A Pre-Event Recovery Planning Guide for Transportation (2013)

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25 Fundamentals of Emergency Management (Lindell et al. 2006) lists disaster recovery functions grouped into categories of disaster assessment, short-term recovery, long-term reconstruction, and recovery management, as shown in Figure 7. NCHRP Report 525: Surface Transportation Security—Volume 16: A Guide to Emergency Response Planning at State Transportation Agencies (Wallace et al. 2010) identified phased recov- ery tasks that include the following: • Restoring essential services including conducting damage assessments, removing debris, and providing access for essential services. • Re-establishing traffic management in affected area by coordinating restoration plans with affected communities and governmental operations. • Allowing re-entry to affected areas for evacuated residents and others restoring transportation- supporting infrastructure. • Conduct emergency and long-term repairs such as infrastructure repair, reconstruction, and decontamination. In addition, recovery “keys to success”—the decisions, actions, and processes that can help expedite the overall recovery process—have been identified in recovery research and case studies of incidents that impacted transportation infrastructure. Figure 8 summarizes the keys to success for emergency management recovery functions most relevant to pre-event recovery planning along with those relating to communications and coordination. Some of the keys to success listed in Figure 8 are pre-event tasks such as identifying repair and replacement approaches in advance and pre-qualifying contractors. Other keys to success, which can only occur post-event, can be supported by pre-event efforts. For example, critical infrastructure identification and vulnerability assessments can be drawn upon to support the prioritization decisions that must be made during recovery. Figure 9 summarizes major decisions and key tasks that typically can be done before an event to prepare for the recovery of transportation critical infrastructure along with the related post- event tasks. These major decisions and key tasks are based on observations and effective prac- tices. The sections that follow address each decision and related tasks in more detail. Effective practices and recommended approaches are included. Appendix A provides resources including checklists, worksheets, and tools to assist in the process. An incident involving chemical, biological, or radiological (CBR) agents will result in signifi- cant disruption of services. Compared to more common natural disasters, CBR incidents involve unique challenges and require significant operational adjustments. Pre-event planning has been found to be essential in handling these kinds of incidents. Having a restoration plan vetted in advance and facility personnel trained beforehand substantially reduces the overall time for C h a p t e r 5 Key Tasks of Pre-Event Recovery Planning

26 a pre-event recovery planning Guide for transportation restoration and recovery. Appendix D provides more detailed information on decontamination of hazardous materials. Identification/Prioritization of Infrastructure • Which infrastructure or key facilities are most at risk? • What infrastructure is critical to operations and to the community? • Are there any alternatives available for the infrastructure? It may not be possible to identify and document every transportation facility or asset or plan for their recovery as the potential impacts can be endless and constantly changing. A Disaster Assessment Rapid assessment Preliminary damage assessment Site assessment Needs assessment “Lessons to be learned” Short-Term Recovery Infrastructure restoration Debris management Emergency demolition Repair permitting Long-Term Reconstruction Hazard source control and area protection Land use practices Building construction practices Infrastructure resilience Historic preservation Environmental recovery Recovery Management Agency notification and mobilization Mobilization of recovery facilities and equipment Internal direction and control External coordination Public information Recovery legal authority and financing Administrative and logistical support Documentation Source: Adapted from Fundamentals of Emergency Management (Lindell et al. 2006). Figure 7. Disaster recovery functions. Recovery Keys to Success Short-Term Recovery A phased approach using temporary solutions and multimodal approaches can expedite recovery. Traffic safety, user convenience, and the restoration of economic supply chains depend on timely debris removal and efficient detours. Long-term Recovery Effective practices include the following: • Identification of repair and replacement approaches in advance • Pre-qualification of contractors and architects/engineers • Expediting contracting and construction approaches • Incorporating accelerated construction technologies • Maintaining design drawing and specifications Early decisions as to using the “as-built” design or redesigning the structure determine the minimum recovery time achievable. Recovery Management Define clear disaster policies and practices in advance. Streamline administration and accelerate the approval process for emergencies. Preparation, planning, and practice involving the parties who will play the major roles in recovery prior to event can expedite recovery. Communications and Collaboration Clear and streamlined communications, with coordination and a cooperative attitude among all of the stakeholders in the process is critical. Early information communication among responders, engineers, and all other impacted stakeholders, including the media, is essential. Figure 8. Recovery keys to success by recovery function.

Key tasks of pre-event recovery planning 27 decision process for deciding which facilities should be addressed can be established. Based on review of case studies and research literature, the recommended decision process includes the following: • Inventory of the critical assets in the transportation system and the potential hazards. • Assessments based on risk, consequences, financial impacts, and recovery options. • Prioritization incorporating community needs, operational importance, and business goals. Transportation assets consist of people, property, and information. This discussion will focus on physical assets—transportation infrastructure, facilities, and vehicles. Critical infrastructure and facilities are those “required to enable the organization to execute its primary responsibili- ties, activities, and functions” (Frazier, Sr., Nakanishi, and Lorimer 2009). Table 4 provides an overview of pre-event tasks, considerations, and related approaches/plans that can help identify and prioritize critical assets. In addition, AASHTO guidance on assessment and prioritization, National Transportation Recovery Strategy guidance, and an asset management system can help with identification and prioritization of critical assets. Discussion of each of these resources follows. Figure 9. Recovery major decisions and key tasks. Event Which infrastructure? Critical infrastructure identification Vulnerability/risk assessment Business impact assessment Recovery prioritization Repair or replace? Repair/replace criteria Damage assessment/classification system Site assessment Rapid assessment Damage assessment Traffic detour? Alternate route selection Temporary structure sources Pre-position supplies and inventory Short-term recovery Demolition? MOUs and contracts in place Specialized equipment sourcing Long-term recovery and reconstitution Demolition Design? Design decisions and approaches Design drawing and specification maintenance Design Contract? Pre-qualify contractors Establish expedited contracting procedures Model contract development Contracting Construction? Accelerated construction approaches identification Construction Project management? Project management/delivery approach Pre-qualify construction/project management Management Permits and approvals? State/federal regulations Land use practices Environmental requirements Federal/state approvals and waivers Funding? Identify sources of funds Recovery funding Decision Resource for Recovery Recovery Expediter MAJOR DECISIONS KEY TASKS Pre-Event Post-Event • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • •

