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

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204 Templates for Each Self-Assessment Step A P P E N D I X B Table 42. Template for Assess Current Practice (Step 1). Maturity Factor Points (1 to 3) Has your agency conducted and documented a self-assessment of what it can do to better integrate concerns for transportation system resilience into agency functions? As part of your self-assessment process, have you examined best practices from other agencies and organizations? FHWA has developed self-assessment tools for transportation system operations areas aimed at improving the performance and reliability of the road system. Have you used any of these tools to improve the system operations capabilities of your agency: • Road Weather Management • Planned Special Events • Traffic Incident Management • Traffic Management • Traffic Signal Management • Work Zone Management Have you used the Cybersecurity Evaluation Tool (CSET) or an equivalent tool to improve the cybersecurity performance of your agency’s enterprise and industrial control systems (ICS)? Do you review and update your resilience-oriented operations plans? Are after-action reports created after major incidents and disruptions? Are after-action reports reviewed systematically and analyzed for prospective corrective actions? Are maintenance data reviewed to identify assets with previous impacts/repeat failures? Have you examined human/physical threats, natural hazards, and cyber threats as potential sources of vulnerabilities to your transportation system? Have you reviewed your agency’s design criteria to assess their adequacy for enhancing system resilience? Have you reviewed staff roles and responsibilities to identify how they relate to enhancing system resilience? Have you examined your training/professional development programs for their coverage of resilience? Other? Score for Assess Current Practice /36 = %

Templates for Each Self-Assessment Step 205   Table 43. Template for Organize for Success (Step 2). Maturity Factor Points (1 to 3) Does your agency have a resilience strategy/program? Has a document describing your resilience strategy/program been developed? Has leadership of the resilience strategy/program been assigned in your agency? Have staff been assigned to support the agency’s resilience strategy/program? Has some mechanism been established (e.g., an advisory group, task force, council) to coordinate resilience efforts? Is the agency CEO/director aware of and involved in the resilience program? Are department heads within the agency aware of and involved in the resilience program? Have resilience-related job responsibilities been assigned to staff? Does your agency use quality assurance/quality control processes in managing your resilience program? Has your agency been working closely with local jurisdictions in supporting efforts to develop more resilient communities? Has coordination occurred with state, federal, and local agencies involved in setting climate adaptation policy? Other? Score for Organize for Success /33 = %

206 Mainstreaming System Resilience Concepts into Transportation Agencies: A Guide Table 44. Template for Develop an External Communications Strategy and Plan (Step 3). Maturity Factor Points (1 to 3) Does your agency have an external communications strategy that supports your resilience program? Has your agency published a communications plan or documented the strategy in some other way as part of your external communications strategy? To what extent has staff from different units in your agency been involved in the development of the external communications strategy? Does your external communications strategy provide information on the general topic of resilience as well as background on the natural and human- caused hazards and threats facing the transportation system? Does your agency’s external communications strategy include multiple means of outreach (written materials, web-based capabilities, social media, speaker’s bureau, and the like)? Does the external communications strategy include a social media outreach capability? Does your agency’s website include information on your resilience strategies, programs, and projects? Does your agency have a point of contact or spokesperson on resilience topics, including a contact for incident responses? Has your agency coordinated your external communications strategy with other partner agencies? Other? Score for Developing an External Communications Strategy and Plan /27 = %

Templates for Each Self-Assessment Step 207   Table 45. Template for Implement Early Wins (Step 4). Maturity Factor Points (1 to 3) Has your agency undertaken a systematic effort to identify those actions that could be implemented quickly and that would enhance system resilience? Has your agency adopted a policy where new projects are to explicitly consider resilience in terms of design and operations? Has your agency pursued betterments when reconstructing facilities that have been damaged by extreme weather events? Does your agency have a program for periodically cleaning culverts and other drainage infrastructure to make sure they will function as designed? Has your agency developed a strategy of pre-positioning equipment, materials, and other resources to respond to a disruption and/or support recovery? Has your agency developed and approved joint agreements or understandings with other agencies to share resources (e.g., staff and equipment) during emergencies? Has your agency developed agreements or understandings with FEMA regarding procedures and requirements when a disaster has been declared? Have you participated in AASHTO, FHWA, or other professional association resilience efforts? Has your agency implemented any resilience-related strategies beyond those listed in this step’s factors that can be considered early wins during the past 2 years? Other? Score for Implementing Early Wins /27 = %

208 Mainstreaming System Resilience Concepts into Transportation Agencies: A Guide Table 46. Template for Understand the Hazards and Threats (Step 5). Maturity Factor Points (1 to 3) Have you established a working group for the system-wide assessment? Have you identified natural hazards that could impact your transportation system? Have you identified physical or human-caused threats that may impact your agency? Have you identified cyber threats that may impact your agency? Have you identified relevant hazard metrics by asset type? Have you collected GIS-based transportation asset data necessary to perform an exposure analysis? Have you evaluated the current and future spatial extents of the natural hazards facing your agency? Have you identified the transportation assets exposed to the natural hazards? Have you developed written documentation that describes the data, methodologies, and the findings of the exposure analysis? Other? Score for Understanding the Hazards and Threats /27 = %

