Mainstreaming System Resilience Concepts into Transportation Agencies: A Guide (2021)

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2021 N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M NCHRP RESEARCH REPORT 970 Mainstreaming System Resilience Concepts into Transportation Agencies: A Guide Chris Dorney Herndon, VA Michael Flood Washington, DC Tim Grose San Francisco, CA Paula Hammond Olympia, WA Michael Meyer Atlanta, GA Rawlings Miller Boston, MA WSP USA, Inc. Ernest R. Frazier, Sr. Countermeasures Assessment & Security Experts (CASE™), LLC New Castle, DE Jeffrey L. Western Western Management & Consulting, LLC Madison, WI Yuko J. Nakanishi Pierre M. Auza Nakanishi Research and Consulting, LLC Forest Hills, NY John Betak Collaborative Solutions, LLC Albuquerque, NM Subscriber Categories Public Transportation • Administration and Management • Security and Emergencies Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed, and implementable research is the most effective way to solve many problems facing state departments of transportation (DOTs) administrators and engineers. Often, highway problems are of local or regional interest and can best be studied by state DOTs individually or in cooperation with their state universities and others. However, the accelerating growth of highway transporta- tion results in increasingly complex problems of wide interest to high- way authorities. These problems are best studied through a coordinated program of cooperative research. Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 ini- tiated an objective national highway research program using modern scientific techniques—the National Cooperative Highway Research Program (NCHRP). NCHRP is supported on a continuing basis by funds from participating member states of AASHTO and receives the full cooperation and support of the Federal Highway Administration (FHWA), United States Department of Transportation, under Agree- ment No. 693JJ31950003. The Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine was requested by AASHTO to administer the research program because of TRB’s recognized objectivity and understanding of modern research practices. TRB is uniquely suited for this purpose for many reasons: TRB maintains an extensive com- mittee structure from which authorities on any highway transportation subject may be drawn; TRB possesses avenues of communications and cooperation with federal, state, and local governmental agencies, univer- sities, and industry; TRB’s relationship to the National Academies is an insurance of objectivity; and TRB maintains a full-time staff of special- ists in highway transportation matters to bring the findings of research directly to those in a position to use them. The program is developed on the basis of research needs iden- tified by chief administrators and other staff of the highway and transportation departments, by committees of AASHTO, and by the FHWA. Topics of the highest merit are selected by the AASHTO Special Committee on Research and Innovation (R&I), and each year R&I’s recommendations are proposed to the AASHTO Board of Direc- tors and the National Academies. Research projects to address these topics are defined by NCHRP, and qualified research agencies are selected from submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Academies and TRB. The needs for highway research are many, and NCHRP can make significant contributions to solving highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement, rather than to substitute for or duplicate, other highway research programs. Published research reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to https://www.mytrb.org/MyTRB/Store/default.aspx Printed in the United States of America NCHRP RESEARCH REPORT 970 Project 20-117 ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-67399-0 Library of Congress Control Number 2021937553 © 2021 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FTA, GHSA, NHTSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; the FHWA; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names or logos appear herein solely because they are considered essential to the object of the report.

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. John L. Anderson 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.nationalacademies.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 provide leadership in transportation improvements and innovation through trusted, timely, impartial, and evidence-based information exchange, research, and advice regarding all modes of transportation. The Board’s varied activities annually engage about 8,000 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.

C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR NCHRP RESEARCH REPORT 970 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Stephan A. Parker, Senior Program Officer Stephanie Campbell, Senior Program Assistant Eileen P. Delaney, Director of Publications Natalie Barnes, Associate Director of Publications NCHRP PROJECT 20-117 PANEL Field of Special Projects Dana Hendrix, California Department of Transportation (Caltrans), Sacramento, CA, (Co-Chair) Brian Ness, Idaho Transportation Department, Boise, ID, (Co-Chair) Chris Baglin, tensARC, Ltd., Alexandria, VA Brent Cain, Arizona Department of Transportation, Phoenix, AZ Heather Cook, Westminster, CO Catherine Dallaire, KPMG LLP, Ottawa, ON Sybil Derrible, University of Illinois, Chicago, Chicago, IL Cassandra Isackson, Minnesota Department of Transportation, St. Paul, MN Yuko Nakanishi, Nakanishi Research and Consulting, LLC, Forest Hills, NY Debra Nelson, New York State Department of Transportation, New York, NY Lorenzo G. Parra, Massachusetts Department of Transportation (retired), Las Cruces, NM Yilei Shi, State University of New York (SUNY), Potsdam, NY David Cooper, TSA Liaison Richard Gerhart, FTA Liaison Jia-Dzwan Shen, FHWA Liaison Anthony B. Tisdale, FTA Liaison William D. Brohard, National Guard Bureau, Joint Training & Education Division Liaison Jason Cowin, Military Surface Deployment & Distribution Command Liaison John French, U.S. Department of Homeland Security Liaison Sarah Gambill, U.S. Department of Homeland Security Liaison Jim McDonnell, AASHTO Liaison Melissa Savage, AASHTO Liaison Patrick Zelinski, AASHTO Liaison William Anderson, TRB Liaison

