadership roles need to be comfortableoperating under pressure and have confidence in their staff. It is not essential for an effective ICS thatstaff be assigned to their usual realm of expertise and in fact overall agency priorities and the benefits ofcross functional teams (discussed elsewhere in this report) at times necessitate new assignments forsome staff. However, we heard criticism that too many operations staff were taken to other functionaland geographic areas when operations in their “home” districts had pressing needs, resulting ininefficiency. Additionally, we heard the desire to keep teams that normally work together unified asmuch as possible. In the future, in trying to strike the balance between overall agency priorities and theefficiencies gained from having staff work in familiar realms, it may make sense to reassign less staff.

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Proposed Three-Tiered Incident Command System for VTrans

We propose a three- tiered incident command system for VTrans.

During Level One response, the districts are able to independently handle the situation, with support onan as-needed basis. An example of when a Level One might be declared was during the spring 2011flooding when some districts found themselves near a breaking point. A single person is assigned toUnified Command in Montpelier to follow up with the districts during similar emergencies. If districtsneed more support than a single district can give, the agency would move to a Level Two.

During a Level Two response, Unified Command in Montpelier will activate the following sections andappropriate chiefs: Planning, Logistics, Information Technology, and Administration/Finance. Thesesections will assist the District Supervisors with requests for assistance. If the situation reaches the levelthat requires ICCs near the emergency, the agency will move to a Level Three response.

During a Level Three response, full Unified Command and also local ICCs are set up based on thegeographical location of the damage. Clear thresholds should be developed to determine when toimplement the different levels of response. Appendix A contains examples of a proposed three- tieredincident command system for VTrans.

Recommendations for Incident Command

1.1. Assign personnel to be Incident Commanders and section chiefs during an emergency(short term).

1.2. Give those assigned the proper ICS training for their duties (short term).1.3. Ensure adequate resources for emergency response. These resources should include a

review of communication equipment, ensuring adequate shift coverage for criticalpositions, determining which roles need to be backfilled during an emergency response,giving key people in the ICCs administrative support to monitor emails and othercommunication, and considering emergency fleet capacity when purchasing new vehicles(short term).

1.4. Provide key personnel identified and trained for future ICC duties with state of the arttechnology (iPads, iPhones, etc.) to use on a daily basis (mid-term).

1.5. Write a Standard Operating Procedure for VTrans ICS. SOPs should include standardizingfinancial processes, clarifying the role of planning, formalizing the role of IT, formalizingcommunication processes, ensuring that the UC fully utilizes the ICS, and developing athree- tiered system as described above (mid-term).

1.6. Learn background experience of all appointed staff team leaders to better understandtheir talents and ensure that the right people are in appropriate positions in ICS (mid-term).

1.7. Think through the physical and geographic issues, including identifying the best locationsfor ICCs around the state. In our focus groups, those furthest from the ICCs tended toexperience the most isolation and feel the most resource-depleted. Additionally, knowingwhere the UC will be established is critical (mid-term).

1.8. Update the VTrans Continuity of Operations Plan to reflect the ICC structure (mid-term).

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Integration Issues

Internal Integration of VTrans Functions

One of the keys to innovation during the VTrans’ response to Irene was the agency’s ability to integratefunctions that typically operate in isolation. Examples of this include having IT and HR support withineach ICC, having operations work together with planning, and increasing contract administrationsupport within each ICC. This approach to structuring work has pros and cons (as will be discussedbelow in more detail). Research has shown that two huge advantages of this type of structure are that itdecreases project time and also fosters innovative problem-solving in complex situations. Without thisstructure that encouraged multiple functions to operate together, it is doubtful that the ICCs would havedeveloped the many innovative solutions that ultimately emerged.

Two groups that could have been better integrated into the emergency responses were those repairingrail lines and the state airport. A liaison between the ICC or UC and rail and airports and perhaps linkingtheir logistics people could have increased efficiencies of those working to track down the same kinds ofmaterials. Some whom we interviewed also wondered if a pre-determined “rail squad” should benamed for quicker response to emergencies. Training in rail operations would be required for the squadto understand roles and responsibilities of the group. However, the squad could be quickly assembledand deployed for faster recovery.

Finally, we would suggest including a VTrans environmental liaison within the ICC structures. This woulddecrease dependence on other state agencies and could help ensure that an environmental perspectiveis contained within the ICCs.

Recommendations to Improve Internal Integration

2.1 In emergencies, continue to promote the use of cross-functional teams (short-term).2.2. Think of ways to better integrate those working on rail lines and the state airport into the

emergency operations (mid-term).2.3. Include a VTrans environmental liaison in the ICCS planning (short-term).

Integration of Diverse Municipal, State and Federal Agencies

Many state, municipal, and federal agencies played a critical role in the success of the emergencyresponse. In addition to VTrans, the state police, National Guard, Agency of Natural Resources (ANR),Corp of Engineers (COE), Federal Highway Administration (FHWA), US Fish and Wildlife, FEMA, utilitycompanies, and the Regional Planning Commissions all played critical roles.

Efforts to integrate different functions of the state, federal, and municipal governments’ responses wereless uniform and coordinated than integration efforts within VTrans. While the integration of differentstate agencies would ideally have been done through Vermont Emergency Management (VEM), thatagency’s displacement from the Waterbury facility left it with a limited ability to play much of acoordinating role.

Furthermore, many of the above-mentioned agencies were overwhelmed internally by the impact of theflooding. For example, ANR’s four river engineers were woefully too few in number to respond to themagnitude of the damage. Given agencies’ limited resources, it took a bit of time to work out the details

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of the coordinating efforts. Roles and jurisdictions of the different agencies were sometimes unclear,and stewardship agreements, where they existed, did not accommodate emergency response efforts.

Despite these understandable delays, the ability of different agencies to get on the same page withrebuilding efforts was central to the success of the operations. Having one VTrans liaison workingdirectly with the utilities was one often-mentioned success. A New Hampshire transportation leadercredited leaders taking the time to work out the details before deployment as being critical to thesuccess of the New Hampshire unit. “We coordinated early, were given high-level guidance, and wereleft alone. And that worked well”, he said.

While understanding that VTrans does not have the ability to coordinate these diverse agencies, giventhe central role that integration played in the response effort, we offer the following recommendationsin hopes that VTrans might be able to positively influence future integration efforts.

Recommendations to Improve External Integration

3.1. Develop stewardship agreements and memoranda of understanding with key agencies toaccommodate emergency response efforts. These agreements should include better definitionsof who is responsible for what in emergencies and where jurisdiction lies, and protocols forstate personnel to identify themselves in the field during an emergency (short-term).

3.2. Convene a meeting this summer (before stakeholders forget this event) to allow towns, VTrans,ANR, COE, FHWA, FEMA, VEM, RPCs, and/or other state agencies to discuss the “who’s andwhat’s” of responsibility and contacts for any future events (short-term).

3.3. Incorporate the RPCs, ANR, FEMA, and FHWA into ICC planning (short-term).3.4. Develop protocols for working with key agencies in emergencies including finding ways to

identify all state workers in emergencies. Additionally, work to ensure that all key agencies areengaged from day one (mid-term).

3.5. Work to ensure that all state agencies use the same districts in an emergency. Having the statepolice, LEPC, RPCs, and others all conceiving districts’ boundaries differently creates confusion.Even if this cannot be achieved, VTrans district lines, because they are irregular and include“fingers”, probably should be ignored when thinking of the geographic parameters of thedifferent ICCs (long-term).

3.6. As the state public assistance program is transferred from VTrans to VEM, it will be importantthat VEM (with VTrans support) push FEMA to pay for all eligible activities, including thosedesigned to improve river management and prevent future floods. To this end, a full-timeAttorney General assigned to work with FEMA has been identified as a need and should beactively pursued (short-term).

3.7. Different requirements from FEMA for PA funds and FHWA for ER funds created confusion.Therefore VTrans should work with FEMA and FHWA to explore possible changes to better alignthe PA and ER requirements (short-term).

Training and Preparedness

One of the most frequently heard comments during the interviews and focus groups we conducted wasthe need for ongoing training and preparedness in emergency response and also in the ICS. This

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recommendation has been echoed by in the Irene Recovery Report, which states, “Agencies acrossVermont state government should consider increased training on ICS as the standard operatingguideline for responding to both statewide and agency specific events.”2 VTrans’ lack of training in theICS structure resulted in some initial false starts, role confusion, and staff learning a new structure at thesame time they were working to respond to an emergency. Having familiarity with the ICS, and amanual to refer to, would have helped make the response less overwhelming and confusing. Whilethose chosen for leadership positions will need the most training, all staff should receive a minimalamount of training so they are familiar with the structure should they ever be deployed.