Templates for Each Self-Assessment Step 209   Table 47. Template for Understand the Impacts (Step 6). Maturity Factor Points (1 to 3) Have you assessed the potential degree of physical damage to the exposed assets from each hazard or threat? Have you estimated how long each asset will be unavailable due to an event? Have you identified network interdependencies with other sector networks that interface with your system? Have you estimated the socioeconomic costs on the affected communities in response to reduction of service? Have you considered the impacts of asset loss within the system for disadvantaged and/or underserved populations? Have you considered the impacts of asset loss to critical/lifeline routes? Have you considered the impacts of asset loss on freight movement? Have you disseminated the results of the impact analysis? Other? Score for Understanding the Impacts /24 %

210 Mainstreaming System Resilience Concepts into Transportation Agencies: A Guide Table 48. Template for Determine Vulnerability and Prioritize Responses (Step 7). Maturity Factor Points (1 to 3) Have you characterized the vulnerability of each asset to each hazard? Have you characterized the vulnerability of each asset for all potential hazards/threats and hazard/threat combinations? Have you developed a prioritized list of vulnerable assets? Have you communicated the prioritization of assets to agency staff and key external constituencies? Other? Score for Determining Vulnerability and Prioritize /12 = %

Templates for Each Self-Assessment Step 211   Table 49. Template for Assess Strategies for Enhancing Emergency Response Capabilities and Agency Preparedness (Step 8A). Maturity Factor Points (1 to 3) Does the agency have effective internal and external processes for communicating and sharing emergency response information? Do you have an “All-Hazards Plan” for responding to emergencies? Does the agency factor the information obtained from prior emergency incidents or events into its all-hazards response plans? Does your agency periodically field-test critical emergency management technologies, equipment, and systems to ensure performance? Does your agency’s emergency response/management and security staffs interact with other units in your agency (e.g., planning, design, construction, and operations) to provide input on resilience-related aspects of their efforts? Does your agency have a training and exercise program for the emergency response and management program? Do your agency’s budget and management support systems consider the staff surge, equipment, and communications system needs of your emergency response and management strategy? Does your agency have a Continuity of Operations Plan (COOP)/ Disaster Recovery Plan (DRP) in the event of major disruptions to the agency and/or in the chain of command? Does your agency conduct training, drills, and exercises on its COOP/DRP (including response procedures and decision-making processes? Does the agency have a plan in place to address emergencies associated with Industrial Control Systems (ICS) and Information Technology (IT) system cyber threats? Has your agency identified cybersecurity roles and user categories for employees and contractors and developed and implemented policies and guidelines for these roles and categories (e.g., policies regarding mobile devices) to ensure the protection of the agency against information system external and internal threats? Does your agency use basic cybersecurity techniques and cyber hygiene practices? Has your agency developed and tested a cyber-incident response and recovery plan with the participation of key stakeholders? Does your agency regularly back up agency critical data in an accessible secondary digital location? Has your agency established a cybersecurity awareness training program? Other? Score for Enhancing Emergency Response Capabilities and Agency Preparedness /45 = %

212 Mainstreaming System Resilience Concepts into Transportation Agencies: A Guide Table 50. Template for Identify Enhancements to Operations and Maintenance Activities (Step 8B). Maturity Factor Points (1 to 3) Has your agency assessed current operations & maintenance (O&M) strategies based on potential vulnerabilities identified in Step 7? Does your agency provide O&M staff opportunities to report resilience- oriented problems and potential corrective actions? Has your agency examined changes in vegetation control practices to keep pace with changes in climate (e.g., increase trimming frequency or planting more drought- or heat-tolerant species)? Has your agency coordinated the collection of asset condition data as part of its asset management program with ongoing maintenance activities in order to identify the total costs of recurring asset failure? Does your agency have contingency plans in the event TMCs are disrupted, e.g., alternative ways of providing traveler information when there is a disruption of the electrical grid? Has your agency developed field exercises and training exercises for O&M staff on the roles they play in overall system resilience? Has your agency implemented a cybersecurity protection plan for critical TMC and operations assets? Does your agency regularly back up data critical for operations? Are the backup data stored in a location separate from the original source? Has a document describing your O&M-related resilience strategy been developed? Other? Score for Identify Enhancements to Operations and Maintenance Activities /24 = %

Templates for Each Self-Assessment Step 213   Table 51. Template for Undertake Detailed Assessments of Exposed Assets and New Projects (Step 8C). Maturity Factor Points (1 to 3) When projects are being developed, does your agency require the consideration of resilience concerns? When projects are being developed, do you utilize projected data on the future frequency, magnitude, and scope of natural hazards? When you develop projects, does your agency formally account for the uncertainty in natural hazard likelihood? When you develop projects, how are adaptation options determined? When you develop projects, do you use resiliency-driven economic analysis to determine the most cost-effective project design? Does your value engineering process consider resilience measures as a valid cost? Do you consider resilience in facility management plans? Do you document how resilience concerns were addressed for each project? Other? Score for Undertake Detailed Assessments of Exposed Assets and New Projects /24 = %

