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Impr ACKNOWLED This work was (TDC). It was c Research Boa COPYRIGHT I Authors herein persons who o Cooperative R purposes. Per FMCSA, FRA, product, metho uses will give a request permis DISCLAIMER The opinions a are not necess or the program The informatio edited by TRB oving t GMENT sponsored by t onducted throu rd (TRB) of the NFORMATION are responsibl wn the copyrigh esearch Progra mission is give FTA, Office of d, or practice. ppropriate ack sion from CRP nd conclusions arily those of th sponsors. n contained in t . he Res b Alan Rutge he Federal Tran gh the Transit C National Acade e for the authen t to any previo ms (CRP) gran n with the unde the Assistant Se It is expected th nowledgment o . expressed or im e Transportatio his document w TC Web-Only ilience o y Natu Volume Debo Lo Was Jon M. Voorhee rs, The State New B Ja Lo Kans sit Administrat ooperative Re mies of Scienc ticity of their m usly published o ts permission to rstanding that n cretary for Res at those reprod f the source of a plied in this re n Research Bo as taken direct RP Docume f Trans ral Disa 1: A G rah Matherly uis Berger hington, DC A. Carnegie s Transport University runswick, N ne Mobley uis Berger as City, MO ion (FTA) in coo search Program es, Engineering aterials and for r copyrighted m reproduce ma one of the mate earch and Tec ucing the mate ny reprinted or port are those o ard; the Nation ly from the subm nt 70: it Syste sters uide ation Center of New Jerse J peration with t (TCRP), whic , and Medicine obtaining writte aterial used he terial in this pub rial will be used hnology, PHMS rial in this docu reproduced ma f the researche al Academies o ission of the a ms Th y Guideb he Transit Deve h is administere . n permissions f rein. lication for clas to imply TRB, A, or TDC endo ment for educat terial. For oth rs who perform f Sciences, Eng uthor(s). This m reatene ook for TCRP P Submitted lopment Corpo d by the Trans rom publishers sroom and not AASHTO, FAA rsement of a p ional and not-fo er uses of the m ed the researc ineering, and M aterial has not d roject A-41 May 2017 ration portation or -for-profit , FHWA, articular r-profit aterial, h. They edicine; been
The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Boardâs varied committees, task forces, and panels annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.
TCRP PROJECT A-41 PANEL Emmanuel C.B. "Cris" Liban, Los Angeles County (CA) Metropolitan Transportation Authority, Los Angeles, CA (Chair) Madinah Ali, Excelente, Inc., Atlanta, GA Andrew D. Brennan, Massachusetts Bay Transportation Authority, Boston, MA Dana C. Coyle, MTA Metro North Railroad, New York, NY Erik S. Johanson, Southeastern Pennsylvania Transportation Authority, Philadelphia, PA Hilda Lafebre, San Mateo County Transit District, San Carlos, CA Steven Loehr, MTA New York City Transit, New York, NY Vincent D. Pellegrin, Metro Transit - Minneapolis/St. Paul, Minneapolis, MN Susan K. Reinertson, AMTRAK, Washington, DC Linbing Wang, Virginia Tech, Blacksburg, VA Nina Chung, FTA Liaison Adam Schildge, FTA Liaison Richard Weaver, APTA Liaison Monica Starnes, TRB Liaison
AUTHOR ACKNOWLEDGMENTS Acknowledgments:Â Â TheÂ studyÂ teamÂ appreciatesÂ theÂ contributionsÂ ofÂ time,Â information,Â andÂ materialsÂ fromÂ APTA,Â theÂ transitÂ agencyÂ caseÂ studyÂ participants,Â andÂ theÂ NationalÂ AeronauticsÂ SpaceÂ AdministrationÂ (NASA).Â Â TheÂ principalÂ authorsÂ wishÂ toÂ acknowledgeÂ theÂ valuableÂ contributionsÂ ofÂ theÂ caseÂ studyÂ andÂ literatureÂ reviewÂ authorsÂ andÂ studyÂ contributors,Â presentedÂ hereÂ inÂ alphabeticalÂ orderÂ byÂ lastÂ name,Â andÂ listedÂ asÂ authorsÂ inÂ theÂ FinalÂ Report,Â LiteratureÂ ReviewÂ andÂ CaseÂ StudyÂ appendicesÂ toÂ theÂ FinalÂ Report:Â Â JimÂ Amdal,Â SeniorÂ ResearchÂ Associate,Â UniversityÂ ofÂ NewÂ OrleansÂ TransportationÂ Institute,Â NewÂ Orleans,Â Louisiana;Â WilliamÂ Ankner,Â Principal,Â TransportationÂ Solutions,Â Providence,Â RhodeÂ Island;Â TomÂ Callahan,Â Consultant,Â UII,Â Springfield,Â Virginia;Â JulieÂ MacLachlan,Â SeniorÂ Analyst,Â LouisÂ Berger,Â KansasÂ City,Â Missouri;Â EricÂ Peterson,Â