28 a pre-event recovery planning Guide for transportation AASHTO Guidance on Assessment and Prioritization AASHTO has issued A Guide to Highway Vulnerability Assessment for Critical Asset Identifica- tion and Protection (Science Applications International Corporation 2002) to assist in identifying and prioritizing critical assets. Along with describing an approach for identifying critical infra- structure assets, A Guide to Vulnerability Assessment for Critical Asset Identification and Protection suggests criteria that include conditions, concerns, consequences, and capabilities that can be used to prioritize the identified critical assets. A general listing of the information components to be gathered that can assist in the prioritization processes and a prioritization factors table with relative values for the prioritization factors (based on the survey done for A Guide to Vulnerability Assessment for Critical Asset Identification and Protection) is also provided. National Transportation Recovery Strategy Guidance The National Transportation Recovery Strategy (U.S. DOT 2009) recommends completing the following actions that can assist in asset prioritization prior to an event: • Develop a Business Impact Analysis (BIA) to determine the financial loss that could incur if the transportation system or infrastructure were to be damaged or destroyed that includes consideration of the economic, logistical, and social impacts on the community. The results of the BIA can assist in the determination and prioritization of critical trans- portation infrastructure. • Develop a COOP using the results from the BIA that is reviewed, exercised, and enhanced on a regular basis. The COOP can assist in identifying which infrastructure and critical facilities have alternates that can be quickly made available after an event. The COOP annex on “Reconstitu- tion” provides an opportunity to include information on which infrastructure assets might need to be replaced or relocated in the process of resuming normal agency operations. • Review Risk Assessments by working with local emergency management officials to under- stand what the risks are and their probability of occurrence in your community and on your infrastructure. Information on potential hazards, including probability and possible effects, can be obtained from FEMA, State Emergency Management and Civil Defense Agencies, the Pre-Event Tasks Considerations Related Approaches/Plans Identify critical infrastructure. Incorporate vulnerability assessments and hazard mitigation planning. Include the concepts of economic development in critical assessment. This is often already done for transportation investment. Take advantage of asset management systems and related tools such as Costing Asset Protection: An All Hazards Guide for Transportation Agencies (CAPTA). Risk Assessments Hazard Mitigation Plan Long-Range Planning Transportation Improvement Program (TIP) Asset Management System Identify priorities. Include operational importance and business goals. Incorporate community and economic goals. Work with Protective Security Advisor (PSA) to determine parts of network that are considered a Tier 1 or Tier 2 asset per the National CIKR Prioritization Program. Business Impact Analysis Lifelines Identification Long-Term Community Recovery Plan Table 4. Critical infrastructure prioritization pre-event tasks and considerations.

Key tasks of pre-event recovery planning 29 National Weather Service (NWS), the EPA, the U.S. Geological Survey (USGS), the USACE, and the Department of Natural Resources (DNR). Asset Management System An asset management system can be used as a tool to document and manage critical assets. The inventories of key infrastructure including roadway and rail segments; bridges, tunnels, and other structures; signage and traffic control devices; communication systems; buildings; and other fixed assets in an asset management system could provide rich and malleable data sets to support recovery. An asset management system could assist recovery pre-planning and accelerate recovery decision-making by • Identifying and prioritizing critical infrastructure • Developing an accurate snapshot of the “before” condition • Facilitating the development of reprocurement guidelines and contracts • Identifying the potential resilience and lifecycle improvements that could be made to improve the asset during recovery Although none of the states surveyed for this research have connected their asset manage- ment system to pre-disaster planning and recovery, a logical link between the two does exist. This connection has been indirectly identified and explored in several Transportation Research Board reports. NCHRP Report 551: Performance Measures and Targets for Transportation Asset Management (Cambridge Systematics, Inc., PB Consult, Inc., and Texas Transportation Institute 2006) inves- tigates the current state of practice for the integration of performance measurements in asset management systems. The report establishes categories of performance measurements, one of which is preservation. The applied definition of preservation measurement includes actions required to maintain the asset in a condition of good repair during emergency situations. Pres- ervation is a founding principle of asset management and by prioritizing the preservation of infrastructure and a state of good repair, asset owners can reduce the chance that an incident will cripple or destroy infrastructure. The natural progression of system preservation is the iden- tification and application of specific mitigation that would increase the likelihood that an asset would withstand natural and manmade events. NCHRP Report 525: Surface Transportation Security—Volume 15: Costing Asset Protection: An All Hazards Guide for Transportation Agencies (CAPTA) (Science Applications International Corporation and PB Consult 2009) provides a guide for developing system-wide budget esti- mates for an all hazards approach to mitigation rooted in NIMS. It uses asset type and profiles to identify recommended countermeasures and accompanying costs. States that already employ comprehensive and fully integrated asset management systems will have already compiled the necessary information to execute the evaluation program. NCHRP Report 525: Surface Transportation Security—Volume 16: A Guide to Emergency Response Planning at State Transportation Agencies (Wallace et al. 2010) identifies the need for improving construction and maintenance methods to mitigate risk of failure during emergency events. An asset management system would be a natural tool for implementing this goal. Repair or Replacement Criteria and Options • Should the infrastructure be replaced? • What options are there for repairing the infrastructure? • Should the infrastructure be relocated? • Are there historic preservation or environmental concerns that need to be addressed?

