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The CEO Role in Resilience 7Â Â â¢ Have the major eventsâdisasters, extreme weather impacts, and human-caused catastrophesâ experienced in your state or during your tenure at a state DOT affected your view of resilience? â¢ How secure are your data and systems? â¢ Has your own point of view on resilience emerged or changed over time? If so, how? â¢ What level of interest in resilience do you expect from each of your audiences (e.g., the governor, legislators, business and community leaders, the general public, your employees, and contractors)? How will you encourage interest if little or none exists? Business Processes: General â¢ Is resilience a focus in your strategic and long-term plans? â¢ How does your agency evaluate and select adaptation strategies? Do you include factors such as technical and political feasibility, safety costs and benefits, life-cycle costs, efficacy, flexibility, and sustainability? â¢ Do you regularly review and assess agency capabilities necessary for successful implementation of resilience (e.g., improvements in business processes, systems and technologies, perfor- mance management, culture, organization and workforce, and collaboration)? â¢ Are the staff that will be doing the work preparing for resilient operations and recovering from disruption being asked what they will need to be successful? Risks and Hazards â¢ Has your agency implemented industry standards and best practices related to agency risks for design standards? For materials procurement and use? For asset management? For construction? For bridge management systems? For cybersecurity? For safety? â¢ Does the agency have a risk tolerance policy? Are there some facilities or assets too important to fail? Are there some that can be relocated if necessary? â¢ Where are your critical corridors of commerce and priority connections between economic sectors? How does your agency assess the wide range of risks to these corridors? â¢ Does your agency include geotechnical assets during corridor asset and risk assessments? Are there geologic hazards and/or extreme weather events that could interrupt critical corridors of commerce? â¢ Do you incorporate cyber risks into existing risk management and governance processes? â¢ Does your agency elevate cyber risk management discussions to the senior management? â¢ How does your agency monitor travel and health advisories issued by public health authorities? What are your agencyâs triggers and thresholds for activating plans and measures on the basis of those advisories? â¢ Do you have community and statewide plans reflecting integrated infrastructure recovery and mitigation priorities? â¢ What is your strategy for incorporating events and weather trends in your planning and budget-setting processes? â¢ What steps can be taken to identify and prioritize actions for mitigating and managing risks? â¢ Does your agency have regular coordination among on-the-ground staff and other departments to discuss vulnerabilities and inform investment decisions on the basis of past performance? â¢ How do you maintain situational awareness of current and future hazards and threats? What additional threats should your agency consider for its operations? Emergency Operations and Response â¢ Does your agency have a system to track event- and weather-related trends and costs over time (e.g., number of emergency event triggers, labor hours for preparation, response, and
8 Resilience Primer for Transportation Executives recovery)? Is the system event specific or does it use categories of events? Does it comply with FHWA and Federal Emergency Management Agency (FEMA) requirements? â¢ Is your emergency training frequent and specific enough to account for changes in systems and personnel? â¢ Has your agency developed a crosswalk to identify who may fulfill different functions (including those who are cross-trained)? â¢ Do your tabletops and exercises with emergency management, law enforcement, and other stakeholders include human services agencies and individuals with functional and acces- sibility needs, so that you are ready and resilient for the whole community? â¢ Have your maintenance and operations functions been prioritized to meet the anticipated emergencies? â¢ Is your agency prepared to provide needed employee well-being services and support family care during emergencies? â¢ How do emergency operations and day-to-day operations differ? â¢ Has your agency planned for emergencies, such as pandemics, that require operations with minimal physical interaction, social distancing, or the expectation that staff who are in the field or interacting with the public wear personal protective equipment? â¢ What agency services, assets, or infrastructure can be leveraged to assist with response and community recovery? â¢ What are the key services and critical infrastructure that need to come back for the community to return to normal? â¢ What efficiencies do your agency personnel have during an emergency that they donât normally have during daily operations (e.g., procurement strategies, quicker responses)? How can these efficiencies be integrated into daily operations? â¢ Do your emergency operations and recovery plans explicitly consider resilience? For example, do short-term recovery actions facilitate (or at least not impede) build-back-better strategies? â¢ Do your after-action plans include lessons learned for design and engineering as well as operations? For example, do you deploy an engineering assessment team after major events to gather information and data on what did and did not work in terms of design, including with respect to the specific hazard? Communications â¢ Where does resilience fit into the communications agenda you have set for your tenure as CEO? Do you monitor the idea regularly to decide whether it should move higher or lower on your list? â¢ How do you and your leadership team collaborate with internal and external sources of knowledge and insight to deliver resilience? â¢ What level of interest in resilience do you expect from each of your audiences (e.g., the gov- ernor, legislators, business and community leaders, the general public, your employees, and contractors)? â¢ What has been effective in your approach to communicating with each of your audiences? Will this approach work to encourage interest in resilience if little or none exists? Performance Measures â¢ Does your agency have a strategy for monitoring and evaluating progress toward resilience? â¢ Do you have an after-action reporting (AAR) system to determine what didnât go as planned? â¢ How do you update your plans on the basis of the results of the AAR? â¢ Does your agency have any resilience performance measures? Which of your current perfor- mance measures are relevant to resilience (e.g., mobility measures, recovery measures, safety)?
