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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 REPORT 753 A Pre-Event Recovery Planning Guide for Transportation Patricia Bye Linda Yu SynthoSyS, LLC Camden, NJ Shubha Shrivastava Simon van Leeuwen URS CoRpoRation Germantown, MD Subscriber Categories Public Transportation ⢠Construction ⢠Maintenance and Preservation ⢠Security and Emergencies TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2013 www.TRB.org 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 research provides the most effective approach to the solution of many problems facing highway administrators and engineers. Often, highway problems are of local interest and can best be studied by highway departments individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of cooperative research. In recognition of these needs, the highway administrators of the American Association of State Highway and Transportation Officials initiated in 1962 an objective national highway research program employing modern scientific techniques. This program is supported on a continuing basis by funds from participating member states of the Association and it receives the full cooperation and support of the Federal Highway Administration, United States Department of Transportation. The Transportation Research Board of the National Academies was requested by the Association to administer the research program because of the Boardâs recognized objectivity and understanding of modern research practices. The Board is uniquely suited for this purpose as it maintains an extensive committee structure from which authorities on any highway transportation subject may be drawn; it possesses avenues of communications and cooperation with federal, state and local governmental agencies, universities, and industry; its relationship to the National Research Council is an insurance of objectivity; it maintains a full-time research correlation staff of specialists in highway transportation matters to bring the findings of research directly to those who are in a position to use them. The program is developed on the basis of research needs identified by chief administrators of the highway and transportation departments and by committees of AASHTO. Each year, specific areas of research needs to be included in the program are proposed to the National Research Council and the Board by the American Association of State Highway and Transportation Officials. Research projects to fulfill these needs are defined by the Board, and qualified research agencies are selected from those that have submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Research Council and the Transportation Research Board. The needs for highway research are many, and the National Cooperative Highway Research Program can make significant contributions to the solution of 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 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 at: http://www.national-academies.org/trb/bookstore Printed in the United States of America NCHRP REPORT 753 Project 20-59(33) ISSN 0077-5614 ISBN 978-0-309-28338-0 Library of Congress Control Number 2013943399 © 2013 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, FMCSA, FTA, or Transit Development Corporation 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 project that is the subject of this report was a part of the National Cooperative Highway Research Program, conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. The members of the technical panel selected to monitor this project and to review this report were chosen for their special competencies and with regard for appropriate balance. The 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 Governing Board of the National Research Council. 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 Research Council, or the program sponsors. The Transportation Research Board of the National Academies, the National Research Council, and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturersâ names appear herein solely because they are considered essential to the object of the report.
The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academyâs purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transporta- tion Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Boardâs varied activities 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 individu- als interested in the development of transportation. www.TRB.org www.national-academies.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 REPORT 753 Christopher W. Jenks, Director, Cooperative Research Programs Crawford F. Jencks, Deputy Director, Cooperative Research Programs Stephan A. Parker, Senior Program Officer Megha Khadka, Senior Program Assistant Eileen P. Delaney, Director of Publications Ellen M. Chafee, Editor NCHRP PROJECT 20-59(33) PANEL Field of Special Projects Herby Gerard Lissade, California DOT, Sacramento, CA (Chair) Malcolm âMalâ Baird, Nashville, TN Kevin A. Duffy, Boston Risk llc, Chicago, IL Mark Miller, Washington Metropolitan Area Transit Authority, Washington, DC Eileen M. Phifer, Michigan DOT, Lansing, MI James B. Rice, Jr., Massachusetts Institute of Technology, Cambridge, MA William E. Van Trump, Carter Lake, IA Pam Ward, Ottumwa Transit Authority, Ottumwa, IA Dan Ferezan, FHWA Liaison Matt Campbell, Federal Emergency Management Agency Liaison Vincent P. Pearce, U.S. DOT Liaison Joedy W. Cambridge, TRB Liaison AUTHOR ACKNOWLEDGMENTS The research in this report was performed under NCHRP Project 20-59(33) by the Synthosys, LLC, and URS Corporation research team. Patricia Bye, Synthosys, was the principal investigator and lead author. Linda Yu, Synthosys, was co-author and Shubha Shrivastava and Simon van Leeuwen of URS Infrastructure & Environment Division, Germantown, MD, were contributing authors of this report. Other research team mem- bers include Ernest âRonâ Frazier, Jr., Esq., of Countermeasures Assessment and Security Experts, LLC (CASEâ¢), who conducted the legislative and legal review; Robert Mahoney and Elisa Nichols of Kensington Consulting; Robert Brodesky and Amit Mahadevia of URS Infrastructure & Environment Division; and Linda Yu of Synthosys who performed case study interviews and prepared draft case studies. Vicki Glenn and LisaBeth Weber edited the draft documents, and Stephanie Watson, former graduate student of University of Alabama, Birmingham, assisted in the literature search. The research team also acknowledges Jeffrey Western, Western Management and Consulting, LLC, Madison, WI, for his substantial contribution to the research provided through comments on preliminary drafts and valuable insights during discussions with research team members.