30 a pre-event recovery planning Guide for transportation When transportation infrastructure is damaged or destroyed during a disaster, the impacted structures will either be repaired or replaced. One of the earliest challenges to recovery is gaining an understanding of the extent of damage and what is required to repair and restore the damaged infra- structure. Establishing the repair/replace criteria before an event occurs can expedite the recovery. Although damage assessments can only be conducted after an event, becoming familiar with the assessment process and who is responsible provides a head start on the recovery process. Multiple organizations—from state and local DOTs to federal regulatory agencies—are likely to be involved in damage assessment, and each may have their own methodology and time- frame requirements. Table 5 provides an overview of pre-event tasks and considerations that can assist in repair/replacement of critical assets. Appendix C provides more information on damage assessment and what can be done prior to an event to help expedite the recovery pro- cess. Discussed below are three effective pre-event practices for expediting repair/replacement of critical assets in the event of a disaster: making pre-event decisions on marginal/inadequate infrastructure, use of “What If” templates, and documentation of repair/replacement criteria in the Reconstitution Annex of COOP. Making Pre-Event Decisions on Marginal/Inadequate Infrastructure For infrastructure already identified as marginal and inadequate, repair or replacement decisions can more easily be made prior to an event. The “Transportation Recovery Annex: Catastrophic Disaster Coordination Plan” (2011), developed by transportation stakeholders in the Washington State region, includes this recommendation that can apply to other states and regions: Many jurisdictions have identified marginal or inadequate structures (e.g., bridges that create traffic bottlenecks, bridges that will need to be replaced, addition of bike lanes or high occupancy vehicle lanes on bridges, etc.) that may need future improvements or additional capacity. In an effort to expedite recovery, local jurisdictions should prepare design/build requests for proposals (RFPs) that can be issued quickly after a major disaster for structures that may need replacement. (X-6) Use of “What If” Templates While all potential repair/replacement approaches cannot be identified in advance, the process of asking “what if” questions provides opportunities to discover innovative solutions. London Pre-Event Tasks Considerations Identify rebuild versus relocate criteria. Determine repair/rebuild priorities. Consider infrastructure condition, e.g., planning to replace infrastructure identified as marginal or inadequate. Assess impact on network, e.g., repairable structures that restore most of the lost regional networks given higher priority. Address historical preservation requirements when applicable. Identify potential alternate sites for relocation. Consider whether re-siting to a reduced-risk location is an option. Prepare/project cost estimates for replacement and for possible land acquisition, if necessary. Identify mitigation approaches to incorporate such as seismic retrofitting, elevation changes, and flood proofing. Coordinate with Hazard Mitigation Plans to incorporate hazard mitigation into recovery planning. Table 5. Repair/replace pre-event tasks and considerations.

Key tasks of pre-event recovery planning 31 Transit planners use a series of “considerations” or templates of options to consider instead of creating the more commonly used decision trees. Each template provides the pros and cons for potential approaches or actions for different scenarios. The templates provide the benefit of thinking through the consequences before an event occurs. The information from the templates can support faster recovery through more informed, and as a result, more effective decisions. Documentation of Repair/Replacement Criteria in the Reconstitution Annex of COOP As part of COOP, the annex on reconstitution is an opportunity to include information on which infrastructure assets might need to be replaced or relocated in the process of resuming nor- mal agency operations. FEMA has produced Reconstitution Plan/Annex Template and Instructions (National Continuity Programs 2011), which provides structure and recommended content for developing a Reconstitution Plan/Annex. Reconstitution Level 3 (Long-Term Planning) is focused on cases in which a facility has been severely damaged or damaged beyond repair. Organizations are encouraged to tailor their Reconstitution Plan/Annex to meet their specific continuity plan- ning and operational needs. Temporary Structure/Traffic Detour: Short-Term Recovery • What options are there for traffic detours? • Can a temporary structure be used? What temporary structures are available? • What actions can be taken now to prepare? Taking a phased approach to recovery such as using temporary solutions and considering multimodal approaches was found to expedite recovery. Short-term recovery efforts often overlap with response and focus on providing essential services and re-establishing critical transportation routes. Short-term solutions may provide a longer term redundancy, increas- ing the resiliency of the transportation network going forward, an approach recommended in the NTRS. Short-term recovery decisions can have long-term implications. For example, bridge closures, locations selected for debris sites, and decisions about infrastructure restoration can limit longer term options. Often long-term recovery efforts can only begin after short-term tasks, such as restoration of at least minimal service capacity, have been completed. Identifying in advance the decisions with the potential to have the most influence on long-term plans and addressing them through pre-event recovery planning can help maintain the balance between short-term needs and long-term recovery goals. Table 6 provides an overview of pre-event actions and consider- ations that can assist in determining short-term recovery options such as repair or temporary replacement of critical assets. Effective practices discussed below are establishing traffic mitiga- tion and prioritization in advance, pre-positioning of supplies, and maintaining a supply of temporary structures and developing a policy for their use. Establishing Traffic Mitigation and Prioritization in Advance Transportation mitigation strategies can be grouped into categories based on the objectives and methods of the strategy such as increasing capacity on existing lanes, using technology to divert or redirect traffic, and demand management. The strategies can also be organized by the phase of the recovery effort in which they usually occur. The Puget Sound Recovery Plan included transportation mitigation strategies from how to increase capacity on existing lanes to demand management and identified which of the individual strategies could be applied during short-, mid- or long-term phases of recovery. When determining potential mitigation strategies,

32 a pre-event recovery planning Guide for transportation it is recommended to also establish a traffic prioritization scheme that determines which type of traffic has priority over another type for a certain location or time period. After the 9/11 attacks severely damaged PATH and Metropolitan Transportation Authority (MTA) transit services, transportation operators in New York City developed transportation alternatives for traveling to lower Manhattan. Additional ferry services were quickly established to get New Jersey residents to New York City and back. Pre-Positioning Supplies As Hurricane Katrina was approaching the Gulf Coast, trainloads of rail repair supplies such as ballast, ties, and emergency equipment were staged outside the immediate storm area, and camp cars were put in place to support maintenance crews. These pre-positioning activities allowed the Class 1 railroads to reopen most of their lines in the New Orleans area within days of Katrina’s landfall. As a result, the freight rail systems were able to play an integral role in post- Katrina recovery efforts by transporting heavy equipment, supplies, and relief equipment into the greater New Orleans region and along the Gulf Coast. Maintaining a Supply of Temporary Structures and Developing a Policy for Their Use After a fire damaged the I-87 New York Thruway Bridge, the bridge was removed and two temporary pre-fabricated bridges were installed on a portion of the original site to carry Pre-Event Tasks Considerations Determine temporary structure versus existing detour route criteria. Select alternate or detour routes in advance. Develop short-term infrastructure options and include multimodal solutions. Maintain list of utilities and updated contact information. Coordinate with Continuity of Operations (COOP) process. Include impact on other modes of transportation. Consider developing multiple options, such as using undamaged portions of infrastructure. Incorporate integrated multimodal options— highway, transit, maritime, rail, and aviation— where possible. Coordinate with utility purveyors for utilities in rights-of-way. Establish process for acquisition of temporary structures. Identify options for standardizing components and using pre-fabricated elements. Identify suppliers for pre-fabricated structures. Identify locations to stockpile and pre-position supplies and resources. Compile databases with critical recovery information such as location of fuel resources. Consider maintaining an inventory of temporary bridges and pre-fabricated buildings. For example, evaluate suitability and availability of existing state and national pre-fabricated bridge standards. For example, pre-fabricated bridges and temporary structures such as pre-fabricated buildings. Consider stockpiling of components. Evaluate regional stockpiles and locations outside vulnerable areas. Get conditional waivers in advance for short-term use of certain assets that may carry weight, size, or material restrictions, if required. Understand weight limits and requirements for transport of equipment and supplies. Table 6. Temporary structure/detour pre-event tasks and considerations.