PrivateÂ Consultant,Â Vienna,Â Virginia;Â JohnÂ Renne,Â DirectorÂ andÂ AssociateÂ Professor,Â CenterÂ forÂ UrbanÂ &Â EnvironmentalÂ SolutionsÂ (CUES),Â FloridaÂ AtlanticÂ University,Â BocaÂ Raton,Â Florida;Â JamesÂ Schwab,Â Principal, Jim Schwab Consulting LLC,Â Chicago,Â Illinois;Â MarieÂ Venner,Â President,Â VennerÂ Consulting,Â Lakewood,Â Colorado;Â NiekÂ Veraart,Â ViceÂ President,Â LouisÂ Berger,Â NewÂ YorkÂ City,Â NewÂ York;Â RyanÂ Whytlaw,Â SeniorÂ TransportationÂ Analyst,Â NJÂ DepartmentÂ ofÂ Transportation,Â OfficeÂ ofÂ EmergencyÂ Management,Â Trenton,Â NewÂ Jersey;Â BrianÂ Wolshon,Â Director,Â GulfÂ CoastÂ ResearchÂ CenterÂ forÂ EvacuationÂ andÂ TransportationÂ Resiliency,Â LouisianaÂ StateÂ University,Â BatonÂ Rouge,Â LouisianaÂ
v TABLE OF CONTENTS CHAPTER 1: What IsTransit System Resilience? 1-1 1. Resilience as Restoration and Reinvention 1-3 2. Defining Transit Resilience 1-5 3. Why Resilience Matters 1-6 4. Paths to Resilience 1-9 i. Past disaster experience 1-10 ii. Leadership and organizational culture 1-15 iii. Sustainability and environmental programs 1-17 iv. Asset management and state of good repair 1-19 CHAPTER 2: Chart Your Agencyâs Path to Resilience 2-1 STEP 1. Get Started 2-3 i. Understand agency context 2-4 ii. Key questions 2-5 iii. Engage to plan 2-9 iv. Identify opportunities and barriers to improving resilience 2-12 v. Make a business case for resilience 2-14 STEP 2. Take Stock 2-16 i. Identify threats/potential impacts on system assets/operations 2-19 ii. Conduct risk assessment 2-24 iii. Perform a resilience activity self-assessment 2-26 STEP 3. Move Forward 2-28 i. Explore the shared sense of need 2-30 ii. Articulate a resilience vision and goals 2-32 iii. Select and prioritize implementation strategies 2-35 iv. Develop detailed action plans 2-38 v. Lead change/mobilize commitment to support implementation 2-39
vi STEP 4. Monitor Progress 2-42 i. Choose performance measures and metrics 2-43 ii. Track data 2-47 iii. Evaluate success 2-50 CHAPTER 3: Reinforce Your Agencyâs Regional Interdependencies 3-1 STEP 1. Engage Those Who Depend on Your Agency 3-4 i. Evacuation support 3-8 STEP 2. Join Regional Resilience Efforts 3-10 i. Identify potential regulatory and organizational frameworks for partners. 3-11 ii. Join the regional dialog 3-15 iii. Be part of the discussion 3-17 iv. Be part of the solution 3-30 STEP 3. Strengthen Key Transit Agency and Supplier Relationships 3-32 i. Build closer relationships 3-32 CHAPTER 4: Resilience Adoption Tools and Resources 4-1 1. Case Study Overviews 4-3 2. Resilience Planning Process Aids 4-16 3. Resilience Planning Frameworks and Guidance 4-22 4. Self-assessment Tools and Guidance 4-29 5. Weather and Climate-related Data Resources and Tools 4-31 REFERENCES R-1
vii ABSTRACT This Guide offers practical steps and paths to resilience for transit systems of all sizes. Extreme weather events and other natural disasters threaten operations and capital assets of transit systems nationwide. Billions of dollars of transit assets have been damaged or destroyed by climate-related disasters in past decades, and millions of passengers have been deprived of reliable transit service for short or long periods of time. A resilient transit system avoids, minimizes and mitigates risk. It can absorb the impacts of disaster, recover quickly and return rapidly to providing the services that customers rely on to meet their travel needs. Many transit agencies are fighting back against weather-related waste of agency resources and taxpayer dollars ââ and customersâ loss of serviceââ by becoming more resilient. The Guide shows how to identify and implement appropriate resilience strategies to strengthen operations and infrastructure throughout an agency. While some resilience efforts may require long-term investments, most agencies can become more resilient through incremental adjustments in planning and small changes in what they do every day. The Guide also shows how to identify critical transit-related interdependencies and engage in broader regional resilience efforts. The associated database resilienttransit.org provides extensive resources and tools.