Moreover, many key partners lacked the knowledge and/or role clarity to know how to best respond.Sub-contractors were not always familiar with VTrans safety regulations; towns lacked clarity as to whatwas eligible for reimbursement under FEMA and FHWA rules; and most towns lacked an emergencyresponse plan. Additionally, many contractors were not familiar with VTrans billing requirements,contributing to delays in getting contractors paid. As Tom McArdle, Assistant Director of Public Works(DPW) for Montpelier wrote,

“Time elapsed before the …’kick-off’ meetings were conducted and guidance for towns wasdisseminated. During this time period, many decisions about repairs (immediate needs &permanent) needed to be made. This is a time period when mistakes in procuring services canand often do occur. This can include decisions about whether to repair or rebuild a road orculvert, whether competitive bids for services are necessary or not, whether environmentalpermits must be secured, and under which circumstances. With a wide impact area, VTransofficials are spread thin and guidance is limited. … Periodic training (in public assistance) wouldbe beneficial to conduct self-assessments in advance of the arrival of FEMA & FHWA disasterresponse teams so that funding of repairs is not jeopardized.3”

Training staff in the use of new technology used in the response (iPhone, iPads, laptops, wifi, mifi, satcards, etc) was also identified as important. However, embedding IT staff in the ICCs mitigated thisneed. Our recommended solution to training in new technology is to encourage VTrans to incorporatenew technology into daily operations (see above, ICC recommendations) so that staff learns technologyby using it. This would both increase the ongoing efficiency of the agency and mitigate the need for ITtraining and support in an emergency.

Recommendations for Training

4.1. Conduct an annual training in disaster response for staff at all levels. While pre-identified leadersneed the most training, those at the front lines also need to better understand roles. Trainingshould include checklists and emergency standard operating procedures (SOPs), especially withregards to how finances are handled. A manual should be developed, possibly with the help ofother states that have already written them. Clarity regarding Detailed Damage Incident Reports(DDIRs) should also be included in the training manual (short-term).

2Lunderville, Neale. Irene Recovery Report: A Stronger Future. Unpublished, written for the governor of Vermont. 2012.

Page 60.3

Email from Tom McArdle to Chris Cochran, February 7, 2012, 4:06 p.m. Unpublished.

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4.2. Pocket manuals should be developed for individuals in the ICC units. Each section head (Logistics,Planning, Operation, Finance) would receive a pocket manual. The manual would document whoresponds, what they do, where they go, and when they do it, as well as FAQs addressing ICCoperations (mid-term).

4.3. Use ongoing mini-disasters as a chance to practice and evaluate the skills of potential leaders(ongoing).

4.4. If new technology is not incorporated into ongoing operations, develop a plan to supporttechnology used in emergency response (short-term).

4.5. Clarify the role of VTrans in training key stakeholders, including contractors, towns, RPCs, DPW,and subcontractors (short-term).

4.6. Incorporate river management principles into VTrans Operation’s training institute as onemethod of institutionalizing river engineering into infrastructure engineering (mid-term).

Contract Administration

One of the many lessons learned from the Irene response is that, although employees can (and did)meet the challenge of different emergency assignments and conditions, employees and the agencycould have performed better with appropriate systems and tools in place. Irene also highlighted theessential fact that, during an emergency, Contract Administration is inseparable from financialoperations, the business offices and, most essentially, IT. For that reason, made evident throughout theIrene “Event 12,” the following summary, observations, and recommendations overlap with areas nottraditionally considered Contract Administration.

As part of emergency planning, emergency documentation should be ready for distribution andimplementation. Irene has shown however, that emergency documentation should be as similar aspossible to ongoing documentation. Once an emergency has been declared and the relevant leveldetermined, the documentation should be easily implemented with certain “step-skipping.” This can beaccomplished through previously agreed-to and approved waivers, which could address such measuresas automatically increasing the threshold amounts of contracts and facilitating blanket approvals as wellas eliminating signature routing. The development of the core documentation process (which is alsolinked to financial operations) may involve some dramatic decisions beforehand to ensure further

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success for either immediate or future innovations. While documentation is not difficult, the decisionssurrounding it might be. These key decisions include:

Whether MATS is an agency-wide or solely operations application. If MATS is an agency-wideapplication (as we recommend below), agency staff must be broadly trained to use it and it mustbe implemented consistently and to its fullest capabilities.

Whether STARS is an agency-wide application. For reasons perhaps related to the Segregation ofDuties concept, a component of the STARS application currently lies in Contract Administration.This has created a bottleneck situation. Training in STARS must be broad and implementationconsistent.

Whether to centralize or localize the processing of payment. Whichever decision is reached,standard operating procedures must be developed.

Whether to commit to a 21st-century documentation processing and tracking program(dashboard, electronic timeline, user-friendly and electronic contract components, onlinesubmission, etc.) for contractor registration and contract processing

One key recommendation made below is to compile a “Contractor Registry” or “Vendor Profile”database. The registry would provide a secure and centralized storage of information and eliminate thenecessity of requesting the same forms and information repeatedly. The database would includeinformation about contractors performing work for VTrans4 collected for purposes of theprequalification process. Annual updates to the database would be culled to forms requiring suchupdates. The system would also allow VTrans to move to a “negative reporting” model; i.e., ask forwhat is omitted/out-of-date. Negative reporting allows quicker and more accurate review.

This registry should be developed and implemented immediately along with a Contract ProcessingSystem because a similar compilation is required to generate the Emergency Packet described below. Itwill be more cost-effective to develop the system and provide the Emergency Packet at the same time.The process developed and implemented for the Event 12 MRA CAT IIIs and ER and FEMA grant-trackingby Coleen Krauss’s Grants Management Group is performing well and might be used as a model tofollow (short-term).5 Improvements to this process would include the aforementioned waivers settingthe approvals in place for increased threshold amounts for contracts and forms with instructions forinvoicing, which would track with and reflect information required for DDIR’s.

The electronic Contract Processing system should include all the documentation currently employed byVTrans Contract Administration with menu selection and dashboard tracking of the approval process.The system should be integrated with an electronic storage warehouse. Additionally, a variety of “On-

4Information should include Tax ID numbers, W-9s, “Secretary of State” information, i.e., registered to do business,

corporation in good standing, domestic or foreign corporation, DUNS numbers, contact information, licensing information,insurance Information, debarment status, and annual certifications, affidavits, and other requirements requiring updates.5

That process developed by the Grants Management Group includes items to be used in the Contract Processing, such as

electronic signatures, Electronic Notice to Proceed forms associated with an Emergency CAT III contract, menu selection forstate and/or federal requirements as appropriate to the contract, increased Not to Exceed amounts and electronic storagesteps for compliance with reporting requirements and VTrans storage practices.

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Call” or “Retainer” type contracts should be in place allowing Electronic Notices to Proceed or WorkAssignments to be easily generated as an emergency mandates. The capabilities to develop andimplement this system already exist within VTrans and it should be relatively easy to accomplish.

The need for a standardized process for paying contractors was highlighted throughout Event 12 and theTask Team understands that process is currently being reviewed and analyzed with that goal in mind.Some interviewees indicated that executing the last step of the payment process in Montpelier causedconfusion and friction between the ICCs and contractors. In some instances, an administrative personwas sent to the field to enter data into MATS to eliminate steps in the process and to ensure that theadministrative staff was not falling behind. Others interviewed recommended centralizing the entireprocess for proper validation and consistency.

Recommendations for Contract Administration

5.1. Compile a “Contractor Registry” database as described above (short-term).5.2. Develop a standardized electronic Contract Processing system as described above (short-term).5.3. Develop an emergency administrative packet for use by ICC/UC Administrative Teams that also is

available electronically. The administrative packet will include a clear explanation of theinvoicing process, the contracting process, the DDIR requirements, the levels of emergency,safety protocols, and the different funding sources for emergency work. (short-term).

5.4. Develop an emergency packet for use by contractors doing emergency work, including thematerials listed in 5.3, above. (mid-term)6

5.5. Develop an “Emergency Waiver” process. When an emergency of appropriate level has beendetermined and declared by the administration, the waiver would allow a pre-establishedemergency process to take effect for agencies involved in the emergency response. Theseemergency processes will have to be defined and developed (mid-term).