The CEO Role in Resilience 9Â Â â¢ What performance measures have you considered that relate to asset risks and potential damage related to events or catastrophic incidents? â¢ How do you know if your efforts and plans are successful? Asset Management and Procurement â¢ Has the implementation of your asset management systems discovered anything surprising that can benefit the agency? â¢ How can your asset management systems complement or improve risk management practices? â¢ Have you integrated resilience requirements in asset management, performance management, and risk management approaches in your agency? Are these functions coordinated with each other? â¢ How do asset management life-cycle and risk assessments consider weather and other threats? Are there ways your asset management plan can improve preventive and predictive maintenance practices? â¢ What are the largest maintenance issues for your agency? Which assets have the worst returns on investment? How does procurement incorporate life-cycle assessments into procurement decisions? Interagency Interdependencies and Stakeholder Engagement â¢ Who are your key state and regional private- and public-sector counterparts for critical inter- dependencies, such as utility providers and suppliers (power, water, and communications)? Do they know you? â¢ How does your agency regularly engage with other key critical infrastructure stakeholders in your region (e.g., utilities, manufacturers, logistics and service providers, and public and private transportation providers from all modes)? â¢ What opportunities can you participate in or create to discuss and work through scenarios (e.g., tabletops) for major catastrophic events with cascading failures? â¢ What are the potential or likely weak links in a catastrophic event among the critical infra- structure sectors in your state and region? What impact would failures in such weak links have on the transportation system, on other critical infrastructure, and on the community as a whole? Funding â¢ Which assets have had the greatest amount of funding allocated to reconstruction for recovery from events? Have resilience or mitigation options been considered or implemented for these assets? â¢ What are the short- and long-term financial needs associated with recovery from events? How have these needs been reflected in the investment scenarios? And in the budget? â¢ What types of strategies for mitigating the potential impact of events have been considered as part of the investment strategies? To what extent is priority given to mitigation and adaptation projects? â¢ Are funds allocated to risk monitoring and mitigation and to programs to improve asset resilience? â¢ Is funding prioritized to ensure that assets along critical corridors of commerce are well maintained? â¢ What existing programs, people, projects, and procedures can be leveraged to enhance resilience while achieving other priorities and goals? â¢ Are there creative ways to bring new money and resources to the table?