viii CHAPTER OVERVIEWS Summary This Guide is designed to help agencies, including yours, ident i fy the condit ions necessary to move from an often scattershot process to an improved state, where resi l ience measures are incorporated in transit agency pol icy, planning, asset management, capital investment, maintenance and operationsââjust as safety, security and customer- focused service have become a mainstream part of transit industry culture. Introduction For those new to resi l ience and even more advanced practi t ioners, the Guide presents an actionable, step-wise approach to help transit agencies meet the chal lenges created by cl imate change and the impacts of extreme weather. Chapter 1: What Transit Agency Resilience Means Chapter 1 is designed to introduce some resi l ience defini t ions and help you begin to assess various aspects of your system and the pol ic ies, plans, programs and management that guide your agencyâs services to decide where and how resi l ience strategies can be put into practice. Chapter 2: Chart Your Agencyâs Path to Resilience Chapter 2 presents the range of defini t ions used to describe resi l ience, makes the case for why resi l ience should be important to transit agencies and brief ly describes the paths some agencies have taken to advance resi l ience adoption. I t presents a basic four-step process intended to help identi fy which path(s) to resi l ience makes sense for your agency. Chapter 3: Optimize Agency Resilience Interdependencies Chapter 3 addresses entering the regional dialog about emergency planning and resi l ience, actively establ ishing regional partnerships for key resources and interdependencies and fostering resi l ience through operations, contracting and other agreements. Chapter 4: Resilience Adoption Tools and Resources Chapter 4 provides summaries of agency case studies and descript ions of tools. I t also provides prof i les of analysis frameworks, guidance documents, data sources and other resources that can be downloaded from the Improving Transit Resi l ience Database.
ix The Guide was developed as part of a Transit Cooperative Research Program (TCRP) project: Improving the Resiliency of Transit Systems Threatened by Natural Disasters. PREFACE This Guide to Transit System Resilience is designed to be a practical aid to transit systems of all sizes in their efforts to become resilient in the face of extreme weather events and a changing climate. You will find that the action steps and tools are useful for major disruptions from other causes, as well. The purpose of the project and its products is to encourage adoption of resilience practices and strategies in transit systems. This Guide came from research in study and theory combined with on-the-ground experience in what transit agencies have and have not done to be ready for natural disasters and lesser, but still damaging and disruptive, events. Every transit system will use it in ways that are particular to the needs of your organization and community. All transit systems will find that this Guide can help your system: ï§ Proactively avoid, minimize and mitigate risk; ï§ Manage the impacts of disaster and recover quickly;
x The Guide presents an actionable, step-wise approach to help transit agencies meet the challenges created by climate change and the impacts of extreme weather. ï§ Return rapidly to providing the services that customers rely on to get to their work and meet their other travel needs. About the Research The research that backs up this guide includes an extensive literature review and practice scan, as well as 17 detailed agency case studies that showcase leading practices in resilience adoption across a spectrum of transit agency structures, sizes and hazard profiles and regions of the country. About midway through the project, a workshop was convened at the TRB Asset Management conference to test the basic concepts and framework of the Guide. Case studies and tools from outside the transit world were developed or adapted, to provide more context. The TCRP panel provided insights and direction, and the study team continued integrating new information, as well as winnowing down existing information, to develop a standalone guide backed up by a wealth of readily available resources. A link to this Guide and a Transit Resilience Website with a database of easily downloaded information, is available at resilienttransit.org.