This Guide is designed to provide transportation officials with a practical, self-assessment tool to gauge their agency’s efforts to improve the resilience of the transportation system by mainstreaming resilience concepts into agency decision-making and procedures. The Guide can be applied to a broad array of natural and human-caused threats to transporta- tion systems and services. The Guide and a toolkit of supplemental materials present the state of the art and the state of the practice that will be of immediate interest to transporta- tion agency leadership and practitioners. In 2018, the Transportation Research Board (TRB) sponsored the Transportation Resil- ience Innovations Summit and Exchange (RISE) in Denver, Colorado. The event convened more than 450 practitioners and researchers, including state departments of transportation (DOTs), to focus on implementing risk and resilience practices within daily and emergency management operations in their particular environments. Under NCHRP Project 20-117, “Deploying Transportation Resilience Practices in State DOTs,” WSP USA was charged with supporting the RISE event and an accompanying peer exchange. Their charge also included producing a Guide that incorporates practical, effective methods for measuring risk reduction and increased resilience to be used by state DOTs and other entities to orga- nize their plans and programs at the enterprise level. Supplemental materials to the Guide include a compilation of posters, the program agenda from the 2018 Transportation RISE, and a PowerPoint presentation on resilience. Beginning shortly after the terrorist attacks of September 11, 2001, and the anthrax and sniper attacks that quickly followed, state DOTs initiated a variety of activities, includ- ing research, to address a changed threat environment that involves security, emergency management, and infrastructure protection and resilience. Resilience has many different dimensions and relates to activities ranging from planning through design and construction to operations and maintenance. Resilience also includes social, economic, and funding considerations and depends on the participation of a diverse set of agencies and organizations. Major shifts in how transpor- tation agencies view resilience occurred following Hurricane Katrina, superstorm Sandy, infectious disease outbreaks from pandemic flu, and most recently, COVID-19. State DOTs and other organizations, including the American Association of State Highway and Trans- portation Officials (AASHTO) and TRB, have investigated how best to prepare for, pre- vent, mitigate, respond to, or recover from weather-related and human-caused disasters, emergencies, and security incidents. Significant institutional, organizational, and technical issues are emerging as the broader transportation community enters the evolving fields of resilience and security. F O R E W O R D By Stephan A. Parker Staff Officer Transportation Research Board

Supplemental materials to this Guide are available on the TRB website at trb.org by searching “NCHRP Research Report 970.” This Guide joins other relevant NCHRP research products: NCHRP Research Report 975: Transportation System Resilience: Research Roadmap and White Papers and NCHRP Research Report 976: Resilience Primer for Transportation Executives. These are also available on the TRB website at trb.org by searching “NCHRP Research Report 975” and “NCHRP Research Report 976.”

1 Summary 4 Chapter 1 Introduction 5 Purpose of the Guide 5 Defining Resilience and Other Key Terms 7 Relationship to Other Resilience Research and Guidance 9 Intended Audiences 9 Guide Organization 10 How to Use the Guide: A Roadmap 11 Chapter 1 References 12 Chapter 2 A Framework and Self-Assessment Tool for Mainstreaming Transportation Agency Resilience Capabilities 13 The Framework Overview 17 State DOT Example Application of the Framework 20 The Resilience Capability-Maturity Model 25 Recommended Actions to Maintain the Highest Level of Agency Resilience Capability 25 Recommended Actions to Achieve Higher Levels of Resilience Capability 26 Chapter 2 Reference 27 Chapter 3 Assess Current Practice (Step 1) 27 Capability Factors and Levels of Maturity 33 Recommended Actions to Maintain the Highest Level of Agency Resilience Capability 37 Recommended Actions to Achieve Higher Levels of Resilience Capability 38 Chapter 3 Reference 38 Useful Resources 39 Chapter 4 Organize for Success (Step 2) 39 Capability Factors and Levels of Maturity 44 Recommended Actions to Maintain the Highest Level of Agency Resilience Capability 48 Recommended Actions to Achieve Higher Levels of Resilience Capability 49 Useful Resources 50 Chapter 5 Develop an External Communications Strategy and Plan (Step 3) 51 Capability Factors and Levels of Maturity 55 Recommended Actions to Maintain the Highest Level of Agency Resilience Capability 59 Recommended Actions to Achieve Higher Levels of Resilience Capability 60 Useful Resources C O N T E N T S