Key tasks of pre-event recovery planning 33 the traffic flow while the bridge was reconstructed. Some states maintain an inventory of temporary structures and supplies for short-term recovery. For example, temporary bridge material is kept in locations around the state of Vermont for emergency use. In addition, a policy has been developed that addresses the requirements for emergency use and estab- lishes limits on the duration of use to ensure that the temporary bridges do not become long-term solutions that then limit their availability for future emergencies. A copy of the Vermont DOT “Temporary Bridge Request Form” for temporary bridge facilities is provided in Appendix A. Demolition: Partial or Complete • Can a partially damaged structure be demolished without doing further damage to the rest of the structure? • Is specialized demolition required, such as underwater demolition? • What equipment would be required for demolition, such as concrete shears or other cutting devices? • Will worker safety concerns at the site limit conventional methods, e.g., working adjacent to power lines or over water? • How should debris removal, hazardous materials, and decontamination be handled? A key to rapid recovery is how quickly the demolition and restoration can begin after the event. When a gasoline tanker accidentally crashed on the MacArthur Maze in Oakland, California, a firm that had just finished reconstruction work on the San Francisco Bay Bridge approach was able to redirect workers and equipment almost immediately to begin clearing debris. During the response to the London 7/7 transit bombings, access arrangements and permissions were granted for crews to begin planning and to determine specific equipment needs such as large cranes. Along with access, there are other challenges typically involved in the demolition of infrastruc- ture such as how to demolish a partially damaged structure without causing further damage to the remaining structure? Or how to conduct the demolition? Should it be conducted underwater or in environmentally sensitive areas? During the recovery of the I-40 Webbers Falls Bridge in Oklahoma, which had been struck by barges that partially collapsed the structure, construc- tion crews faced both of these challenges. One span, which had fallen into the river, had to be removed through underwater demolition. Another partially damaged span rested on the barges that struck the bridge at one end, with the other end still attached to the undamaged portion of the bridge. To prevent further damage to the structure, the barges had to be stabilized and con- stantly monitored for movement during demolition. Table 7 provides an overview of pre-event actions and considerations that can assist in demolition decisions for critical assets. Damage assessment includes both determining the extent of infrastructure damage and assessing the viability of continued use of the site. Research has found that early assessment decisions set the tone for the efficiency of the recovery. Although damage assessments can only be conducted after an event, systems and teams to support the recovery process can be cre- ated in advance. Removal of debris from initial clearing and demolition can be addressed and planned in advance. Planning to accommodate oversize and overweight vehicles to minimize subsequent damage to infrastructure is often overlooked. Much of the roadway infrastructure rebuilding that was necessary following the World Trade Center attacks was due to damage from heavy vehicles carrying debris from the site. Appendix C provides more detailed information on damage assessment. An incident involving CBR agents will result in significant disruption of services. Compared to more common natural disasters, CBR incidents involve unique challenges and require significant

34 a pre-event recovery planning Guide for transportation operational adjustments. Pre-event planning was found to be essential. Having a restoration plan vetted in advance and facility personnel trained beforehand substantially reduces the overall time for restoration and recovery. Appendix D provides more detailed information on decontamina- tion of hazardous materials. Discussed below are two approaches to demolition and debris removal—coordinating with the incident response team in advance of the recovery effort and standardizing damage assessment. Coordinate with Response Team in Advance of the Recovery Effort After the London 7/11 transit bombings, recovery activity was coordinated in the back- ground during the response to the incident. The London Underground Recovery Team was given space to begin planning for structural surveys and determining specific equipment needs, such as large cranes, for the recovery. It was clear from structural damage on the Edgeware Road train that a crane would be necessary to remove the train from the scene and that the structure where the crane would be placed required reinforcement to support the weight of the crane. Access arrangements and permissions were granted for crews to begin pouring the cement needed to reinforce the above-ground supporting structure where the crane would be placed. Pre-Event Tasks Considerations Identify equipment required and contractor resources in advance. Maintain fresh list of potential specialized equipment suppliers. Identify supplementary support resources. Establish MOUs and put pre-approved contracts in place, if possible. Establish emergency contracting protocols in advance. Learn from previous experiences, including non- catastrophic incidents. Major incidents may adversely impact the availability of equipment and resources. Identify locations for positioning of supplies and heavy equipment. Identify right-of-way (air space/land) for staging areas. Get conditional waivers in advance for short-term use of certain assets that may carry weight, size, or material restrictions, if required. Consider requirements for oversize equipment. Understand permit requirements. Account for existing equipment and material restrictions. Identify who has overall responsibility for managing debris removal. Identify potential staging and debris storage areas. Develop a long-term plan for debris removal. Initiate discussions with waste-disposal facilities and landfills. Discuss waste-disposal issues with the state solid- waste-management authority. Create waiver procedures and any mutual aid agreements required. Develop debris removal strategies that minimize impact on transportation system. Consider impact of oversize and overweight vehicles on roadways. Clarify responsibilities involved in the clean-up operation, including how removal will be coordinated. Include municipal waste landfills; construction and demolition debris landfills; hazardous waste landfills; and hazardous, municipal, and medical waste incinerators, if available. Table 7. Demolition pre-event tasks and considerations.