10 Resilience Primer for Transportation Executives Common Challenges DOT leaders highlighted the following roadblocks to incorporating resilience into agency operations and decision-making frameworks: constrained funding, performance measures and key performance indicators (KPIs), no ribbon cutting, and balancing long- and short-term perspectives. Constrained Funding In almost every state, allocating significant personnel and monetary and material resources to events that occur on infrequent bases (or that may not ever occur) is problematic. Resilience projects are prospective costs, with no guarantee that anticipated events will occur or that assets will be completely protected. Certainly, 100-percent protection is either impossible or financially unreasonable. State transportation leaders note that resilience projects should have goals beyond just saving money. If savings were the sole goal, agencies could be led to only protect high-value assets, even at the expense of poor, minority, or otherwise disadvantaged populations that live around those agency assets. Resilience planning needs to consider safety, environmental justice, equity, and impacts on the whole community, including traditionally underserved and marginalized populations. Federal grants can place limits on how funds are used. Funds cannot be allocated for pre- ventive purposes unless specifically authorized. Even when funds are available, issues arise on how and where these funds may be used. The limited flexibility created by the need to comply with FEMA or FHWA restrictions or to fit agency budget buckets or categories such as capital, maintenance, or operations can inhibit doing what is needed to increase the resilience of the system. Approaches to Constrained Funding â¢ Tell a clear story of what resilience means to your state. Make your argument persuasive in a competitive funding environment. Explain how preparedness and investment in resilience (embodied in sound O&M practices and effective planning, design, and construction) can reduce costs, save lives, and keep the transportation system functioning. Be sure pro- cesses are made understandable by showing how funding is used and what expenditures accomplish. â¢ Demonstrate the business case for resilience. On the basis of 23Â years of data, the National Institute of Building Sciences found that mitigation funding can save the nation $6 in future disaster costs for every $1 spent on hazard mitigation (Natural Hazard Mitigation Saves: 2017 Interim Report, Multihazard Mitigation Council, Washington, DC, 2017). Life-cycle, asset management, and risk management analysis tools can help you make your financial case for the investment in greater durability and reliability. â¢ Be creative to increase flexibility of funding options. DOTs have been successful with the state buy-back of federal funds, use of funds from FEMA and the U.S. Department of Housing and Urban Development, issuing resilience bonds, leveraging insurance partner- ships, and more. FHWA and Federal Transit Administration funding streams have some built-in flexibility. For example, up to 50Â percent of funding from most categories of a stateâs allocation of Federal-Aid Highway funds can be transferred into the funding category with the broadest eligibility. â¢ Frame investments to address common causes or reap multiple benefits so funds can be pooled. Garnering support from other agencies, nonprofits, the business community, Find common causes so you can pool resources with sister agencies.
The CEO Role in Resilience 11Â Â or other states may allow resources to be pooled among the agencies or states. Investment in resilience may become more attractive when investments are designed to reap multiple benefits, including community economic benefits. Performance Measures and Key Performance Indicators Performance measures allow you to track the current level of system resilience at your agency and document the benefits expected from resilience investments already made and those being planned. Most importantly, performance measures allow you to identify and track where organizational actions and investments are making a difference. Standardized measurements for resilience of transportation systems have not been estab- lished. Common resilience metrics in the transportation sector are often related to system reliability and rapidityâthe capacity to restore functionality in a timely way. They usually do not measure other aspects of resilience, such as robustness and redundancy. Quantitative approaches tend to be less flexible, more time consuming, and appropriate for more narrow assessments of networks and systems. Qualitative assessments are more subject to inter- pretation. Perhaps the biggest challenge in measuring resilience is the difficulty of capturing measures of âdoesnât fail.â Just as it is difficult to measure the costs of inaction, it is difficult to meaningfully quantify the ability of systems and system elements to withstand events. Approaches to Measuring Performance and KPIs â¢ Set your own performance measures for resilience. Resilience measures ideally should be based on results or outcomes, not inputs. Pre-event, rather than post-event, quantifications may be more useful in developing plans and recommendations for agency policies and actions. â¢ Use measures that can be translated to meaningful terms and actions. Terms such as âgood,â âfair,â or âpoorâ can be correlated to specifics to be really useful. For example, Oregonâs state resilience goals focus on the ability to âsave lives, reduce losses, speed recovery, and rebuild betterâ (The Oregon Resilience Plan: Reducing Risk and Improving Recovery for the Next Cascadia Earthquake and Tsunami, Oregon Seismic Safety Policy Advisory Commission, Salem, Oregon, 2013). Corresponding measures assess the performance of existing critical facilities and systems and evaluate restoration functions at present conditions to achieve the desired performance targets. Three thresholds of resilience targets have been establishedâ minimal, functional, and operationalâall defined in terms of specific levels of service and system capacity. â¢ Take advantage of existing data and measures. There are benefits to using existing data sources and operational measures as compared with creating additional metrics from scratch. Because resilience is related to mobility, safety, security, and economic efficiency, measures for those areas (or similar ones) can be used. In addition to some of your asset management measures, some resilience indicators are similar to, if not the same as, traditional performance measures already in use for transportation project evaluation and prioritization. These indica- tors include travel time, total traffic delay, post-disaster maximum flow, and economic loss. Current resilience metrics in use at transportation agencies include redundancy, continuity, connectivity, and travel-time reliability. â¢ Adopt indirect measurement scales similar to those in use by emergency management. Because large-scale emergencies are infrequent, measures of preparedness and resilience in the emergency management sector are often made indirectly. So instead of asking, âDid we continue to function despite a hurricane this year?,â emergency management organizations develop a resilience scorecard and rate themselves on whether they mitigated known hazards, updated response plans, conducted training and exercises, and did other things to improve response.