5.6. Review and standardize the process for paying contractors to ensure more prompt payment.(mid-term.)

5.7. Explore alternative emergency contracting processes that include, but are not limited to, changesto MRAs. (short-term)

Information Technology and Logistics

Information Technology played a key role in many innovations that were critical to the success of theIrene response. IPads, smart phones, electronic signatures, and Google Maps applications are just a fewof the many new IT applications that expedited work and changed the way the agency did business.While IT staff played a key role in these innovations, end users, ripe and eager for new solutions, alsoplayed a key role in the innovations.

6This packet would include, but not be limited to, contact Information (extensive Vermont agency-wide contact info for

Administration, very selective information for contractors); contracting requirements and forms with instructions(contractors also will receive instruction as required by Administration teams); invoice forms and instructions for submittal;support in meeting insurance guidelines, Davis-Bacon, and other federal requirements, instructions, and steps forcompliance; and Instructions for accessing electronic information such as maps, traffic, and road information.

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Because the level of IT use was unprecedented in the agency, many hurdles needed to be (and need tobe) overcome to maximize the effectiveness of new IT applications. These challenges included dataintegration, limited IT support (especially for MATS), and protocols for naming and storing electronicdata. The following list of recommendations attempts to build on the IT innovations that worked and tomitigate challenges in future disasters. While these are IT recommendations, many of the solutions, ifthey are to be successful, will require the input and involvement of end users. We applaud IT and theagency for already beginning to implement a number of these recommendations. 7

One suggestion that emerged from our work emphasized implementing “cloud” technology for workingwith contracts “so that parties involved could see pending action items in real time”. This suggestionraises the larger role that cloud technology could play in agency innovation. Since the great majority ofIT time in most organizations is spent installing and maintaining current systems, cloud technology holdsgreat potential to free IT staff to focus on innovation. While concerns exist about cost, reliability,security, and regulation, a recent article in the Harvard Business Review suggests these concerns areoverblown, in part by technology professionals invested in keeping the current system.8 While it is notsomething to move into blindly, the advantages of moving to the cloud include freeing IT staff to focuson innovation, increased ability to share and analyze data (once the data is untangled), and improvedability to facilitate collaboration.

Recommendations for Information Technology

6.1. Develop an active master distribution list for users of iPhones and cell phones to avoid timewasted hunting for numbers during an emergency. This list could be downloaded by new usersin an emergency (short-term).

6.2. While some people we spoke with did not think MATS is the best system to use in emergencyresponse, others (including our team) believe that issues with MATS had to do more with VTrans’limited capacity to provide support for MATS than with the application itself. This lack of supportand training led to bottlenecks, inefficient use, and some frustration. If MATS is to be used as anagency-wide application and not just an Operations application, VTrans must increase IT capacityin, and support for, MATS (short-term).

6.3. Explore the use of cloud technology, including having MRAs and Environmental Permits (JointANR and COE) for emergency responders to use in the field that would populate a warehouseand facilitate processing via the Internet so that all parties involved could see pending actionitems in real time (mid-term).

6.4. Continue to use the Google Maps application in emergencies (ongoing).6.5. Consider storing HR documents, maps, and other ICC contact information in a central place

(perhaps on VIPER). This could be accomplished by developing a section in VIPER for emergencyinformation. Email distribution of maps during the response was not experienced as efficient(mid-term).

7Some recommendations that impact IT can also be found in the communications section of this report

8McAfee, Andrew. What Every CEO Needs to Know About the Cloud. Harvard Business Review, November 2011, p. 132.

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6.6. Initially, Irene response data was stored in many different places, leading to confusion. Once theR drive was put into use, data storage issues were greatly mitigated. The R drive should be usedfrom day one in emergencies (ongoing).

Workflow

As much as possible, workflow in an emergency should mirror workflow during normal operations. Thisminimizes the need for staff to learn new processes while responding to an emergency. However, inemergencies, FHWA and FEMA have needs for additional documentation and there is a need for somenew processes to accommodate the scale of disaster response. Some workflow issues experiencedduring the Irene response will be solved through training in, and a better understanding of, the ICS.Other workflow processes have been addressed in the Contract Administration section of this report.What follows are workflow issues not addressed in those two previously mentioned sections.

Recommendations for Workflow

7.1. Develop a process to keep track of equipment lent to contractors (short-term).7.2. Develop a process to improve tracking of materials from contractors used on sites. Due to the

scale of the sites, tracking materials seemed to be an issue commonly experienced. One processthat seemed to help was to have an administrative staff member on site recording materials intoMATS as they were delivered. Regardless of the specific process or solution, developing a systemahead of time for tracking materials should help ensure accuracy of invoices and help expeditepayments to contractors (short-term).

7.3. The DDIR process was confusing to those who performed it. There seemed to be a lack of clarityas to who owned this process (ICCs or UC) and not enough training in how the work should becarried out. The agency also seems to lack the capacity to train people in DDIR writing, creating abottleneck and confusion. Addressing the needs of this process will be important to improvingfuture emergency responses (short-term).

Communications

In an emergency response, communication is important to every aspect of the response. VTrans’emergency communication processes included successes as well as opportunities for improvement.Notable successes included the regular ongoing calls between UC and the ICCs, including private callswith commanders each day so that things could be said that people might be reluctant to say in a largersetting. Additionally, once people understood the ICC structure, they better understood appropriatechannels for communication, which helped overall efforts to communicate more efficiently.

Since emergency communication protocols had not been developed, challenges also presentedthemselves. For example, some workers experienced a lack of clarity as to what types of communicationneeded to flow through UC and when Montpelier could contact the ICCs directly. Another challengeoccurred when communication regarding VTrans’ hiring of employees was funneled through the ICCsand not through the state unemployment office. Furthermore, some people were either not informedof ICC communication protocols or lacked the discipline to use them, increasing the burden on the

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already overworked ICC units. Spotty cell reception, different business offices buying different types ofcell phones, and sub-optimal equipment added to the challenges.

Communication with other agencies and the public was also mixed. While the Google Maps applicationand the use of social media worked very well, the 511 system did not perform adequately and the publicgot mixed messages as to which roads were open. The lack of a protocol for how to communicate withtowns also led to towns being overwhelmed with information from multiple sources (VTrans, RPC,VLCT).

Recommendations for Improving Communication

8.1. Having neutral observers visit the ICCs worked well and should be repeated (ongoing).8.2. Develop internal emergency communication systems and protocols to minimize communication

overload and feelings of being micro-managed. At a minimum, these should include clarifyingwhen communication should flow through UC and when VTrans staff could contact the ICCsdirectly; how communication regarding hiring should be handled in an emergency; who at UCcommunicates with the ICCs; and who at the ICCs communicates with the UC. Encouragingdiscipline in using protocols is also important (mid-term).

8.3. Work to identify and ensure that the right equipment is on hand in emergencies. This shouldinclude the exploration of emergency uses of portable cell towers, an assessment of state radiosand cell phones, and an assessment as to the usefulness of VTrans investing in emergencysoftware such as DisasterLand (mid-term).

8.4. Work with partner agencies to develop external communication protocols. At a minimum, thisshould include clarifying how to best communicate with the towns, how to ensure timelyinformation gets to the Emergency Operations Center (EOC), and how to improve the 511 system(mid-term).

8.5. Develop communication contingencies for emergencies that take out power and cell receptionfor long periods of time. While this is a worst-case scenario, it is important to spend timeassessing options and developing a plan for this contingency (short-term).

Operations

Given the enormity of the rebuilding task, and how quickly it was accomplished, operations should becommended for its success. Despite a plethora of obstacles, bridges and roads were rebuilt and accessto isolated communities was re-established. Many of the lessons learned regarding operations are moreapplicable to ongoing operations than emergency operations. What follows are a few recommendationsfor improving operations in an emergency response.

Recommendations for Improving Operations

9.1. Develop a procedural “Emergency Design Manual” for use by both state and local forces whenre-establishing slide slopes for river banks in an emergency (mid-term).

9.2. Clarify the level of civil engineer testing and documentation expected in emergency responseefforts. There was some ambiguity as to the level of testing and documentation that wasrequired of those teams constructing new roads. This led to slightly different processes and

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priorities in the two ICCs. Clarifying expectations will help standardize ICC procedures (shortterm).

9.3. Better utilize technology for gathering and sharing information immediately after the emergency.One option would be having a designated crew survey damage via helicopter (or using a stateairplane) and stream video to the situation room so discussion and decisions about repairs couldbe made instantly by qualified people. Satellite imagery and LIDAR technology should also beconsidered for appropriate application. In addition to getting better information this would alsoadd another layer to the prioritization of roads—not only prioritizing based on the importance ofthe route, but also on the ability to get them open quickly. Waiting for information from scoutswas time- consuming and less useful than a video stream would have been (short term).

