A Pre-Event Recovery Planning Guide for Transportation (2013)

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A-1 APPENDIX A: TOOLS AND RESOURCES COMPILED BY NCHRP PROJECT 20-59(33) RESEARCH TEAM This appendix provides a listing of tools and resources that can assist in both the pre- event planning for recovery and for post-event recovery. The tools and resources are organized by the key tasks and decisions of pre-event recovery. Checklists, worksheets, and online toolboxes are listed first, followed by guidance and resource documents for each category. CATEGORIES: TOOLS AND RESOURCES Federal Initiatives and Guidance, A-2 Recovery Planning, A-5 Vulnerability Assessment/Prioritization, A-8 Hazards Tools, A-16 Repair/Replacement, A-17 Damage Assessment Tools, A-20 Temporary Structure/Traffic Detours: Short-Term Recovery, A-22 Demolition: Partial or Complete, A-27 Debris Management Tools, A-28 HazMat/Decontamination, A-29 Design, A-33 Contracting, A-34 Construction, A-40 Construction Techniques: Bridges, A-47 Construction Techniques: Buildings, A-48 Construction Techniques: Highways, A-49 Project Management and Delivery, A-50 Environmental Compliance and Management, A-52 Coordination and Collaboration, A-53 Funding, A-55 Contacts, A-60

A-2 A Pre-Event Recovery Planning Guide for Transportation FEDERAL INITIATIVES AND GUIDANCE Checklists, Worksheets, and Toolkits Critical Infrastructure Protection and Resilience Toolkit The U.S. Department of Homeland Security (DHS) created this online toolkit for infrastructure owners and operators to assist in incorporating key concepts of the National Infrastructure Protection Plan (NIPP) into day-to-day activities. The toolkit includes an exercise planning resource with tools to help plan a “tabletop” exercise to evaluate infrastructure protection and resilience and links to online reference materials and training resources. The toolkit can be found at: http://www.learningservices.us/CriticalInfrastructureToolkit/ Business Impact Analysis Worksheet The National Transportation Recovery Strategy (NTRS), designed to help transportation industry stakeholders and local, tribal, and state government officials prepare for and manage the transportation recovery process, recommends that a Business Impact Analysis (BIA) be done as part of pre-event recovery planning. The Federal Emergency Management Agency (FEMA) provides a Business Impact Analysis Worksheet on the ready.gov website at: http://www.ready.gov/sites/default/files/documents/files/BusinessImpactAnalysis_Worksh eet_0.pdf Guidance and Resources National Disaster Recovery Framework Authors: Federal Emergency Management Agency (FEMA – OMB) Department of Homeland Security (DHS) Date Draft Published: February 5, 2010 http://www.fema.gov/pdf/recoveryframework/omb_ndrf.pdf The National Disaster Recovery Framework (NDRF) provides guidance that enables effective recovery support to disaster-impacted states, tribes and local jurisdictions. It provides a flexible structure that enables disaster recovery managers to operate in a unified and collaborative manner. It also focuses on how best to restore, redevelop, and revitalize the health, social, economic, natural, and environmental fabric of the community and build a more resilient nation. The NDRF defines: • Core recovery principles • Roles and responsibilities of recovery coordinators and other stakeholders • A coordinating structure that facilitates communication and collaboration among all stakeholders • Guidance for pre- and post-disaster recovery planning

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-3 The Recovery Support Function (RSF) structure coexists with and builds upon the Emergency Support Functions (ESFs) under the National Response Framework (NRF). RSFs are different from ESFs in that they have different mission objectives, partnerships, approaches, time spans and organizational structure; additionally, the players and skill sets involved may be different. Recovering from Disasters: The National Transportation Recovery Strategy Authors: Federal Highway Administration (FHWA) Date Published: September 2009 http://www.dot.gov/policy-initiatives/disaster-recovery/recovering-disasters-national- transportation-recovery-strategy The National Transportation Recovery Strategy (NTRS) is designed to help transportation industry stakeholders and local, tribal, and state government officials prepare for and manage the transportation recovery process following a major disaster. The overall goal of the NTRS is to promote a recovery process for transportation networks—and subsequently of communities in general that results in a greater level of resilience. The NTRS provides general information on disaster management and the role of the federal government in transportation recovery. National Response Framework Authors: Department of Homeland Security (DHS) Date Published: January 2008 http://www.fema.gov/pdf/emergency/nrf/nrf-core.pdf The National Response Framework (NRF) is a comprehensive guide reflecting how the nation conducts immediate actions in an all-hazards response to save lives, prevent or minimize damage to property and the environment, and to meet basic human needs. The document is built on coordinating structures covering roles and responsibilities nationwide and describes best practices for incident management ranging from serious local events to large-scale terrorism or catastrophic natural disasters. Written for government executives, private-sector and nongovernmental organization (NGO) leaders, and emergency management practitioners, the NRF builds on the National Incident Management System (NIMS), which provides a template for managing incidents. Transportation Systems Critical Infrastructure and Key Resources Sector-Specific Plan—NIPP Authors: Department of Homeland Security (DHS) Date Published: May 2007 http://www.dhs.gov/xlibrary/assets/nipp-ssp-transportation.pdf This report is one of 17 Sector-Specific Plans (SSPs) that detail the application of the NIPP to each specific sector. Segmented into six key subsectors, the Transportation Systems Sector includes aviation, maritime, mass transit, highway, freight rail, and pipeline. Throughout the plan, emphasis is placed on a systems-based risk management (SBRM) strategy and its effectiveness for the NIPP. Also outlined are government agencies and their roles within the Sector-Specific Plan.