12 Resilience Primer for Transportation Executives No Ribbon Cutting Many resilience projects deal with capacity-building projects that attempt to make current assets more reliable and develop systems that can prevent future problems. Unfortunately, these projects do not have the same public support as more visible projects, such as road expansions or new interchanges. DOTs have noted that there generally is not any ribbon cutting at which elected officials can speak. Approaches to No Ribbon Cutting â¢ Be clear about the goals these projects serve. To gain the political and civic support you need with public or elected officials, reframe their focus by showing how your projects to increase resilience are tied to better performance of your assets, saving money, and pro- viding better reliability. Performance, cost saving, and reliability have indisputable value, but unless you make the connection to resilience clear, your public and policy makers may not get it. â¢ Hold ribbon-cutting ceremonies for resilience initiatives. In Mississippi, the DOT generates support for investments in smaller projects, such as asset management and risk- based projects, by having ribbon-cutting ceremonies that emphasize the importance of these improvements. â¢ Reward innovation in resilience. FEMA had a projectâProject Impactâto recognize and award innovation in mitigation. Having a competition and awards for the most innovative resilience projects could allow DOTs to recognize and be recognized for the work of resilience. Long-Term Versus Short-Term Perspective Decisions that incorporate resilience are by nature forward-thinking; the categorical goal is to improve the long-term performance of your agency. This may include extending the life cycle of an asset, improving the responsiveness of your financial and labor resources, or preparing facilities for many types of events that could occur. In the current sociopolitical climate, many short-term problems can take precedence over longer-term goal-oriented actions. In discussions, DOT leaders highlighted many roadblocks to incorporating the long view toward resilience into agency operations and decision-making frameworks. In a transportation agency, these daily problems seem innumerable, and steps to avoiding such problems in the future are frequently set aside by pressing challenges. The biggest challenge to resilience efforts is for agency leaders to find the time to implement long- term, risk-averse systems and facilities while dealing with the everyday O&M demands the current facilities and operations present. Approaches to Balancing Long- and Short-Term Perspectives â¢ Schedule periodic team meetings on the status of long-term initiatives. â¢ Remind yourself to ask the questions. Ensure that long-term goals are reflected, to some degree, on short-term checklists and KPIs. â¢ Be persistent. Attend meetings and ensure that long-term perspectives are included. âKeep throwing seedsâeven if they land on hard ground.â
13Â Â Itâs not always about a huge investment. Itâs about operating smart. How to Incorporate Resilience in Your Agency Resilience discussions in agencies and communities today mostly focus on mitigation approaches or adaptations and protective measures that can be put in place to save lives and prevent property loss and disruption of daily life. Often, resilience measures can be taken with marginal or no additional costs because they fit into the agencyâs life-cycle asset management as well as O&M. Resilience is about flexibility. Decisions made for resilience can mean trying different approaches to ordinary activities. Examples DOTs cite include creating capabilities from the bottom up; encouraging adaptive practices and proceduresâespecially those aimed at detect- ing problems before potential disruptionsâand exploring innovative corrective actions such as transitional infrastructure