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Improving Ongoing Operations

“The future ain’t what it used to be” Yogi Berra

General Comments About Ongoing Innovations at VTrans

As the agency’s response to Irene demonstrated, new ways of doing business have great potential toincrease efficiency and effectiveness. While much of VTrans’ ability to accomplish what it did can beattributed to having permission to sidestep the planning, right-of-way and permitting process, the valueof the new business practices developed during Irene cannot be minimized and must be leveraged.

Incorporating innovative practices into ongoing operations has two advantages. First, it allows theagency to reap ongoing gains in efficiency. In an era of limited budgets, we believe that all possible waysto improve efficiency should be explored. Second, when innovative practices are incorporated intoongoing operations, the need to learn new processes in emergencies is minimized. (For example, ifelectronic signatures, paperless systems, and iPads had been used on a daily basis, the emergencyresponse would not have needed to fine-tune these new systems).

We believe that the major ingredients that fostered scores of innovative approaches during the Ireneresponse were 1) the use of cross functional teams that minimized silo thinking and encouragedeveryone focus on larger goals; 2) the infusion of young, tech savvy talent; 3) empowering staff to makemore decisions without seeking permission; and 4) a level of urgency that opened employees to tryinginnovative approaches.

To incorporate innovative practices moving forward VTrans will need 1) people willing to champion andtest ideas; 2) the capacity to design (map) new business processes; and 3) the ability to develop policiesand governance that support the new, innovative practices.

While we believe that there is great potential to improve business practices at VTrans, without knowingwhich innovative practices people are willing to champion, it is hard for us to recommend priorities. Ingeneral, our guidance would be to test or pilot as many innovative practices as staff is willing to try out,then measure the results and make decisions based on those results.

High-Level Recommendations for Ongoing Innovation at VTrans

10.1. Increase the use of cross-functional teams within the agency (short term).10.2. Consider the need to increase capacity in documenting new processes (short term).10.3. Prioritize integration and strive to improve working relations with other state agencies (short

term).10.4. Commit to continual learning and innovation and consider developing a team to vet innovative

ideas and encourage anyone willing to champion an idea to submit a request for innovation(short term).

Process and Workflow

The Irene response included many process and workflow changes that dramatically reduced projectdelivery times. For example, videos of damaged bridges were streamed to engineers in Montpelier whothen e-mailed plans back to the site within hours; cross-functional teams worked together to solve

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complex problems using everyone’s diverse expertise; electronic signatures were used, reducing thetime it took to process new contracts; and the use of paper was reduced. Most of the new businessprocesses developed reduced project delivery time and many of these processes should receive strongconsideration for use in ongoing operations.

Research on different organizational structures clearly indicates that when different functions worktogether on cross-functional or product teams, innovation increases, products are delivered morequickly, communication improves, and conflict is reduced. One employee responding to our surveyvalidated this research when he wrote, “The ‘team’ approach worked extremely well. People pullingtogether for a common cause, created a very supportive working atmosphere and work was completedquickly, seamlessly and a sense of accomplishment was the end result”.

Research also shows that cross-function structures have a downside, however. This downside includes atendency to give less attention to formal procedures (for example, IT might be more likely to bend apolicy designed to ensure security to accomplish the overall project goal); functions tend to losespecialization (for example, if HR is embedded in each district, these staff members will tend to begeneralists and not specialize in benefits or recruiting); and some economy of scale is lost9. While weare not in a position to weigh the pros and cons of these different structural approaches at VTrans,research demonstrates that innovation is much more likely to occur with cross-functional teams. Whilethere are many ways to accomplish the increased use of cross functional teams, a few people we spokewith suggested that all projects over a certain dollar amount be assigned an engineer, an operationsperson, an administrative person, and someone from ANR. These teams could increase ongoingefficiency and begin to establish processes to be used in future emergencies.

Additionally, VTrans employees said that the innovation with the most potential impact to improveongoing operations was streamlining the permitting process. While everyone knows permitting isessential, many people thought it has become too burdensome and frequently leads to longbureaucratic delays. Because VTrans is dependent upon the permitting processes of other agencies, itwould be ideal if these processes, as well as the agencies, were reviewed for opportunities forimprovement. While reviewing of the processes of other agencies is beyond VTrans’ span of control, westrongly encourage the agency to work to improve integration with other agencies so that solutions tointer-agency permitting issues can be found.

We applaud the agency for its ongoing work to redesign processes. However, some people we spokewith thought more could be done. In addition to wanting to streamline the permitting process,employees also spoke to the desire to streamline the design process (especially when federal dollars arenot being used) and the contracting process. One employee exemplified this opinion, saying that theagency should “Expand the current process workflow improvement efforts beyond documentation anddeploy it at the task level”.

Redesigning processes can be burdensome but it can also yield huge returns on investment. In order tominimize the initial investment of time, we recommend targeted, high-level process redesign work as a

9Walker, A., & Lorsch, J. (1968). Organizational choice: product versus function. In J. Shafritz, Ott, J., & Jang, Y., Classics of

organization theory (pp. 208 – 218). Belmont, CA: Wadsworth.

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starting point. When assessing processes for potential redesign, some questions we encourage clientsto ask are:

Are there too many actors?

Are there too many handoffs or a lot of movement across different functions?

Are there non-value-added steps or non-critical steps holding up the main flow?

Is there an obvious bottleneck?

Are there clear process owners at all times?

Are there many return loops indicating mistakes, incomplete work, duplication of efforts, orexcess verification of standards?

Are errors identified early in the process?

Do problems get all the attention while the majority of the work waits?

Is the process “one size fits all”, resulting in excess documentation for simple cases?

Is the process undocumented, leading to each individual or area doing it their own way?

Is there poor collaboration across organizational boundaries, as in “We’re working at crosspurposes”? This often results from local or internal measures as opposed to process-orientedor customer-oriented measures that focus on outcomes, not tasks10.

Finally, in thinking of process, one of the things that helped get the job done during the Irene responsewas forming “task groups” that were given clear priorities and encouraged to work as hard as they couldon one challenge until it was solved. This approach is in contrast to the typical approach of forming acommittee which gets busy with other work and frequently loses focus. When addressing issues in thefuture, the “task group” approach with clear priorities, goals, deadlines, and increased accountability willincrease the likelihood of high-priority work being accomplished. In light of this, we also suggestassigning a task team, perhaps with external support, to implement the recommendations in this report.

Recommendations for Improving Ongoing Processes and Workflow

11.1. Work to streamline the permitting process (start in the short term with hope of completing workin the mid-term).

11.2. Evaluate other processes for the need to streamline. This work should include continuedrevamping of the Right of Way (ROW) and contracting processes, exploring ways to streamlinethe design process (perhaps by keeping more design work in the districts and using processeswith less documentation when federal dollars are not being used), and evaluating otherprocesses that employees think could be more effective (evaluate in short term, commit toredesign in the mid-term).

11.3. Consider the use of a rotation program for interagency cross-training. This, like cross-functionalteams, could mitigate the negative impact of silo thinking and add capacity to critical positions inemergencies (mid-term).

11.4. Move away from committees towards the use of “task groups” to work on all high priorityprojects (short-term).

10Taken in part from Sharp and McDermott, Workflow Modeling. Artech House, Boston: 2001.

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11.5. “Consider changes to how Maintenance of Record Drawings are handled within VTrans. Duringthe emergency repairs, there was one person assigned to a consulting team (Green International)who could be contacted to help find record plans and other additional existing information aboutthe structures and roadways being inspected, enabling contractors to know whom to contactwhen drawings from VTrans were needed. Under typical design projects, record drawings areobtained through VTrans Project Managers, a task that can be burdensome to them. It would bebeneficial to have a specific contact at VTrans who acts as a custodian of all the record drawings.Those who want record drawings can contact this custodian to acquire them. Rhode Island andMassachusetts have a custodian and a room to keep all their record drawings (mid-term)”11.

11.6. Increase use of outside hired flaggers to allow for larger work crews and to ensure skilledworkers are operating at full capacity. Additionally, consider establishing a statewide MRA fortraffic control. This MRA could be used by all districts (short-term).

11.7. Continue to work toward a common utility map that provides Utility District coverage(telephone, power, cable and other utilities) (mid-term).