214 Mainstreaming System Resilience Concepts into Transportation Agencies: A Guide Table 52. Template for Integrate into Asset Management (Step 8D). Maturity Factor Points (1 to 3) What assets and asset attributes are included in your asset management process that relates to system resilience? Have you integrated vulnerability scores from Step 7 into your asset TAMP and TAM process? Does your TAM process use asset condition and performance measures relating to natural and human-caused disruptions? Does your risk-based, performance gap assessment for your TAMP include risks associated with system resilience? Does your TAMP and TAM process use life cycle costs that reflect potential system disruptions? Does your TAMP risk management analysis include risks associated with natural hazards? Is your TAM process linked to your agency’s maintenance program such that it considers the trade-offs between today’s capital investment and tomorrow’s operations and maintenance costs? Does your TAMP financial plan include a strategy for funding needed improvements to reduce system risks, whether as part of normal capital investment or as a stand-alone funding initiative and improve/enhance system resilience? Has your agency considered changes to the asset management process itself so as to enhance the consideration of resilience? Has your agency provided training or professional development opportunities to the asset management staff that include how to better consider system resilience in the asset management process? Other? Score for Integrate into Asset Management /30 = %

Templates for Each Self-Assessment Step 215   Table 53. Template for Program and Implement Resilience Measures (Step 9). Maturity Factor Points (1 to 3) Has your agency made the business case for investing in resilience-oriented projects and strategies? Has your agency/jurisdiction established a resilience project funding category or have you targeted funds to projects whose primary aim is to enhance system resilience? To what degree are project resilience-oriented considerations included in the capital program prioritization process? To what degree are project resilience-oriented considerations included in noncapital program prioritization processes (e.g., operations and maintenance program priorities)? Has your agency implemented projects where incremental increases in project costs were allowed to increase system resilience? Has your agency participated with partner agencies in jointly sponsoring projects that will enhance overall system resilience? If your agency uses public-private partnership (P3) agreements, to what extent are resilience-oriented performance criteria incorporated into the contractual requirements of the investor/bidder responsibilities? Does your agency periodically monitor funding allocations to determine how many projects are being funded that have been defined from Step 8 has having system resilience benefits? Other? Score for Program and Implement Resilience Measures /24 = %

216 Mainstreaming System Resilience Concepts into Transportation Agencies: A Guide Table 54. Template for Monitor and Manage System Performance (Step 10). Maturity Factor Points (1 to 3) Have you identified and are you using resilience metrics to monitor transportation system performance and your agency’s contribution to system resilience? Are the results of resilience performance monitoring reported on a periodic basis to agency leadership? Has the monitoring of system resilience led to changes in agency processes or outputs in order to achieve better system resilience? Is your resilience monitoring internally consistent amongst agency units? Do you monitor the performance metrics of other agencies and partners who have a role in enhancing system resilience (e.g., enforcement or emergency response providers) to determine how your agency’s actions affect their overall performance? Have you used resilience metrics in communicating to key policy leaders and other decision-makers outside of your agency? Have you developed and reported on performance metrics relating to incident/event response? Have you assigned monetary estimates to the benefits of showing positive resilience outcomes? Other? Score for Monitor and Manage System Performance /24 = %

Abbreviations and acronyms used without denitions in TRB publications: A4A Airlines for America AAAE American Association of Airport Executives AASHO American Association of State Highway Officials AASHTO American Association of State Highway and Transportation Officials ACI–NA Airports Council International–North America ACRP Airport Cooperative Research Program ADA Americans with Disabilities Act APTA American Public Transportation Association ASCE American Society of Civil Engineers ASME American Society of Mechanical Engineers ASTM American Society for Testing and Materials ATA American Trucking Associations CTAA Community Transportation Association of America CTBSSP Commercial Truck and Bus Safety Synthesis Program DHS Department of Homeland Security DOE Department of Energy EPA Environmental Protection Agency FAA Federal Aviation Administration FAST Fixing America’s Surface Transportation Act (2015) FHWA Federal Highway Administration FMCSA Federal Motor Carrier Safety Administration FRA Federal Railroad Administration FTA Federal Transit Administration HMCRP Hazardous Materials Cooperative Research Program IEEE Institute of Electrical and Electronics Engineers ISTEA Intermodal Surface Transportation Efficiency Act of 1991 ITE Institute of Transportation Engineers MAP-21 Moving Ahead for Progress in the 21st Century Act (2012) NASA National Aeronautics and Space Administration NASAO National Association of State Aviation Officials NCFRP National Cooperative Freight Research Program NCHRP National Cooperative Highway Research Program NHTSA National Highway Traffic Safety Administration NTSB National Transportation Safety Board PHMSA Pipeline and Hazardous Materials Safety Administration RITA Research and Innovative Technology Administration SAE Society of Automotive Engineers SAFETEA-LU Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (2005) TCRP Transit Cooperative Research Program TDC Transit Development Corporation TEA-21 Transportation Equity Act for the 21st Century (1998) TRB Transportation Research Board TSA Transportation Security Administration U.S. DOT United States Department of Transportation

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