âno regretâ strategies and relocating assets. Resilience is crosscutting. It wonât flourish if assigned to just one area of an agency to develop. Resilience requires cross-departmental effort, such as O&M working with planning and design. As CEO, you can push toward engagement and commitment across all functions in your agency. You can develop across-the-board performance measures and ask each division to develop and commit to resilient programs with performance measures. Resilience is not an independent objective; itâs an objectives multiplier. Natural and human-made events and extreme weather conditions affect safety by heightening the risk of earthquakes, bridge collapse, and commercial or passenger vehicle crashes or train derailments. Resilience measures lessen these risks. Forward-looking models and design standards that establish priorities for resilience donât eliminate risk but do multiply factors of safety, reliability, and cost savings, especially for projects with life spans of as much as 50 to 100 years. Resilience applies to everyday operational decisions and to materials and maintenance. From asphalt coatings and crack sealing to making the case for operations budgets to your state leadership, steps toward resilience do not have to be all encompassing to be effective. Integrate Resilience Throughout Your Agency Your agency already practices resilience in some dimensions, such as â¢ Taking short- and long-term measures to prevent or mitigate impacts of events, â¢ Responding and recovering more quickly after an event, and â¢ Applying lessons learned from previous events to current practices. Agency resilience needs more than a response focus, which may deter investment in pre- vention, resilience, and long-term sustainability. In addition to emergency practice, your agency can be building resilience into everyday operations. Already you may have supportive practices C H A P T E R 3
14 Resilience Primer for Transportation Executives in standard O&M procedures. You may already include experience from maintenance and operations into your design and construction. To be intentional, deliberate, and systematic, a resilience focus can ground both long-range planning and daily practices. While the emphasis on resilience may vary across program areas, adoption of resilience is most effective when it is integrated throughout all areas of agency business. Functional business areas in transportation agencies can become silos. FigureÂ 1 illustrates how resilience encom- passes all of customer-focused transportation service by enhancing the crosscutting practices of asset management, safety, and sustainability. AppendixÂ C highlights in tabular form what employees may expect from their CEO and what CEOs may expect from their employees across various disciplines. AppendixÂ D provides a short list of additional useful resources geared to CEOs and senior staff. Integrate Resilience into Planning and Programming DOT planning is commonly conducted and captured in short-range operations plans, long- range transportation plans, hazard mitigation plans, and emergency plans. Incorporating resilience in long-term plans acknowledges risk factors and forecasts real risks to the agencyâs operations and equipment over time or over the life span of a capital project. â¢ Resilience is a cornerstone in the long-term plan for some DOTs. Resilience doesnât mean overbuilding, but does mean building in flexibility for changing conditions, environments, Weâre good at recovery. Figuring out how to prevent in the first place is the challenge. Source: Adapted from TCRP Web-Only Document 70: Improving the Resilience of Transit Systems Threatened by Natural Disasters, Volume 1: A Guide, Figure 1.1, p. xv. Figure 1. Adoption of resilience is most effective when it is integrated throughout all areas of an agency to provide a customer-focused service.