11.8. Continue to fast-track high-priority projects and increase use of the Accelerated Bridge Project(ongoing).

11.9. Close roads more frequently and promote road closures to do work more cheaply, safely, andquickly (short-term).

11.10. Assign a task team, perhaps with external support, to implement the recommendations in thisreport (short-term).

Integration within VTrans and with Other State, Municipal and Federal Agencies

The Irene Recovery Report stated that “The success of Vermont’s transportation-related response toIrene is due in equal parts to the talented and dedicated staffs at multiple state agencies, as well as anunprecedented level of partnership and collaboration both outside of and within state government.”12

The report goes on to say that “making government more effective and flexible to the changes aheadwill require an increased ability to tear down the ‘silos’ of state government.”13

The Irene Recovery Report suggests a few specific agencies for VTrans to increase collaboration andpartnerships with, including ANR, RPCs, the Department of Tourism and Marketing, the US Army Corp ofEngineers, FEMA, and FHWA.14 To this list, we would add the state police, Building and General Services,and the utility companies as key partners with whom increased collaboration is necessary. Additionally,internally VTrans needs to promote integration of processes, especially prioritizing the integration ofdata. To accomplish this, time must be dedicated to forming and building relationships with internal andexternal partners so that different perspectives and shared goals can be discussed.

11Ishikura, Ko. Emergency Repairs Assessment Memo. Emailed to Al Neveau January 20, 2012, 2:16 pm. Unpublished.

12Lunderville, Neale. Irene Recovery Report: A Stronger Future. Unpublished report written for the Governor of Vermont.

2012. P. 4513

Ibid, P. 4514

Ibid, P. 46

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Recommendations to Improve Integration

12.1. Establish point people for initiating meetings with each of the above-mentioned partners. Thepoint person for each group should be responsible for working with the key partner to identifycommon goals, identify challenges to meeting those goals, and develop solutions to increaseeffectiveness with each group (short term).

12.2. Form a task group, including IT and end users, assigned to develop a system(s) for standardizingdata collection and data integration. Solutions need to be developed so that databases (NBIS,MATS, and BIZ) are seamless and work together (short term).

12.3. Increase contact between ANR and agency project managers and excavators, perhaps by havingANR conduct half-day trainings on river science a few times a year (short term).

12.4. The General Manager in District 2 is considering improving integration by inviting all projectstakeholders to the district once a year for a site visit. The goal of the visit would be to have allparties agree in principle on a design plan. We recommend encouraging this new approach andtracking its progress (short term).

Communications

In most agencies the size of VTrans, communication is a challenge. The increased use of cross-functionalteams, discussed above, should improve communication. Additionally, the agency might consider usingthe ICS approach of identifying communication specialists when conflicts arise. If all communicationflowed through these specialists, communication could improve. The one drawback to implementingthis communication protocol is that it would require clear communication processes and a culturalchange so that people would respect the new processes. While the process could be designed andimplemented, ensuring staff discipline in using it would be less than certain.

Recommendations to Improve Communication in Ongoing Operations

13.1. Consider the use of “communication specialists”, similar to those used in the ICS, for ongoingconflicts and crisis management (mid-term).

Information Technology

As became evident during Irene, there are many ways that technology can contribute to ongoing agencyinnovation. As we stated above, in order to implement innovation into ongoing operations the agencywill need 1) champions who are end users (as opposed to IT) willing to pilot and test new ideas; 2) thecapacity to design and map the new processes; and 3) the ability to develop policies and governancestructures for the new processes. If these three ingredients are in place, many IT innovations arepossible at VTrans. The agency’s general IT department and the operations divisions’ IT leaders werevery open to and excited about new IT possibilities when we spoke with them. However, others(champions, processes designers, and policy makers) will have to step forward for these innovations tobe tested and evaluated. The following list of recommendations should be prioritized based on thelevel of enthusiasm and interest from VTrans employees.

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Recommendations to Innovate VTrans IT Processes

14.1 Incorporate the use of GPS data cameras, iPads, smart phones, smart tablets, and other newtechnology in all operations. This technology should be embraced by all divisions and trainingand support provided. As a first step, begin to place new technology that was useful in the Ireneresponse into the hands of those who could benefit from it. The transition to GPS could beespecially useful as it is more aligned with other state government systems (i.e. safe dig, statepolice) while also standardizing site naming conventions.

14.2. Continue with the development and update of new series maps, such as bridge and culvert maps.14.3. Continue the use of electronic signatures and expand their use beyond MRAs.14.4. Eliminate paper whenever possible. Track people, equipment, materials, rooms, meals, and

inventory through a database. The database could become the control point for generating alltracking information and reports.

14.5. Districts need people able to provide first-line IT support and who can support new technology.District IT specialists need to be better utilized in all districts.

14.6. Stay engaged in social media in an ongoing manner. This will require someone to manage thecontent and clear policies governing its management.

14.7. During the Irene response, detailed, routine bridge inspection information was not readilyavailable and was not always provided to contractors prior to their site visits. Consider the use ofa bridge information database (such as PONTIS or 4D) so that such information can be obtainedthrough the web by anybody with prior approval by VTrans.

Operations

Incorporating innovations into ongoing operations has the potential to greatly improve organizationalefficiency and effectiveness. Many of the recommendations we collected regarding innovations inongoing operations relate to design changes, prevention procedures, and new operations practices.Additionally, creating a culture that is less risk-averse and finding ways to recruit more tech savvy youthsurfaced as important long-term goals.

Many prevention suggestions we heard were thought to be easily incorporated and relatively low cost.Incorporating considerations regarding flooding into bridge design criteria and increasing the use ofriprap on river banks were two such items. Additionally, Tom McArdle noted that, typically, culverts andbridges are frequently undersized resulting in their inability to carry high debris loads. Many points offailure occur on small, intermittent streams that are “typically out of right-of-way on private propertywhere funding assistance is not available. Left unchecked, repeated damages are likely. Montpelier hasnow ‘intervened’ in three channel stabilization projects which proved beneficial in preventing repetitivedamages.”15 More selective intervention/prevention work to stabilize streams, Tom believes, is needed.

Risk tolerance also emerged as a theme as we conducted our interviews. Many believed that the fastturnaround time VTrans accomplished in its recovery work could be attributed, in part, to its willingnessto take appropriate risks due to the severity of the circumstances. Those we spoke with wondered if itwould be possible to change VTrans’ culture to make it less risk-averse. One example of this has to do

15Email from Tom McArdle to Chris Cochran, February 7, 2012. 4:06 pm. Unpublished.

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with the ROW process, which is frequently slow as it attempts to meet everyone’s needs and desires.Spending a bit more money up front in ROW negotiations, or sometimes moving forward before a finalagreement is reached, might be more cost-effective in the long run than spending agency time andresources haggling over the final price.

As another example of increased risk tolerance during the Irene recovery, employees at all levels feltmore empowered to make decisions on their own. One person we spoke with thought it would be moreefficient if he could make ongoing decisions about work and priorities and replace the process of askingfor permission with a reporting process to inform his supervisor. While we believe the movementtowards a less risk-averse culture at VTrans would improve efficiency16 and morale, we also recognizethat state government in general, and VTrans specifically, have culturally engrained patterns ofoperating that will not be changed easily.

Finally, a few people we spoke with noted that much of the innovation that occurred during the Ireneresponse was directly attributed to the infusion of youth into VTrans. While recruiting tech savvy youthhas been difficult for the agency, we believe that finding ways to attract, develop and retain youth iscritical to ongoing innovation at VTrans. Some of the ideas listed above (incorporating more cuttingedge technology into operations, empowering employees at local levels to make more decisions, usingcross- functional teams, and mitigating state agency integration issues) should help with recruiting andretention. While we realize that other obstacles remain, one of the easiest ways to promote outside–the-box thinking is to hire new people who have not been “in the box” very long.

These and other recommendations, mostly related to changes in the design process and operationspractices, are listed below.

Recommendations to Promote Innovation During Ongoing Operations –General/Prevention

15.1. Work to recruit and retain young talent (long-term).15.2. Promote selective stream stabilization—even when prevention work is needed is on private

property (mid-term).15.3. Work to create a less risk-averse culture (long-term).

Recommendations to Promote Innovation During Ongoing Operations –Design Related

16.1. Include ability to withstand flooding in bridge design criteria (short term).16.2. Revisit riverbank design methodology and consider increasing the use of riprap (short term).16.3. Simplify design plans. Design plans prepared for consultants during the Irene response did not

follow the standard VTrans plan requirements and did not include Drainage and Item Details,Earthwork and Quantity sheets and did not list individual items on plan sheets. These omissionsallowed plans to be more quickly and efficiently delivered to VTrans. Minimizing information inthe design plans did not affect construction. VTrans should consider simplifying the design plansby omitting some of the repetitive information currently required to be shown on all VTransplans. This change would allow faster and more efficient delivery of plans by design engineers.