xi INTRODUCTION Extreme weather events and other natural disasters threaten the operations and the capital assets of transit systems across the country. Billions of dollars of transit assets ââ buses, trains, trolleys, tracks, stations, subsystems and moreââhave been destroyed by climate-related disasters in the past decades. As a result, millions of passengers have been deprived of reliable transit service for short or long periods of time. Transit agencies have been fighting back against this unnecessary waste of agency resources and taxpayer dollars, and their customersâ loss of service, by taking steps to become more resilient. The Guide shows how to identify and implement appropriate resilience strategies throughout your agency. In order to improve your agencyâs resilience, all business units need to know and understand current and future system vulnerabilities. Your managers and staff must have the leadership support, knowledge, tools, commitment and resources they need to eliminate, minimize and manage risk effectively. In some cases, your agency may need to commit long-term investments to become more resilient. However, in many cases, you can become more resilient through small Federal transit agencies will support your efforts to become more resilient. And you may have partners in your communities and region who will join you in larger- scale projects that help others as well as you.
xii changes in what you do every day. Start with what the people in your agency already know and can put into action. ï§ Operations and maintenance personnel, both line and supervisors, are your eyes and ears for emerging and recurring problems. They will be your front line for advance actions to prevent bigger problems. ï§ Asset managers and procurement personnel are on the lookout for the best deals when considering full life cycle costs, including risks from changing weather conditions (such as higher heat and more rain, wind, ice and/or snow) and what that will mean for equipment. They avoid the short-term, false economy of a cheap replacement part or fix that will cost more in labor and breakdowns over the long haul. ï§ Systems planners are looking for recurring patterns of required route diversions for flooding and other mishaps for potential fixes. Moving the route? Working with the city to fix the underlying stormwater drainage problem? They are also on the alert for evolving needs for passengers, such as shelters to partially protect waiting passengers from excessive heat or excessive cold. ï§ Capital planners and engineers are looking at a range of long-term outlooks for natural events, and taking at least some of those âworst-caseâ forecasts into consideration in their plans. They are pushing back on
xiii the urge to âvalue engineerâ to minimum standards and, instead, they look at best value solutions. They know that most engineering standards are lagging the risks of natural events and consequences by years or decades. ï§ Senior leaders, including general managers and executive staff, supported by the elected or appointed advisory governing body, are encouraging staff at all levels to share information and to collaborate on resilience initiatives. They know that resilience is a key success factor for virtually every aspect of system operations and customer-focused service, including safety, sustainability and asset management. A resilient transit system avoids, minimizes and mitigates risk. It is a system that can absorb the impacts of disaster, recover quickly and return rapidly to providing the services that customers rely on to get to their work and meet their other travel needs. Many lessons have been and are still being learned, in the wake of multiple weather-related, disastrous events -- wildfires, exceptional heat, blizzards, major floods -- in many areas throughout the country, as well as recurrent hurricanes. Challenges to resilience adoption are many, including: ï§ Decreasing revenues; ï§ Siloed business units that too often focus on one mode, one function, or one program;
xiv ï§ Inadequate âhow-toâ industry guidance on how best to adopt new practices; ï§ Misperceptions regarding the costs of resilience projects and practices; ï§ Different planning horizons and implementation timeframes (e.g., immediate and short-term operations and response versus long range systems and capital planning); ï§ Lack of understanding related to the potential long- term benefits of resilience; and, perhaps most importantly, ï§ Lack of organizational capacity and competing demand for limited resources. These challenges can be overcome by using some or all of the paths and steps to resilience identified in this guide.
Guide The Gu especia to lead agencie and sta and cap practice compre The Gu adoptio busines shown F Structu ide was d lly the âm or facilita s. It is de tes of pre abilities t s into a f hensive a ide is fram n across t s where r in Figure igure 1.1 D Dom re and esigned w iddleâ ma te the res signed to paration t o make th orward-lo pproach t ed aroun he many esilience p 1.1. omains of ains addr Content ith many nagers wh ilience ad encourag o define t e transitio oking, risk o resilienc d the con âdomains ractices c Resi l ience essed in users in m o might b option pro e agencie heir own n from âe -recogniz e. cept of re â of transi an be inc this Guid ind, but e most li cess in th s of all siz circumsta verydayâ ing and silience t agency orporated ï§ Poli ï§ Syst ï§ Proj Con ï§ Cap ï§ Main ï§ Eme Overar Safety, Sustain e and the xv kely eir es nces , as cy and Ad ems Plan ect Deve struction ital Progr tenance rgency P ching sys Asset M abil i ty Databas ministrat ning lopment a amming and Ope reparedn tems incl anageme e are: ion nd rations ess ude nt and
xvi Resilience is most effective when it is âbaked inâ to all domains and systems, illustrated as the outer ring of Figure 1.1. The inner ring, consisting of safety, asset management, and sustainability, represents cultures, systems and practices that are most effective when they permeate the agency and are part of every domain. All three also support and are supported by a culture of resilience. They are likely to find different levels of emphasis at every agency, with safety usually and naturally the most prominent, followed closely by asset management. References to domains can be found throughout the Guide and the database on the Improving Transit System Resilience Website. The Guide has four chapters. ï§ Chapter 1 begins to answer the question âWhat is Transit System Resilience?â It describes different pathways that transit agencies have taken to adopting practices that improve resilience (though not always using the term resilience). Some have turned to resilience measures out of necessity after disaster strikes, while some have been able to leverage leadership and organizational culture and/or build on existing or emerging systems of asset management, environmental management, sustainability, safety, and/or emergency preparedness to better prepare for emergencies. Chapter 1 introduces some of the tools found in Chapter 4 and other available resources.