Key tasks of pre-event recovery planning 35 Standardize Damage Assessment Understanding the extent of damage is critical to assessing demolition needs. Becoming familiar with the assessment process and the people and organizations responsible for it before an event can help expedite the recovery process. Multiple organizations—from state and local DOTs to federal regulatory agencies—are likely to be involved in damage assessment, and each may have their own methodology and timeframe requirements. In some states, such as Wisconsin, the DOT serves as the coordinating agency for the assess- ment of infrastructure damages in the state. Iowa DOT functions as the coordinator for the FHWA ER program and processes the DDIRs. The DDIRs are used to document cost estimates for emergency repairs and also to determine eligibility, scope, and cost estimate for work. The FHWA uses the DDIR to support its request for emergency repair funding. After the flooding in the Midwest in June 2008 (see Appendix B for Midwest Flooding case study), all of the projects that were submitted to FHWA from the Iowa DOT, Iowa counties and cities, the Iowa DNR, and railroad crossing systems within the state of Iowa were required to be submitted in the form of a DDIR. Caltrans has established a Safety Assessment Program (SAP) to quickly produce damage assessments after an event. This Emergency Management Program for registered profession- als such as licensed engineers, architects, and building inspectors provides training for rapid damage assessments. Caltrans has also implemented a land-based, laser scanning technology as a result of research from the Advanced Highway Maintenance and Construction Technology (AHMCT) research center at the University of California at Davis. This technology measures and models bridges, structures, roadways, slide areas, accidents, and archeological sites. The technology was used to accelerate the reconstruction of the MacArthur Maze collapse in May 2007. Photogrammetry and laser scanners documented the site prior to debris removal and provided the dimensions for prefabrication at remote locations. Design: Identical or New Design • Build “as is” or design new structure? • Can designs be simplified, such as reducing architectural details in temporary structures? • Should desired or planned infrastructure improvements be incorporated into the designs? • Are design drawings available? Making design decisions as soon as possible can minimize recovery time. Some design decisions can be made before an event, such as what design strategies to take when rebuilding or replacing existing infrastructure. For example, using existing plans and footprints where possible—“as is” design—or using simplified designs can expedite recovery. Design prepara- tions can also be made before an event for making infrastructure improvements where pos- sible. Planned bench walls, lighting, and communication enhancements were added during recovery construction of the PATH tunnels after 9/11. Table 8 provides an overview of pre- event actions and considerations that can assist in design decisions for critical assets. Discus- sion follows of using simplified designs to expedite reconstruction, using existing plans and footprints where possible, and maintaining and providing access to designs, plans, and other key data. Using Simplified Designs to Expedite Reconstruction After 9/11, the New York/New Jersey Port Authority use of simplified design allowed for order- ing longer lead-time materials for the World Trade Center stations before the contractor was

36 a pre-event recovery planning Guide for transportation hired. The lack of architectural detail in the temporary PATH stations allowed bidding on the necessary steel on a per-pound basis before the design was even finished. The conduit carrying the utilities and cabling was left exposed, eliminating the design time needed to artfully bury it. These strategies shaved 1 year off the construction schedule. Using Existing Plans and Footprints Where Possible To restore train service to the World Trade Center site as quickly as possible, a temporary PATH terminal was built at the location of the destroyed facility, enabling engineers to utilize previous alignments and reduce additional excavation/foundation work. Maintaining and Providing Access to Designs, Plans, and Other Key Data The case studies suggest that less time was required to design structures when original design drawings and specifications were immediately accessible to designers and contractors. For exam- ple, CC Meyers used existing bridge plans to procure steel and other needed materials prior to the contract for MacArthur Maze/Bridge repair and reconstruction. The current as-built drawings, information pertaining to the rights-of-way, and any special considerations that might impact recovery activities should be maintained and readily acces- sible. Configuration changes arising out of construction, repairs, inspections, and alterations to the infrastructure should be documented. Prior to the Howard Street Rail Tunnel Fire in Balti- more, Maryland, information about modifications and construction in or near the tunnel had not been reliably documented or exchanged by city officials, responders, and private industry. For example, information indicated that a storm sewer was 19 feet below the surface near a test drilling. However, during the drilling project, the drill struck the storm sewer, which was only about 8 feet below the surface. Pre-Event Tasks Considerations Determine design approaches in advance, e.g., “as- built” design or new design. Identify simplified design opportunities. Create flexible “templates” of options to consider. Include potential enhancements and infrastructure improvements. Apply “build back better” principles, even if they have not been translated into specific codes or standards. Early decisions as to using the “as-built” design or a new design determine the minimum recovery time achievable. Consider reducing or eliminating architectural details or leaving conduits exposed, especially in designing temporary structures, to expedite recovery. Use planning process to discover innovative design solutions. Update plans and procedures based on experiences identified in After-Action Reports. Revaluate design standards with consideration of climate effects and incorporating updated National Oceanic and Atmospheric Administration (NOAA) precipitation frequency estimates. Gather and maintain design drawings and specifications. Document configuration changes arising from construction, repairs, inspections, and alterations. Less time is required to design a recovered structure when original design drawings and specifications are immediately accessible. Establish back-up document storage at alternate locations. Table 8. Design pre-event tasks and considerations.

Key tasks of pre-event recovery planning 37 Many of Iowa’s roadway and bridge design plans, shop drawings, and other infrastructure record documents are available electronically on a 24-hour basis in the Iowa DOT’s ERMS. Since the ERMS system was installed, Iowa DOT has seen a 430% return on investment (ROI) from cost savings associated with electronic records management. The previous paper-based process required 45,000 square feet of storage for paper documents and 25% more employee time than the hardware-based repository. Contracting Options and Processes • How to select a contractor? • What type of contract should be used? • How can the contracting and approval process be expedited? Major repair or replacement construction requires contracting for engineering and contractor services. Putting in place contracts and procedures before an event can speed up the contracting negotiation process and avoid contract disputes during/after recovery. Some options for con- tracting in advance are provided in Figure 10. Most state transportation agencies have the ability to procure goods and services through emergency contracts once certain declarations of emergency are made. Standard competitive bidding processes can often be waived, and qualified contractors can be requested to bid on the repair work. Understanding the processes for enabling emergency contracting provisions before an event occurs can help expedite the recovery process. Table 9 provides an overview of pre-event actions and considerations that can assist in contracting processes for infrastructure. Further dis- cussion follows on pre-qualifying vendors and contractors, expediting contracting approaches and approvals, and innovative contracting approaches. Pre-Qualifying Vendors and Contractors Having a pre-qualified list of engineers and contractors to contact will expedite the recovery process. Because it has been recognized that the use of “quality of work” as a category in pre- qualification of contractors can be vague and subjective, AASHTO has developed guidance on Contract Option Comments Pre-Event Contracts If normal federal-aid requirements are met, including competitive low- bid advertisements, pre-event contracts are allowable. FHWA has approved boilerplate language for Construction Engineering and Assessment (CEI) services, debris monitoring, cut and toss and debris removal, traffic control signals, permanent lighting, and signal repair. Pre-event contracts for other work types may be acceptable as long as FHWA federal-aid requirements are met. For pre-event contracts that identify a sole source material supplier or proprietary product, a Public Interest Finding must be sent to FHWA for approval in advance of executing the contract, as per 23 CFR 635.411. Pre-Existing Contracts Existing contracts may be used to provide for emergency services and the purchase of commodities if the emergency service or commodity required falls within the original intent of the contract, or if the scope of services/specification addresses providing for emergency situations. Stand-by Contracts Stand-by contracts can be put in place for critical recovery equipment and supplies to help ensure that recovery supplies are available in the quantities needed and at a reasonable price. Typically, these contracts establish prices as those in effect on the day before the event occurred. Figure 10. Advance (pre-event) contract options.