61 Chapter 6 Implement Early Wins (Step 4) 62 Capability Factors and Levels of Maturity 66 Recommended Actions to Maintain the Highest Level of Agency Resilience Capability 69 Recommended Actions to Achieve Higher Levels of Resilience Capability 69 Chapter 6 References 69 Useful Resources 71 Chapter 7 Understand the Hazards and Threats (Step 5) 71 Capability Factors and Levels of Maturity 87 Recommended Actions to Maintain the Highest Level of Agency Resilience Capability 87 Recommended Actions to Achieve Higher Levels of Resilience Capability 88 Chapter 7 References 89 Useful Resources 90 Chapter 8 Understand the Impacts (Step 6) 91 Capability Factors and Levels of Maturity 98 Recommended Actions to Maintain the Highest Level of Agency Resilience Capability 101 Recommended Actions to Achieve Higher Levels of Resilience Capability 102 Chapter 8 References 102 Useful Resources 103 Chapter 9 Determine Vulnerability and Prioritize Responses (Step 7) 105 Capability Factors and Levels of Maturity 109 Recommended Actions to Maintain the Highest Level of Agency Resilience Capability 109 Recommended Actions to Achieve Higher Levels of Resilience Capability 110 Chapter 9 References 110 Useful Resources 111 Chapter 10 Identify Actions to Enhance Resilience (Step 8) 113 Chapter 11 Assess Strategies for Enhancing Emergency Response Capabilities and Agency Preparedness (Step 8A) 114 Capability Factors and Levels of Maturity 122 Recommended Actions to Maintain the Highest Level of Agency Resilience Capability 128 Recommended Actions to Achieve Higher Levels of Resilience Capability 130 Chapter 11 Reference 130 Useful Resources 132 Chapter 12 Identify Enhancements to Operations and Maintenance Activities (Step 8B) 133 Capability Factors and Levels of Maturity 139 Recommended Actions to Maintain the Highest Level of Agency Resilience Capability 139 Recommended Actions to Achieve Higher Levels of Agency Capability 141 Chapter 12 References 141 Useful Resources

142 Chapter 13 Undertake Detailed Assessments of Exposed Assets and New Projects (Step 8C) 142 Capability Factors and Levels of Maturity 148 Recommended Actions to Maintain the Highest Level of Agency Resilience Capability 151 Recommended Actions to Achieve Higher Levels of Resilience Capability 152 Chapter 13 Reference 152 Useful Resources 154 Chapter 14 Integrate into Asset Management (Step 8D) 154 Capability Factors and Levels of Maturity 159 Recommended Actions to Maintain the Highest Level of Agency Resilience Capability 163 Recommended Actions to Achieve Higher Levels of Resilience Capability 164 Chapter 14 References 164 Useful Resources 166 Chapter 15 Program and Implement Resilience Measures (Step 9) 166 Capability Factors and Levels of Maturity 170 Recommended Actions to Maintain the Highest Level of Agency Resilience Capability 173 Recommended Actions to Achieve Higher Levels of Resilience Capability 174 Useful Resources 175 Chapter 16 Monitor and Manage System Performance (Step 10) 175 Capability Factors and Levels of Maturity 179 Recommended Actions to Maintain the Highest Level of Agency Resilience Capability 182 Recommended Actions to Achieve Higher Levels of Resilience Capability 183 Chapter 16 References 183 Useful Resources 184 Chapter 17 Mainstreaming Resilience into Agency Functional Areas 184 Policy Development/Agency Leadership and Management 186 Planning 187 Project Development/Engineering 187 System and Traffic Operations 187 Construction 192 Maintenance 192 Asset Management 192 Emergency Response, Agency Preparedness, and Cybersecurity 192 Public Outreach/Communications 199 Acronyms 201 Appendix A Relationship to Other Resilience Frameworks 204 Appendix B Templates for Each Self-Assessment Step Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the color versions.