16Simon, H., The Proverbs of Administration (1946). In J. Shafritz, Ott, J., & Jang, Y., Classics of organization theory p. 115.

”Efficiency is enhanced by keeping at a minimum the number of organizational levels through which a matter must passbefore it is acted upon.”

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For example, most information shown on Drainage and Item Details and Earthwork and Quantitysheets, and a listing of individual items on the plan sheets, can be found in the estimate andelsewhere in the design documents and may be provided to VTrans as design back-updocuments. Simplifying design plans may reduce change orders during construction since thereare fewer chances of design discrepancies (mid-term)17.

16.4. Better utilize Route Logs. Route Logs provided by VTrans helped immensely in finding andidentifying structures and their locations. Route Logs should be kept up to date and be madeavailable to all design engineers to ensure that information in the Route Log is fully utilized in thedesign process (mid-term)18.

16.5. Design engineers found the procedures provided by VTrans for emergency hydraulic assessment,as well as the Draft Hydraulic Manual, to be thorough and straightforward. An update thatbrings the Draft Hydraulic Manual up to date with the current bridge manual would also behelpful (mid-term)”19.

17Ishikura, Ko. Emergency Repairs Assessment Memo. Emailed to Al Neveau January 20, 2012, 2:16 pm. Unpublished.

18Ishikura, Ko. Emergency Repairs Assessment Memo. Emailed to Al Neveau January 20, 2012, 2:16 pm. Unpublished.

19Ishikura, Ko. Emergency Repairs Assessment Memo. Emailed to Al Neveau January 20, 2012, 2:16 pm. Unpublished.

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Appendix A: Incident Command Recommended for VTrans

Level 1. A single incident commander at the central office is available for District Administrator’s requests for assistance

Level 2. Planning, logistics, and administration/finance chiefs are available to help the Unified Commander meet districts’requests.

Level 3. In this level of ICS activation, the Central Office has a full staff operating under the Unified Commander. There is alsoa liaison responsible for communicating with various State officials involved in the incident. The Unified Command is available

to meet requests from the various local Incident Command Centers established around the State.

UnifiedCommander

Central Office

DistrictAdministrator

DistrictAdministrator

DistrictAdministrator

Unified

Commander CentralOffice

Planning Chief Logistics ChiefAdministration/

Finance Chief

District Administrator

UnifiedCommander

Central Office

Planning SectionChief

InformationTechnology Chief

Logistics ChiefAdministration/

Finance Chief

IncidentCommander

Local ICC

Liaison

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Appendix B: Listing of those interviewed20

Organization Name Title

VTrans Gil Newbury Incident Commander

VTrans Joe Flynn Incident Commander

VTransScott Rogers

Unified Command - Director ofOperations

VTransRich Tetreault

Unified Command - Director ofProgram Development

VTrans Ann Gammell Operations Chief - Rutland

VTrans Dan Delabreuere Logistics Chief - Dummerston

VTransSusan Clark

Information Officer -Dummerston

VTrans Rob Gentle Ops Tech Services

VTrans Lenny LeBlanc Director of Finance and Admin

VTrans Kristin Higgins Planning Chief - Dummerston

VTrans Anne Candon Logistics Chief - Rutland

VTrans AngelaWoodbeck

Administration Chief -Dummerston

VTrans Morgan Tyminski Administration Chief - Rutland

VTrans Marlene Betit OPS Business Office

VTrans MarleneMcIntyre

F&A Business Office

VTrans Helen Estroff PDD Business Office

VTrans Coleen Krauss MRA CAT IIIs

VTrans Alec Portalupi Ops Tech Services

20 While the great majority of the recommendations we present in this report come from those we interviewed, we did not

agree with every recommendation we heard and therefore this report is not a complete list of suggestions from those weinterviewed. Additionally we occasionally used our professional expertise to reflect on suggestions and put them in thecontext of ICS or organizational theory. Therefore, a few of the recommendations presented are the Task Force’s synthesis ofideas we heard.

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VTrans Mike Hedges Structures

VTrans Bruce Nichols General Manager District 3

VTrans Carl Senecal Acting Foreman, NorthMontpelier Garage, Rutland ICC

VTrans Jonathan Croft Mapping - Fishbowl

VTrans Roger Lyon-Surrey

Mapping - Fishbowl

VTrans Kevin Viani Mapping - Fishbowl

VTrans David Hoyne Construction

VTrans Nick Wark Environmental - Hydraulics

VTrans Mladen Gagulic Rail

VTrans Chris Cole Director of Policy and Planning

VTrans Tammy Ellis Operations Chief - Dummerston

VTrans Chris Williams Planning Chief - Rutland

VTrans Rick Howard Safety Officer - Dummerston

VTrans Tom Hurd IT Section Head

VTrans Wayne Gammell Maintenance Administrator /Rutland ICC OPS

VTrans Rick Scott Mapping - Fishbowl

ANR / DEC Mike Klein River Management

Barry Cahoun

Army Corps of Engineers Marty Abair Senior Project Manager

Mike Adams

Federal Highway Administration Matthew Hake Division Administrator

Larry Dwyer Assistant Division Administrator

Roger Thompson

Contractors Cathy Voyer AGC

Roger Gilman Miller Construction, Inc.

Craig Mosher Mosher Excavating, Inc.

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David Markowski Markowski Excavating, Inc.

David Renaud Renaud Bros., Inc.

Consultants Ko Ishikura, P.E. Green International

NH DOT Butch Knowlton Director of Operations

(Vermont league of Cities & Towns) Steve Jeffrey Director

(Regional Planning Commission) MichelleBoomhower

Director

Peter Gregory Executive Director, TwoRivers/Ottauquechee

Tom Kennedy Executive Director, SouthernWindsor

Chris Campany Executive Director, WindhamRegional Commission

Buildings & General Services Mike "Obie"Obuchowski

Commissioner

NE Central RR Rick Bushey

VT Rail System Shane Filskov Operations Manager, Rutland,

Public Safety Colonel ThomasJ. L’Esperance

CVPS Brian P. Keefe Vice President ‐ Government and Public Affairs

FairPoint Communications Randy Chapman

National Guard Lt PhillipHarrington

White River Junction Focus Group Attendees

Michael Orticari Sal Balzanelli Paul Stratton

Warren Pratt, Jeremy Hoole Dennis Rhoades

Jerold Kinney, Robert S. Childs Timothy M. Hold

Chris Bump, Ervin Ricker

St. Johnsbury Focus Group Attendees

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Christine Emmons Dale Perron John Dunbar

Lance Duquette Shane Morin Shauna Clifford

St. Albans Focus Group Attendees

Dwight Robtoy Sharon Resseguie Christine Menard-O’Neil

Hobie Gates

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Appendix C: Task Force Member Overview

William C. Bress, PhD, DABFT holds a bachelor’s degree in biology from C.W. Post College and master’sand doctoral degrees in toxicology from St. Johns University. Prior to moving to Vermont, he worked inseveral clinical laboratories, a crime lab, and medical examiner’s office on Long Island. William workedfor the Vermont Department of Health from 1985 to 2011 as the State Toxicologist. He has 20 years’experience in emergency response, dealing with Vermont Yankee FEMA exercises and drills. He has alsoparticipated in chemical and biological Health Department Incident Command emergency responses.William served for 10 years on the Environmental Protection Agency Acute Exposure GuidelineCommittee, setting emergency evacuation standards for industrial accidents.

Denise Gumpper is the Agency of Transportation Contract Administration Chief, overseeing the workperformed by the Bid Services and Administration Unit; Construction Contracting Unit; Personal ServicesAgreements Unit; and the Prequalification, Special Agreements, and Grants Unit of the ContractAdministration Section. Prior to her move to Vermont this past July, Denise was an attorney in theContracts Administration Section of the Connecticut Department of Public Works.

Donna Holden provided administrative support to the team.

Greg Hessel, Principal of ReGeneration Resources, is a professional trainer, facilitator, and seniororganizational development consultant based in Brattleboro, Vermont. Greg works to helporganizations grow, change, and manage conflict. Greg does this by conducting assessments andproviding change management, process redesign, conflict management, team building, training, meetingfacilitation, and strategic planning services to organizations throughout New England.