38 a pre-event recovery planning Guide for transportation generally accepted information categories to use for pre-qualification (AASHTO 2006, FHWA 2006). These categories include detailed financial statements, resident agent, capacity and con- trol classification, experience and performance, ownership or control, and equipment. It should be noted that pre-qualification of contractors, although helpful, is not sufficient to ensure that the necessary expertise, equipment, and materials will be available when needed most. Ohio, Massachusetts, and Vermont require that contractors be on a list of pre-qualified vendors to be awarded an emergency contract. Expediting Contracting Approaches and Approvals During times of emergency, an accelerated contracting and approval process can reduce the time required for infrastructure repairs and construction. Establishing the protocols in advance and practicing their implementation is key to accelerating the process. States have their own laws, regulations, and procedures for emergency contracting for DOTs. Some states have statutes and regulations similar to those of the federal government; others fol- low a model code published by the American Bar Association (ABA). Provisions in the ABA’s model code authorize contracting officers to use emergency, non-competitive procedures when there is a threat to public health, welfare, or safety. Selected Studies in Transportation Law—Volume 1: Construction Contract Law reports the results of surveys to better understand and document practices at state DOTs (Boland and Cade 2004). This research found that states that suffer natural disasters or emergencies more frequently are generally more prepared and have detailed and complex regulations and guidelines that they fol- low. For example, Florida and Alaska have detailed written procedures, guidance, and checklists for emergency contracting and pre-printed forms for a natural disaster emergency contract. Pre-Event Tasks Considerations Develop list of pre-qualified engineers and contractors. Maintain fresh list of potential contractors for competitive bidding. Select contractors with resources and expertise to accomplish projects under emergency situations. Establish contract templates and contracting protocols. Put in place contracts, mutual aid and assistance agreements, and MOUs, if possible. Establish programmatic agreement, memorandum of agreement (MOA), or informal agreements to document rules of engagement, roles, and responsibilities. Identify supplementary support resources. Put in place mutual aid agreements to pool community and regional resources, if possible. Develop contingency plans, especially for situations when mutual aid and resource sharing is not possible. Major incidents may adversely impact the availability of engineering, contractors, and materials. Consider formal regional resource-sharing compacts. Emergencies that affect large regions can make resource sharing within the region impossible. Establish emergency contracting protocols in advance. Develop/practice accelerated administrative process. Flexibility in operational and contracting procedures can expedite reconstruction process. Identify and designate contracting officers. Establish relationships in advance among project stakeholders. Experienced contracting officers are critical in situations where problems may be encountered or when federal reimbursements are sought. Table 9. Contracting pre-event tasks and considerations.

Key tasks of pre-event recovery planning 39 Some states have guidance provided in their procurement manuals defining an emergency situation. For example, the Wisconsin Procurement Manual calls for immediate action when a situation exists that is a threat to public health, safety, and welfare; the manual allows for action following an unforeseen event. Similarly, the Arizona Procurement Code provides that emer- gency procurements will only be used when a situation exists that is not only a threat, but that also makes compliance impracticable, unnecessary, or contrary to the public interest. The Louisiana Department of Transportation and Development (LADOTD) typically uses a two-phase contractor selection process. Due to the emergency nature of the I-10 Twin Span proj- ect after Hurricane Katrina, the LADOTD conducted procurement using a single-step process that did not include a short-listing phase. In each case, the rules for contact with the agency are clearly defined in the Request for Qualifications (RFQ) and Scope of Services Package (SOSP) documents in order to promote a fair, unbiased, and legally defensible procurement process. Innovative Contracting Approaches The innovative contracting methods that expedited completion of multiple projects after the 1994 Northridge Earthquake in California—A+B bidding (a combination of cost and time), invitational bidding, and design-build bidding—are cited as a best practice in the U.S. DOT’s Recovering from Disasters: The National Transportation Recovery Strategy (2009). LADOTD uti- lized design-build in order to “fast track” the $40 million emergency repair of the I-10 Twin Span Bridge over Lake Pontchartrain between New Orleans and Slidell. The Twin Spans were severely damaged by Hurricane Katrina, and the primary reason for using design-build was to accelerate the project schedule so as to reopen I-10 to traffic as quickly as possible. NCHRP Synthesis 379: Selection and Evaluation of Alternative Contracting Methods to Acceler- ate Project Completion (Anderson and Damnjanovic 2008) provides an overview of the process for selecting alternative contracting methods that can potentially accelerate project completion. MnDOT has produced a web-based resource, Innovative Contracting Practices, which provides detailed information on new practices to supplement traditional low-bid, Design-Bid-Build contracting that can decrease project delivery time and reduce construction time. The Florida DOT’s design-build project selection guidelines provide a list of the types of proj- ects that are suitable for design-build and examples of projects that may not be good candidates for design-build. According to the observations summarized in Current Design-Build Practices for Transportation Projects (Transportation Design-Build Users Group 2009), one of the most important factors for the success of a design-build project is the ability of the contracting agency to adequately define the scope of work in the request for proposals (RFP) document. A series of pre-scoping questions have been developed by the Florida DOT to assist in defining the design- build project scope available in Appendix A. Construction Strategy and Techniques • What construction strategies are available for recovery? What construction strategies can be used to accelerate construction? • What construction techniques are available to expedite recovery? • What can be done in advance to prepare for recovery construction? A number of construction strategies can expedite recovery by minimizing disruption and reducing project delivery time. Such strategies include using the design-build process, planning for staged or phased construction, and utilizing accelerated work schedules. MnDOT accelerated the delivery of the I-35W Mississippi River replacement bridge project using the design-build

