National Academies Press: OpenBook
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Resilience Primer for Transportation Executives. Washington, DC: The National Academies Press. doi: 10.17226/26195.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Resilience Primer for Transportation Executives. Washington, DC: The National Academies Press. doi: 10.17226/26195.
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

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 976 Resilience Primer for Transportation Executives Deborah Matherly WSP USA Solutions Lexington, SC Patricia Bye Holicong, PA Joan McDonald JMM Strategic Solutions, LLC Mahopac, NY William Ankner Baton Rouge, LA Jane Mobley WSP USA Solutions Kansas City, MO Karl Kim Eric Yamashita University of Hawaii Honolulu, HI Pam Murray-Tuite Clemson University Clemson, SC Anurag Pande California Polytechnic State University San Luis Obispo, CA John Renne Florida Atlantic University Boca Raton, FL Brian Wolshon Louisiana State University Baton Rouge, LA 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 976 Project 20-59(55) ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-67408-9 Library of Congress Control Number 2021940042 © 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. Cover photo credits: Left: Cutler Bridge drone inspection. Courtesy U.S. Department of Transportation. Center: Fish- and wildlife-friendly resilient bridge, Abbot Village, Piscataquis County, Maine. Courtesy U.S. Department of Agriculture, Natural Resources Conservation Service. Photo by Ben Naumann. Right: El Monte Station. Courtesy of Los Angeles County Metropolitan Transportation Authority (©2019 LACMTA). 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 976 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Stephan A. Parker, Senior Program Officer Stephanie L. Campbell, Senior Program Assistant Eileen P. Delaney, Publications Senior Advisor Natalie Barnes, Director of Publications Janet M. McNaughton, Senior Editor NCHRP PROJECT 20-59(55) 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, Independent Consultant, Alexandria, VA Brent Cain, Arizona Department of Transportation, Phoenix, AZ Heather Cook, Westminster, CO Catherine Dallaire, KPMG LLP, Ottawa, ON, Canada 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 Metropolitan Transportation Council, New York, NY Lorenzo G. Parra, Massachusetts Department of Transportation (retired), Las Cruces, NM Yilei Shi, State University of New York (SUNY), Canton, NY David Cooper, TSA Liaison Richard Gerhart, FTA Liaison Anthony B. Tisdale, FTA Liaison Jia-Dzwan Shen, FHWA 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 primer identifies how chief executive officers (CEOs) of state departments of trans- portation (DOTs) and their senior executives can incorporate resiliency practices into their agencies’ day-to-day operations and long-range planning. Critical transportation corridors need to be resilient during extreme weather events and other disruptions. Making the net- work resilient depends on both technical and policy factors, and there are significant roles that can only be played by senior executives of transportation agencies. Beginning shortly after the terrorist attacks of September 11, 2001, and the anthrax and sniper attacks that quickly followed, the changed threat environment stimulated state departments of transportation (DOTs) to initiate a variety of activities and research relating to resilience, including, but not limited to, security, emergency management, and infra- structure protection. Resilience has many different dimensions and relates to activities rang- ing from planning through design and construction to operations and maintenance. Resilience also includes broad social and macro-economic considerations, as well as agency-specific capital and operations funding considerations, which collectively depend on the participation of a diverse set of agencies and organizations. Major shifts in how transportation agencies view resilience occurred following Hurricane Katrina, super storm 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 Transportation Officials (AASHTO) and the Transportation Research Board (TRB), have investigated how best to prepare for, prevent, mitigate, respond to, or recover from weather- related and human-caused disasters, emergencies, and security incidents. Significant insti- tutional, organizational, and technical issues are emerging as the broader transportation community enters the evolving fields of resilience and security. Under NCHRP Project 20-59(55), “Transportation System Resilience: CEO Primer & Engagement,” WSP USA Solutions Inc. was charged to develop a primer and a series of brief- ings for state DOT CEOs and senior executives on transportation resilience. The primer is the result of a three-year effort to gather and synthesize the perspectives gathered through review of the literature, case studies, CEO interviews, and workshops at numerous national meetings, as well as regional AASHTO meetings. In 2018, TRB sponsored the Transporta- tion Resilience Innovations Summit and Exchange (RISE) in Denver, Colorado. The event convened more than 450 practitioners and researchers, including the state DOTs, to focus on implementing risk and resilience practices within daily and emergency management operations in their particular environments. Content for this primer was vetted extensively at RISE. F O R E W O R D By Stephan A. Parker Staff Officer Transportation Research Board

This report joins other relevant NCHRP research products: NCHRP Research Report 970: Mainstreaming System Resilience Concepts into Transportation Agencies: A Guide and NCHRP Research Report 975: Transportation System Resilience: Research Roadmap and White Papers. This research also produced “Resilience in Your Pocket” (a pocket foldout) as an addi- tional resource for agency leaders. The foldout can be downloaded from the report web page by searching for “NCHRP Research Report 976.” Implementation activities are currently underway to assist state DOT senior leadership with applying the results of this research. These activities will be documented in an additional report that should prove instructive to other agencies.

1 Summary 3 Chapter 1 Introduction 4 Chapter 2 The CEO Role in Resilience 4 Why You Should Care 4 What You Can Do 6 Key Questions to Ask 10 Common Challenges 13 Chapter 3 How to Incorporate Resilience in Your Agency 13 Integrate Resilience Throughout Your Agency 14 Integrate Resilience into Planning and Programming 15 Leverage Asset Management 16 Incorporate Resilience into Design and Engineering 17 Incorporate Resilience into Operations and Maintenance 18 See Emergency Management and Response in Resilience Context 19 See Technology and Materials Through a Resilience Lens 20 Capitalize on the Resilience Theme in Agency Communications 21 Address Cybersecurity Early and Often 23 Chapter 4 Conclusion 24 Appendix A Definitions of Resilience 26 Appendix B Economic and Community Benefits of Resilience 28 Appendix C Mutual Resilience Roles Within the Agency 30 Appendix D Additional Useful Resources C O N T E N T S

to prepare and plan for, absorb, recover from, or more successfully adapt to adverse events. —Disaster Resilience: A National Imperative, National Research Council, 2012 to anticipate, prepare for, and adapt to changing conditions and withstand, respond to, and recover rapidly from disruptions. —Federal Highway Administration Order 5520 of the transportation system to recover and regain functionality after a major disruption or disaster. —American Association of State Highway and Transportation Officials of individuals, communities, institutions, businesses, and systems within a city to survive, adapt, and grow, no matter what kinds of chronic stresses and acute shocks they experience. —100 Resilient Cities RESILIENCE IS THE ABILITY . . .

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CEOs of departments of transportation (DOTs) face many challenges, including some that will have serious impacts on people's mobility and safety, and possibly on the tenure of CEOs. Many of these challenges revolve around the resilience of the transportation system—how well it can withstand disruptions from natural causes, catastrophic failures of the infrastructure or cyber events, and how quickly the agency can restore services when they are impacted.

The TRB National Cooperative Highway Research Program's NCHRP Research Report 976: Resilience Primer for Transportation Executives provides a quick grounding in resilience benefits, the CEO’s role in resilience, and approaches taken in various states to increase the resilience of their transportation system. It also offers concepts and tools to lead agencies toward greater resilience.

An electronic brochure, Resilience in Your Pocket, details for practitioners internal and external resilience talking points and action steps.

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