How to Incorporate Resilience in Your Agency 15Â Â and technological improvements that are current unknowns for the life span of infrastruc- ture projects. â¢ Scenario planning is increasingly being used by transportation planning organizations to help determine policies, strategies, or investments in light of uncontrollable or unknown future conditions. â¢ Scenario planning brings together interagency and intra-agency stakeholders needed to address an issue effectively and helps them make decisions that are robust in a variety of futures. â Work with major users of transportation in your region (medical centers, manufacturers, human services) to develop prioritized strategies for response and recovery. â Work with infrastructure and utility owners and operators in the energy, water and sewer, communications, and other sectors to address interdependencies and develop integrated resilience plans and strategies. â Include private-sector organizations that will contribute to regional recovery (e.g., big box stores, home improvement centers, logistics and distribution centers) in resilience planning. Reach out to the press and in public long-range planning meetings to explain why resilience is critical to the DOTâs continued success. If new materials or technologies are being introduced, use the planning forums to unveil and discuss them with the public. â Encourage wide-ranging staff engagement â¢ The Colorado DOT, in the I-70 Risk and Resilience Pilot, has purposely engaged a wide range of staffâengineering, maintenance, operational, planning, and execu- tive staffâto capture the knowledge of each of these areas and to ensure buy-in across the agency for a proactive approach. â Take design to O&M â¢ The California Department of Transportation (Caltrans) found that resilience has to include long-range planning and O&M working with planning and design as a team effort. â Make sure everybody is involved â¢ In the Illinois DOT at project level, everybody is involved, with the driver being main tenance. Sign-off from maintenance is needed to go forward and the DOT âcompletes the circleâ at the district level. Leverage Asset Management Become aware of the ways you can use your asset management system (including bridge, pavement, facilities, and equipment management systems) to help inform your decision- making. Proficient asset management is the foundation of an effective approach to mitigating vulnerabilities, improving maintenance practices, and, ultimately, extending the life span of your assets. Asset management can also allow you to map out how assets are interconnected and gain an understanding of assets that are most critical to your agency. â¢ Risk-based asset management can help in planning preventive measures, prioritizing main- tenance response, and coordinating recovery efforts across your agency and with third parties. For example, you can incorporate fields to help monitor vulnerabilities (e.g., closures due to flooding) and the effectiveness of adaptations over time, and you can configure the system to provide alerts when vulnerable assets are due for maintenance, repair, or replace- ment. You can require that risk assessments of asset management explicitly include forecasts of weather events and other hazards. Asset management is starting to pay big dividends. It allows focus on what you need to do versus what you want to do.
16 Resilience Primer for Transportation Executives â¢ When agencies produce asset management plans that analyze future risk, it becomes easier to justify the use of the resources needed to build and maintain such assets. â¢ Consider resilience in the prioritization process in asset management. Projects can be scored on the basis of extreme weather and seismic and other vulnerabilities, along with the usual considerations of age, performance, impact on operating costs, ridership, customer comfort, employee welfare, safety, response to regulatory demands, and more. â¢ Asset management systems digitize important elements of information and action, such as operation manuals for temporary countermeasures, procedures for dealing with a large accident or emergency, or maps of which roads deteriorate the fastest. â Develop databases and keep them current â¢ The Vermont DOT developed an online database of every culvert in the state after Hurricane Irene to help plan for improvements and to aid in future events. Maintain- ing up-to-date status and condition in the system provides information for quickly making decisions and taking action. â Overlay projections onto asset data â¢ The Michigan DOT conducted an assessment using a geographic information system (GIS) to overlay climate projections onto asset information from the agencyâs exist- ing asset management database to help identify locations and infrastructure that may be at risk. â Use systems to predict, track, and assess â¢ Asset management systems with standardized site codes have been used to track and document predisaster conditions of DOT facilities and impacts of the event or incident. Bridge management systems have been used to predict and assess impacts of disasters on bridges. Incorporate Resilience into Design and Engineering As infrastructure and safety agencies, DOTs are exceptionally positioned to take resilience actions and to develop actual solutions. Mitigation approaches and adaptations are available to assist in increasing the strength or the ability of your system to resist stresses and reduce some of the vulnerabilities. â¢ Seek guidance to improve the design of infrastructure to increase resilience. Many resources available at DOTs identify cost-effective approaches and strategies. â¢ Conduct costâbenefit analyses. Understanding the trade-offs with competing priorities is critical. â¢ Recognize the potential co-benefits of adaptations, such as decreased operating costs or improvements in other performance measures. â Develop asset-specific design guidance â¢ The Port Authority of New York and New Jersey (PANYNJ) has developed guidance that uses an asset-specific approach that takes into account the life expectancy of each asset and the risk of agency-specific events happening during that life span. PANYNJ also examines the need for improving reliability when undertaking major repairs and reconstruction and has documented significant cost savings by doing this. We build and prevent scour issues upfront in bridge design. We design facilities [to seismic standards] to provide transport to key lifeline facilities in a response situation. Lowest cost of ownership drives action.