40 a pre-event recovery planning Guide for transportation process. This procedure allows overlapping design and construction, enabling construction to start before all designs are approved and final. After 9/11, a phased construction approach was used to restore PATH service to lower Man- hattan. A series of temporary transit stations and entrances were used to provide service while the permanent station was under construction. When the I-87 New York Thruway Bridge was damaged in a fire, a staged construction approach was used to replace the damaged bridge. Temporary pre-fabricated bridges were installed on part of the original site while the bridge was reconstructed. When a portion of the damaged bridge was reconstructed, traffic was rerouted onto it, and one of the temporary bridges was removed. When the second portion of the reconstructed bridge was ready for traffic, traffic was rerouted onto it, and the last temporary bridge was removed. The staged construction minimized the disruption to traffic flow and to the surrounding communities. Table 10 provides an overview of pre-event actions and considerations that can assist in construction for infrastructure projects. Further discussion of using pre-fabricated or modular elements, innovative use of equipment or materials, and accelerated work schedules follows. Using Pre-Fabricated or Modular Elements In the case studies of bridge replacement projects, it was found that using pre-fabricated or modular elements prevents weather impact on production and delivery, shortening the recon- struction process. Pre-fabricated elements have been used to accelerate construction in tunnels; some of these pre-fabricated elements include steel and pre-cast concrete sunken tubes, pre- finished steel ceiling panels, and pre-cast concrete plenum wall dividers. Identifying potential applications for pre-fabricated elements can be done prior to an event. Innovative Use of Equipment or Materials Innovative use of construction equipment and materials can reduce construction time sig- nificantly. A 2005 article on Tradeline, Inc. (Wesel 2005) reported on the use of “road headers,” excavating equipment outfitted with a massive rotating grinding ball at the end of a long arm, in the recovery after 9/11. Construction of a new 1,500-foot crossover tunnel required boring Pre-Event Actions Considerations Develop list of pre-qualified engineers and contractors. Identify supplementary support resources. Maintain fresh list of potential contractors for competitive bidding. Major incidents may adversely impact the availability of engineering and contracting. Identify effective practices for expediting repair and reconstruction. Document observations derived from small disturbances and prior events. Develop approaches for accelerated construction techniques. Explore innovative uses of construction equipment and materials. Consider use of pre-fabricated or modular materials, e.g., use of pre-stressed concrete girders in lieu of the original steel girders. Use prior experience to plan for quickly repairing damaged infrastructure. Consider phased construction arrangements and design-build, if available. Identify previous practices and experiences from other states and regions. Establish relationships in advance among project stakeholders. Establish relationships in advance to develop cooperative attitude among project stakeholders. Table 10. Construction pre-event tasks and considerations.

Key tasks of pre-event recovery planning 41 through bedrock and removing 10,000 cubic yards of rock 100 feet below street level. The origi- nal plan was to blast and drill through the bedrock, but the Port Authority thought that the work was moving too slowly so turned to road headers to get the job done more quickly. Jim Palmer, lead technical advisor on the restoration of PATH service between New York and New Jersey, is quoted in the Tradeline article as remarking, “We burned a lot of time getting the road headers up and running. . . . That was a real lesson we learned. Next time, I’d have my options laid out in advance.” According to the Tradeline article (Wesel 2005), the sequence of construction inside the PATH tunnels was done differently as well, following a process developed in conjunction with the con- tractor, who wanted to use rubber-tired equipment to bring in materials. Instead of laying track first, the typical approach, the contractor’s desired approach required locating everything first and then laying the track last. To accommodate this process, a high level of survey control was developed along with a “clearance jig” to make sure trains would have enough clearance. Accelerated Work Schedules Accelerated work schedules can be used to complete recovery projects in shorter periods of time. This approach was used in the reconstruction of the I-40 (Oklahoma) and I-35 bridges. According to research studies, accelerated construction at a reasonable cost and with a safe proj- ect site environment requires coordination and cooperation among all project participants. Plan- ning in advance can help establish the relationships and communication necessary to achieve the required levels of coordination and cooperation. Project Management and Delivery Approaches • What types of project management are available? • Which type of project management approach should be used? • What can be done before an event to prepare for project management selection? Project management and delivery describes the relationships and contractual obligations among the owner, designer, and contractor for a construction project. The project delivery process may include planning, budgeting, environmental analysis, design, and construction. There are a number of project management/delivery approaches, and they can be grouped into three types: Design-Bid-Build, Design-Build, and Construction Manager/General Con- tractor or Construction Manager-at-Risk. Design-Bid-Build is the traditional project manage- ment arrangement. Construction Manager-at-Risk and Design-Build are accelerated project management approaches. State laws may restrict the use of alternative project delivery methods such as Construction Manager-at-Risk and Design-Build. In a 2008/2009 survey of state DOTs reported in NCHRP Syn- thesis 402: Construction Manager-at-Risk Project Delivery for Highway Programs (Gransberg and Shane 2010), of the 47 states that responded, 26% were allowed to use Construction Manager- at-Risk and 62% were allowed to use Design-Build for DOT projects. (All states that responded to the survey were allowed to use Design-Bid-Build within the DOT.) Federal project oversight is often needed in large emergency projects, especially when the resources of the state become over tasked. After 9/11, the FTA created the LMRO to work on innovative, streamlined project delivery processes for recovery of transportation services and consensus among federal and local partners. Table 11 provides an overview of pre-event actions and considerations that can assist in project management and delivery of infrastructure projects. Discussed below are two effective practices for project management and delivery—development of a project delivery acceleration toolbox and streamlining project delivery processes.