Alan Neveau retired after a 39-year career with the Agency of Transportation. Al started his career atthe Materials & Research Lab, working his way through positions in Engineering and Planning until beingpromoted to the Local Transportation Facilities Program Manager. There, Al oversaw the manymunicipally-managed projects that the agency coordinates. Al’s oversight of LTF also included manyagency-managed projects such as bike paths, park-and-ride lots, and other capital assetimprovements. Recently, Al was asked back to the agency to coordinate some of the financial aspectsrelated to the Irene event.

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Appendix D: Glossary of Acronyms

VTrans Acronym IndexANR Vermont Agency of Natural Resources

COE U.S. Army Corps of Engineers

DDIR Detailed Damage Inspection Report

FEMA Federal Emergency Management Agency

FHWA Federal Highway Administration

ICC Incident Command Center

ICS Incident Command System

MATS Maintenance Activity Tracking System

MRA Maintenance Rental Agreement

ROW Right of Way

RPC Regional Planning Commission

SEOC State Emergency Operation Center

SEOP State Emergency Operation Plan

SOP Standard Operating Procedures

SSF State Support Function

VIPER VTrans Information Portal for Enterprise Resources

VEM Vermont Emergency Management

UC Unified Command

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Appendix E: A Summary of Recommendations—Emergency Response

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Recommendations for Incident Command

1.1. Assign personnel to be Incident Commanders and section chiefsduring an emergency.

1.2. Give those assigned the proper ICS training for their duties.

1.3. Ensure adequate resources for emergency response. Theseresources should include a review of communication equipment,ensuring adequate shift coverage for critical positions, determiningwhich roles need to be backfilled during an emergency response,giving key people in the ICCs administrative support to monitoremails and other communication, and considering emergency fleetcapacity when purchasing new vehicles.

1.4. Provide key personnel identified and trained for future ICC dutieswith state of the art technology (iPads, iPhones, etc.) to use on adaily basis.

1.5. Write a Standard Operating Procedure for VTrans ICS. SOPs shouldinclude standardizing financial processes, clarifying the role ofplanning, formalizing the role of IT, formalizing communicationprocesses, ensuring that the UC fully utilizes the ICS, and developinga three- tiered system as described above.

1.6. Learn background experience of all appointed staff team leaders tobetter understand their talents and ensure that the right people arein appropriate positions in ICS.

1.7. Think through the physical and geographic issues, includingidentifying the best locations for ICCs around the state. In our focusgroups, those furthest from the ICCs tended to experience the mostisolation and feel the most resource-depleted. Additionally,knowing where the UC will be established is critical.

1.8. Update the VTrans Continuity of Operations Plan to reflect the ICCstructure.

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Recommendations to Improve Internal Integration

2.1. In emergencies, continue to promote the use of cross-functionalteams.

2.2. Think of ways to better integrate those working on rail lines and thestate airport into the emergency operations.

2.3. Include a VTrans environmental liaison in the ICCS planning.

Recommendations to Improve External Integration

3.1. Develop stewardship agreements and memoranda ofunderstanding with key agencies to accommodate emergencyresponse efforts. These agreements should include betterdefinitions of who is responsible for what in emergencies andwhere jurisdiction lies, and protocols for state personnel to identifythemselves in the field during an emergency (short-term).

3.2. Convene a meeting this summer (before stakeholders forget thisevent) to allow towns, VTrans, ANR, COE, FHWA, FEMA, VEM, RPCs,and/or other state agencies to discuss the “who’s and what’s” ofresponsibility and contacts for any future events.

3.3. Incorporate the RPCs, ANR, FEMA, and FHWA into ICC planning.

3.4. Develop protocols for working with key agencies in emergenciesincluding finding ways to identify all state workers in emergencies.Additionally, work to ensure that all key agencies are engaged fromday one.

3.5. Work to ensure that all state agencies use the same districts in anemergency. Having the state police, LEPC, RPCs, and others allconceiving districts’ boundaries differently creates confusion. Evenif this cannot be achieved, VTrans district lines, because they areirregular and include “fingers”, probably should be ignored whenthinking of the geographic parameters of the different ICCs (long-term).

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3.6. As the state public assistance program is transferred from VTrans toVEM, it will be important that VEM (with VTrans support) pushFEMA to pay for all eligible activities, including those designed toimprove river management and prevent future floods. To this end,a full-time Attorney General assigned to work with FEMA has beenidentified as a need and should be actively pursued.

3.7. Different requirements from FEMA for PA funds and FHWA for ERfunds created confusion. Therefore VTrans should work with FEMAand FHWA to explore possible changes to better align the PA and ERrequirements (short-term).

Recommendations for Training

4.1. Conduct an annual training in disaster response for staff at all levels.While pre-identified leaders need the most training, those at thefront lines also need to better understand roles. Training shouldinclude checklists and emergency standard operating procedures(SOPs), especially with regards to how finances are handled. Amanual should be developed, possibly with the help of other statesthat have already written them. Clarity regarding Detailed DamageIncident Reports (DDIRs) should be included in the training manual.

4.2. Pocket manuals should be developed for individuals in the ICC units.Each section head (Logistics, Planning, Operation, Finance) wouldreceive a pocket manual. The manual would document whoresponds, what they do, where they go, and when they do it, as wellas FAQs addressing ICC operations.

4.3. Use ongoing mini-disasters as a chance to practice and evaluate theskills of potential leaders.

4.4. If new technology is not incorporated into ongoing operations,develop a plan to support technology used in emergency response.

4.5. Clarify the role of VTrans in training key stakeholders, includingcontractors, towns, RPCs, DPW, and subcontractors.

4.6. Incorporate river management principles into VTrans Operation’straining institute as one method of institutionalizing riverengineering into infrastructure engineering.

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Recommendations for Contract Administration

5.1. Compile a “Contractor Registry” database as described above.

5.2. Develop a standardized electronic Contract Processing system asdescribed above.

5.3. Develop an emergency administrative packet for use by ICC/UCAdministrative Teams that also is available electronically. Theadministrative packet will include a clear explanation of theinvoicing process, the contracting process, the DDIR requirements,the levels of emergency, safety protocols, and the different fundingsources for emergency work.

5.4. Develop an emergency packet for use by contractors doingemergency work, including the materials listed in 5.3 above.

5.5. Develop an “Emergency Waiver” process. When an emergency ofappropriate level has been determined and declared by theadministration, the waiver would allow a pre-establishedemergency process to take effect for agencies involved in theemergency response. These emergency processes will have to bedefined and developed

5.6. Review and standardize the process for paying contractors toensure more prompt payment.

5.7. Explore alternative emergency contracting processes that include,but are not limited to, changes to MRAs.

Recommendations for Information Technology

6.1. Develop an active master distribution list for users of iPhones andcell phones to avoid time wasted hunting for numbers during anemergency. This list could be downloaded by new users in anemergency.

6.2. While some staff do not think MATS is ideal for emergency response,others believe that issues with MATS were a result of VTrans’ limitedcapacity to provide support. This lack of support led to bottlenecks,

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inefficient use, and frustration. If MATS is used as an agency-wideapplication, VTrans must increase capacity in, and support for MATS.

6.3. Explore the use of cloud technology, including having MRAs andEnvironmental Permits (Joint ANR and COE) for emergencyresponders to use in the field that would populate a warehouse andfacilitate processing via the Internet so that all parties involvedcould see pending action items in real time.

6.4. Continue to use the Google Maps application in emergencies .

6.5. Consider storing HR documents, maps, and other ICC contactinformation in a central place (perhaps on VIPER). This could beaccomplished by developing a section in VIPER for emergencyinformation. Email distribution of maps during the response wasnot experienced as efficient.

6.6. Initially, Irene response data was stored in many different places,leading to confusion. Once the R drive was put into use, datastorage issues were greatly mitigated. The R drive should be usedfrom day one in emergencies.

Recommendations for Workflow

7.1. Develop a process to keep track of equipment lent to contractors.

7.2. Develop a process to improve tracking of materials fromcontractors used on sites. Due to the scale of the sites, trackingmaterials seemed to be an issue commonly experienced. Oneprocess that seemed to help was to have an administrative staffmember on site recording materials as they were delivered.Regardless of the specific process or solution, developing a systemahead of time for tracking materials should help ensure accuracy ofinvoices and help expedite payments to contractors (short-term).

7.3. The DDIR process was confusing to those who performed it. Thereseemed to be a lack of clarity as to who owned this process (ICCs orUC) and not enough training in how the work should be carried out.The agency also seems to lack the capacity to train people in DDIR

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writing, creating a bottleneck and confusion. Addressing the needsof this process will be important to improving future emergencyresponses.