ï§ C a a y w re c o h c ï§ C h b d c a a to c re c lo c th e o ï§ C s hapter 2 gencyâs pa ssociated our agenc hatever y silience m ategory o thers requ igher-leve ompeting hapter 3 elp you a roader res epends o ommunica nd so mu nd busine you to f onvening silience a hapter pro ok, what onversatio e types o stablish w ther trans hapter 4 uch as wo provides a th to res tools from y make p our startin ay be. So f common ire a spec l priority demands provides a lign your ilient com n fuel sup tions, wat ch more, a sses depe ind those these imp nd interde vides sug to look fo n, examp f agreem ith key su it agencie provides s rksheets, four-ste ilience. Th Chapter rogress to g point o me appro sense, ev ific long- in the con . three-ste agency as munity. Y pliers, pow er and se nd many nd on yo in your re ortant dis pendenc gestions r, potenti le questio ents you m ppliers, st s. tandalon templates p plan to e four ste 4, will he ward resi r point of aches fal eryday pr term focu text of p plan to part of a our agen er and wer servic individua u. It will b gion who cussions o ies, but th on where al topics o ns to ask, ay want orage fac e tools an , example charting y ps, and lp you an lience, entry into l in the actice, wh s or cy es, ls e up are n is to f and to ilities, and d resourc questions xvii our d ile es, , CASE TOOL TI Throu Guide highlig follow Tips or h Example case stu Referen tools ghout the three ico ht the ing: ints s from dies ce to ns
xviii and checklists. It also provides brief synopses of the more extensive tools and resources to be found on the Improving Transit Resilience Website. The Improving Transit Resilience Website The Guide is expanded by the Improving Transit System Resilience Website located online at: resilienttransit.org. The Website includes a link to an electronic version of the Guide and a searchable database of resilience-related tools, references and resources for the transit industry. These include a variety of useful checklists, worksheets, and descriptions of potentially useful tools from selected transit agencies plus other references with links to the sources. The database also includes synopses of the literature sources, as well as full case studies. How to Use the Guide and Website Whether you are just starting out or have been working on improving the resilience of your agencyâs infrastructure and services for some time, the Improving Transit Resilience Guide and Website should have something for you.
xix If your agency is just beginning to talk about resilience, the Guide has vocabulary and resources to shorten the learning curve. Chapter 1 will introduce you to different approaches other agencies have found useful to implement resilience. The steps in Chapter 2 will take you through a process that you can follow at your agencyâs own pace to get the approach and actions that are necessary and useful to you. The steps in Chapter 3 alert you to regional interdependencies and potential partners. Chapter 4 summarizes case studies, tools and other resources in the Database. The Guide has been formatted to make it easy to skip around in the chapters and steps to discover where you might add to the work you are already doing. Look at the Case Studies on the Webpage and the practice summaries included in the Database. If you want to know more about a specific agencyâs efforts, the case study agencies contacted for this Guide all expressed willingness to talk with you, if you have questions about their challenges and successes. One of the hoped-for outcomes of this Guide is to foster connections among agencies working toward resilience. Go to the Website and search the Improving Transit Resilience Webpage for what you need. The Website has a landing page to guide you to the four major components of the site: this Guide; Final Report and the Literature Review Syntheses; the Case Studies; and the Database with checklists, worksheets and tools you can use immediately. Are you new to resilience planning? Are you looking for ways to enhance and expand your resilience efforts? Do you want to find out what other agencies are doing? Are you looking for specific practices or resources?