42 a pre-event recovery planning Guide for transportation Project Delivery Acceleration Toolbox Caltrans has developed an online project delivery acceleration toolbox (available at http:// www.dot.ca.gov/hq/oppd/projaccel/index.htm) that lists department efforts (past and present) to accelerate the delivery of transportation projects and provides the department’s employees, as well as external partners, with tools to accelerate project delivery. Streamlined Project Delivery Processes The LMRO in New York City developed innovative, streamlined project delivery processes that included using one grant for the entire project, developing a master agreement for both FTA and FEMA requirements, creating an MOU among federal agencies for environmental oversight, and creating a Federal Interagency Review Team. Environmental Requirements Regulations, policies, and procedures are the driving forces behind the compliance approach used during and after events. As outlined in Implementing the National Environmental Policy Act (NEPA) for Disaster Response, Recovery, and Mitigation Projects (Luther 2011), several classes of disaster response and recovery projects funded by FEMA are statutorily excluded from NEPA under the Stafford Act. In these cases, there are no NEPA requirements to be met before imple- menting the project; however, all other environmental and historic preservation laws and Execu- tive Orders still apply. The types of projects that are typically excluded from NEPA are temporary emergency repairs of facilities, debris removal, and restoring facilities to pre-disaster condi- tion (including pre-disaster function, capacity, and footprint). For all other types of projects, including retrofitting or improving facilities to mitigate risk to hazards, NEPA is required. An environmental assessment (EA) or environmental impact statement (EIS) must be prepared Pre-Event Actions Considerations Evaluate the state regulatory framework for accelerated project delivery. Identify what approvals (federal and state) are required for each approach, e.g., SEP-14. Identify effective practices for guidelines and contracting, e.g., project scoping and risk allocation. Identify or develop, if necessary, documented procedures for selecting a project delivery method based on project characteristics. Identify or develop, if necessary, policy for selecting a contractor based on project characteristics. State laws may restrict the use of alternative project delivery methods. Maintain regular and open channels of communication with regulatory agencies. Establish contract templates and contracting protocols. Develop and practice accelerated administrative process. Establish programmatic agreement, MOA, or informal agreement to document rules of engagement, roles, and responsibilities. Workers and managers need to communicate across communication barriers so that information is passed horizontally and quickly. Establish relationships in advance among project stakeholders. Smooth project completion requires exceptional coordination among the stakeholders in the project. Table 11. Project management/delivery pre-event tasks and considerations.

Key tasks of pre-event recovery planning 43 for projects that don’t qualify for a categorical exclusion (CE)—defined per 40 CFR 1508.4 as a “category of actions which do not individually or cumulatively have a significant effect on the human environment . . . and . . . for which, therefore, neither an environmental assessment nor an environmental impact statement is required.” For roads and facilities subject to FHWA oversight, several CEs and programmatic categorical exclusions (PCEs) to NEPA apply to repair and reconstruction actions that may be encountered after an event. In these situations, assessing and documenting effects on the environment and other regulated resources are still required; however, little or no public involvement is required as mandated by NEPA. Coordination with other state agencies may also be required to satisfy any state environmental policy act or other laws. For roads and facilities not subject to FHWA oversight, compliance with NEPA is still required if any federal funding or permitting is required for the project. In these cases, the compliance process must be aligned with the regulations, policies, and procedures of the lead federal agency (e.g., FEMA or the USACE). Pre-event planning such as organizing environmental and historic preservation database files of resource locations in conjunction with transportation assets will also facilitate expeditious identifi- cation of sensitive resources. Resource locations can be obtained from a variety of sources including documentation on file from the original permitting of the road or facility and online resources maintained by state or federal regulatory agencies. Resource location maps can be overlain on transportation maps and maps indicating facilities with repetitive loss histories and integrated into emergency management software. Involving federal and state regulatory agencies and stake- holders during the pre-event planning process can focus the data collection and management on the most important resources that are present at any given site. Table 12 provides an overview of pre-event actions and considerations that can assist in complying with environmental requirements Pre-Event Tasks Considerations Evaluate the regulatory framework currently in place. Develop scope for the project and gather baseline resource identification studies for lead agency review. Build compliance requirements into the operations of the transportation management agency. Identify an individual or departmental unit in the lead role for environmental and historic preservation compliance. Identify counterparts in the regulatory agencies and establish standardized communication channels. Coordination with state DOTs and FHWA districts should occur to determine which CEs are in effect and could apply to a variety of events. Coordination with other state agencies may also be required to satisfy any state environmental policy act or other laws. Consider centralizing internal review process. Define the roles and responsibilities of obtaining permits and overall compliance. Provide a single point of contact for the incident command team and regulatory agencies role for environmental and historic preservation compliance. Maintain regular and open channels of communication between the transportation management agency and the resource regulatory agencies. Develop an informal agreement for the procedures and protocols or formalize a binding programmatic agreement or MOA, if possible. Organize environmental and historic preservation database files of resource locations in advance. Involving federal and state regulatory agencies and stakeholders during the pre- event planning process can focus the data collection and management on the most important resources that are present at any given site. Table 12. Environmental pre-event tasks.

44 a pre-event recovery planning Guide for transportation for infrastructure projects. Discussed below are the following effective practices: limiting the project scope to reduce complexity, maintaining good working relationships and open lines of communication, and having access to good data. Limiting the Project Scope to Reduce Complexity After the I-35 Bridge collapsed in Minneapolis, Minnesota, on August 7, 2007, MnDOT decided that the new bridge would have the same capacity and alignment as the old bridge. This lim- ited scope eliminated the expanded environmental review and possible controversies, a common occurrence with large construction projects. A section of the I-10 Bridge crossing Escambia Bay in Florida collapsed during Hurricane Ivan on September 16, 2004. Although the alignment of the new bridge was shifted slightly to accommodate height and width changes, it still lies mainly within the footprint of the previous bridge. Maintaining the original footprint significantly reduced the environmental impacts of the rebuilding project. Maintaining Good Working Relationships and Open Lines of Communication Historically, there had been a strained working relationship between the Florida Department of Environmental Protection (FDEP) and the Florida DOT. To encourage a better relationship and to build trust, quarterly meetings were established between the two agencies. In the after- math of Hurricane Ivan and the destruction of the I-10 Bridge, the pre-existing interagency relationships facilitated communication between FDEP and FDOT and allowed the state-level environmental permits to be quickly processed. Having Access to Good Data The Oklahoma DOT, the SHPO, and the Oklahoma State Archeologist had taken inventories of natural, cultural, and historic resources through ODOT’s Cultural Resources Program in the Arkansas River area, which helps identify potential cultural and historic sites that may require special attention as part of highway projects. When the I-40 Bridge accident occurred, these agencies were able to immediately identify potential natural and historic issues, eliminating the need for additional investigation and studies to identify and understand any potential environ- mental problems for the reconstruction project.