NCHRP Report 753: A Pre-Event Recovery Planning Guide for Transportation (The Guide) provides an overview of what can be done to prepare for the recovery of transportation criti- cal infrastructure. Principles and processes based on federal guidance, effective practices, and lessons from case studies are provided to guide transportation owners and operators in their efforts to plan for recovery prior to the occurrence of an event that impacts transporta- tion systems. Tools and resources are included to assist in both pre-planning for recovery and implementing recovery after an event. The Guide is intended to provide a single resource for understanding the principles and processes to be used for pre-event recovery planning for transportation infrastructure. In addition to the principles and processes, the Guide contains checklists, decision support tools, and resources to support pre-event recovery planning. The Guide will be of interest to transportation infrastructure owners/operators, transportations planners, and practitioners at the state and local levels. Under NCHRP Project 20-59(33), Synthosys, LLC, was asked to develop a guide that provides pre-event recovery planning principles, processes, tools, and appended resource materials for use by planners and decision-makers in pre-event planning to support trans- portation infrastructure recovery. The report and a PowerPoint presentation describing the entire project are available on the TRB website at www.trb.org/securitypubs. F O R E W O R D By Stephan A. Parker Staff Officer Transportation Research Board
1 Summary 3 Chapter 1 Introduction 7 Chapter 2 Federal Strategies and Initiatives 7 Presidential Directives 7 National Frameworks 10 Transportation-Specific National Initiatives 12 Chapter 3 Principles of Pre-Event Recovery Planning 12 Recovery Is Different from Response 13 Response Can Impact Recovery 14 Short-Term Approaches Have Impact on Long-Term Recovery 14 Rebuilding Is an Opportunity to Improve Infrastructure and Incorporate Resilience 14 Economic Impact Is a Part of Recovery 15 Take a Collaborative Approach 15 Take a Regional Approach 15 Establish Priorities in Advance 16 Organize Roles and Responsibilities 16 Be Aware of Funding Realities 16 Link Pre-Event Recovery Planning to Other Plans 17 Incorporate Flexibility and Identify Alternatives 18 Chapter 4 Case Studies of Infrastructure Recovery: Lessons and Effective Practices 22 Formal and Informal Relationships and Networks Were Keys to Successful Recovery 23 Simplified Designs Can Expedite Reconstruction 23 Make Infrastructure Improvements Where Possible 23 Take a Phased Approach to Recovery 23 Use Existing Plans and Footprints Where Possible 23 Have Emergency Expedited Processes in Place 23 Take a Collaborative Approach to Recovery 23 Use Innovation in Project Development, Oversight, and Environmental Management 24 Understand Interdependency of Critical Infrastructure as Part of the Hazard and Risk Assessment 24 Maintain and Provide Access to Designs, Plans, and Other Key Data 24 Plan for the Unexpected by Learning from Previous Experiences 24 Integrate Recovery Planning with Existing Planning C O N T E N T S
25 Chapter 5 Key Tasks of Pre-Event Recovery Planning 26 Identification/Prioritization of Infrastructure 29 Repair or Replacement Criteria and Options 31 Temporary Structure/Traffic Detour: Short-Term Recovery 33 Demolition: Partial or Complete 35 Design: Identical or New Design 37 Contracting Options and Processes 39 Construction Strategy and Techniques 41 Project Management and Delivery Approaches 42 Environmental Requirements 45 Chapter 6 Recovery Funding 47 Chapter 7 Communications and Collaboration 47 Build on Existing Ad Hoc Relationships 47 Regional Coordination Models 48 Involve Community to Establish Support 50 Chapter 8 Recovery Management 52 References 54 List of Acronyms A-1 Appendix A Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team B-1 Appendix B NCHRP Project 20-59(33) Case Studies C-1 Appendix C Damage Assessment and Pre-Event Recovery Planning D-1 Appendix D Decontamination Techniques E-1 Appendix E Recovery Funding Sources F-1 Appendix F Glossary of Terms and Definitions Note: Many of the photographs, figures, and tables in this report 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.