Recommendations for Improving Communication

8.1. Having neutral observers visit the ICCs worked well and should berepeated

8.2. Develop internal emergency communication systems and protocolsto minimize communication overload and feelings of being micro-managed. These should include clarifying when communicationshould flow through UC and when VTrans staff could contact theICCs directly; how communication regarding hiring should behandled in an emergency; who at UC communicates with the ICCs;and who at the ICCs communicates with the UC. Encouragingdiscipline in using protocols is also important

8.3. Work to identify and ensure that the right equipment is on hand inemergencies. This should include the exploration of emergencyuses of portable cell towers, an assessment of state radios and cellphones, and an assessment as to the usefulness of VTrans investingin emergency software such as DisasterLand.

8.4. Work with partner agencies to develop external communicationprotocols. At a minimum, this should include clarifying how to bestcommunicate with the towns, how to ensure timely informationgets to the Emergency Operations Center (EOC), and how toimprove the 511 system.

8.5. Develop communication contingencies for emergencies that takeout power and cell reception for long periods of time. While this isa worst-case scenario, it is important to spend time assessingoptions and developing a plan for this contingency

Recommendations for Improving Operations

9.1. Develop a procedural “Emergency Design Manual” for use by bothstate and local forces when re-establishing slide slopes for river

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banks in an emergency.

9.2. Clarify the level of testing and documentation expected inemergency response efforts. There was some ambiguity as to thelevel of testing and documentation that was required of thoseteams constructing new roads. This led to slightly differentprocesses and priorities in the two ICCs. Clarifying expectations willhelp standardize ICC procedures.

9.3. Better utilize technology for gathering and sharing informationimmediately after the emergency. One option would be having adesignated crew survey damage via helicopter (or using a stateairplane) and stream video to the situation room so discussion anddecisions about repairs could be made instantly by qualified people.Satellite imagery and LIDAR technology should also be consideredfor appropriate application. In addition to getting betterinformation this would also add another layer to the prioritizationof roads—not only prioritizing based on the importance of theroute, but also on the ability to get them open quickly. Waiting forinformation from scouts was time- consuming and less useful than avideo stream would have been (short term).

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Appendix F: Summary of Recommendations—Ongoing Operations

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High-Level Recommendations for Ongoing Innovation

10.1. Increase the use of cross-functional teams within the agency.

10.2. Consider the need to increase capacity in documenting newprocesses.

10.3. Prioritize integration and strive to improve working relations withother state agencies.

10.4. Commit to continual learning and innovation and considerdeveloping a team to vet innovative ideas and encourage anyonewilling to champion an idea to submit a request for innovation.

Recommendations for Improving Ongoing Processes andWorkflow

11.1. Work to streamline the permitting process (start in the short termwith hope of completing work in the mid-term).

11.2. Evaluate other processes for the need to streamline. This workshould include continued revamping of the Right of Way (ROW) andcontracting processes, exploring ways to streamline the designprocess (perhaps by keeping more design work in the districts andusing processes with less documentation when federal dollars arenot being used), and evaluating other processes that employeesthink could be more effective (evaluate in short term, commit toredesign in the mid-term).

11.3. Consider the use of a rotation program for interagency cross-training. This, like cross-functional teams, could mitigate thenegative impact of silo thinking and add capacity to criticalpositions in emergencies.

11.4. Move away from committees towards the use of “task groups” towork on all high priority projects.

11.5. Consider changes to how Maintenance of Record Drawings arehandled within VTrans. During the emergency repairs, there wasone person assigned to a consulting team (Green International) who

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could be contacted to help find record plans and other additionalexisting information about the structures and roadways beinginspected, enabling contractors to know whom to contact whendrawings from VTrans were needed. Under typical design projects,record drawings are obtained through VTrans Project Managers, atask that can be burdensome to them. It would be beneficial tohave a specific contact at VTrans who acts as a custodian of all therecord drawings. Those who want record drawings can contact thiscustodian to acquire them. Rhode Island and Massachusetts have acustodian and a room to keep all their record drawings.

11.6. Increase use of outside hired flaggers to allow for larger work crewsand to ensure skilled workers are operating at full capacity.Additionally, consider establishing a statewide MRA for trafficcontrol. This MRA could be used by all districts.

11.7. Continue to work toward a common utility map that provides UtilityDistrict coverage (telephone, power, cable and other utilities).

11.8. Continue to fast-track high-priority projects and increase use of theAccelerated Bridge Project.

11.9. Close roads more frequently and promote road closures to do workmore cheaply, safely, and quickly.

11.10. Assign a task team, perhaps with external support, to implementthe recommendations in this report.

Recommendations to Improve Integration

12.1. Establish point people for initiating meetings with each of theabove-mentioned partners. The point person for each groupshould be responsible for working with the key partner to identifycommon goals, identify challenges to meeting those goals, anddevelop solutions to increase effectiveness with each group.

12.2. Form a task group, including IT and end users, assigned to develop asystem(s) for standardizing data collection and data integration.Solutions need to be developed so that databases (NBIS, MATS, andBIZ) are seamless and work together.

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12.3. Increase contact between ANR and agency project managers andexcavators, perhaps by having ANR conduct half-day trainings onriver science a few times a year.

12.4. The General Manager in District Two is considering improvingintegration by inviting all project stakeholders to the district once ayear for a site visit. The goal of the visit would be to have all partiesagree in principle on a design plan. We recommend encouragingthis new approach and tracking its progress.

Recommendation to Improve Communication in OngoingOperations

13.1. Consider the use of “communication specialists”, similar to thoseused in the ICS, for ongoing conflicts and crisis management.

Recommendations to Innovate VTrans IT Processes

14.1. Incorporate the use of GPS data cameras, iPads, smart phones,smart tablets, and other new technology in all operations. Thistechnology should be embraced by all divisions and training andsupport provided. As a first step, begin to place new technologythat was useful in the Irene response into the hands of those whocould benefit from it. The transition to GPS could be especiallyuseful as it is more aligned with other state government systems(i.e. safe dig, state police) while also standardizing site namingconventions.

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14.2. Continue with the development and update of new series maps,such as bridge and culvert maps.

14.3. Continue the use of electronic signatures and expand their usebeyond MRAs.

14.4. Eliminate paper whenever possible. Track people, equipment,materials, rooms, meals, and inventory through a database. Thedatabase could become the control point for generating all trackinginformation and reports.

14.5. Districts need people able to provide first-line IT support and whocan support new technology. District IT specialists need to be better

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utilized in all districts.

14.6. Stay engaged in social media in an ongoing manner. This will requiresomeone to manage the content and clear policies governing itsmanagement.

14.7. During the Irene response, detailed, routine bridge inspectioninformation was not readily available and was not always providedto contractors prior to their site visits. Consider the use of a bridgeinformation database (such as PONTIS or 4D) so that suchinformation can be obtained through the web by anybody withprior approval by VTrans.

Recommendations to Promote Innovation During OngoingOperations –General/Prevention

15.1. Work to recruit and retain young talent.

15.2. Promote selective stream stabilization—even when preventionwork is needed is on private property.

15.3. Work to create a less risk-averse culture.

Recommendations to Promote Innovation During OngoingOperations –Design Related

16.1. Include ability to withstand flooding in bridge design criteria.

16.2. Revisit riverbank design methodology and consider increasing theuse of riprap.

16.3. Simplify design plans. Design plans prepared for consultants duringthe Irene response did not follow the standard VTrans planrequirements and did not include Drainage and Item Details,Earthwork and Quantity sheets and did not list individual items onplan sheets. VTrans should consider simplifying the design plans byomitting some of the repetitive information currently required tobe shown on all VTrans plans. This change would allow faster andmore efficient delivery of plans by design engineers. For example,most information shown on Drainage and Item Details andEarthwork and Quantity sheets, and a listing of individual items onthe plan sheets, can be found elsewhere in the design documents

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and may be provided to VTrans as design back-up documents.Simplifying design plans may reduce change orders duringconstruction since there are fewer chances of design discrepancies.

16.4. Better utilize Route Logs. Route Logs provided by VTrans helpedimmensely in finding and identifying structures and their locations.Route Logs should be kept up to date and be made available to alldesign engineers to ensure that information in the Route Log is fullyutilized in the design process.

16.5. Design engineers found the procedures provided by VTrans foremergency hydraulic assessment, as well as the Draft HydraulicManual, to be thorough and straightforward. An update that bringsthe Draft Hydraulic Manual up to date with the current bridgemanual would also be helpful”.