A-4 A Pre-Event Recovery Planning Guide for Transportation National Incident Management System (NIMS) Authors: Department of Homeland Security (DHS) Date Published: December 2008 http://www.fema.gov/emergency/nims/index.shtm The NIMS provides a systematic, proactive approach to guide departments and agencies at all levels of government, nongovernmental organizations, and the private sector to work seamlessly to prevent, protect against, respond to, recover from, and mitigate the effects of incidents. The NIMS works hand in hand with the NRF. Whereas the NIMS provides the template for the management of incidents, the NRF provides the structure and mechanisms for a national-level policy for incident management. Simplified Guide to the Incident Command System (ICS) for Transportation Professionals Authors: Federal Highway Administration, Department of Transportation Date Published: February 2006 http://www.ops.fhwa.dot.gov/publications/ics_guide/ics_guide.pdf The Incident Command System (ICS) is a systematic tool used for the command, control, and coordination of an emergency response. The ICS allows agencies to work together using common terminology and operating procedures for controlling personnel, facilities, equipment, and communications at a single incident scene. The purpose of the guide to the ICS is to introduce the ICS to stakeholders who may be called upon to provide specific expertise, assistance, or material during highway incidents but who may be largely unfamiliar with the ICS’s organization and operations. Guide to Disaster Declarations Process Authors: Federal Emergency Management Agency Date Published: April 2011 http://www.fema.gov/pdf/rrr/dec_proc.pdf The Guide to Disaster Declarations Process is based on the Robert T. Stafford Disaster Relief and Emergency Assistance Act of 1988, which establishes a process for requesting and obtaining a Presidential disaster declaration. The guide defines the type and scope of assistance available from the federal government and sets the conditions for obtaining that assistance. An overview is provided on procedures to be used by Governors to request a declaration of disaster. The guide also encompasses hazard mitigation and the role it plays in allocating funds through a grant program. National Preparedness Guidelines Authors: Office of Management and Budget Date Published: January 2011 http://www.whitehouse.gov/sites/default/files/omb/assets/procurement_guides/emergency _acquisitions_guide.pdf

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-5 Homeland Security Presidential Directive-8 (HSPD-8) of December 17, 2003 ("National Preparedness") directed the Secretary of Homeland Security to develop a national, domestic, all-hazards preparedness goal. The National Preparedness Guidelines (Guidelines) finalize development of the national preparedness goal and its related preparedness tools. The purposes of the Guidelines are the following: • Organize and synchronize national (including federal, state, local, tribal, and territorial) efforts to strengthen national preparedness; • Guide national investments in national preparedness; • Incorporate lessons learned from past disasters into national preparedness priorities; • Facilitate a capability-based and risk-based investment planning process; and • Establish readiness metrics to measure progress and a system for assessing the nation's overall preparedness capability to respond to major events, especially those involving acts of terrorism. RECOVERY PLANNING Checklists, Worksheets, and Toolkits Recovery Toolboxes and Checklists by Recovery Phase The Puget Sound Transportation Recovery Annex (2011), a best practice example of a regional Transportation Recovery Plan, provides Recovery Toolboxes for each transportation sector—roadways, waterways, and airways—that include infrastructure assessments, mitigation strategies, and repair/replacement approaches. The toolboxes are found in Appendices E, F, and G of the Annex found at http://www.seattle.gov/emergency/library/TransportationRCPTApprovedFinal.pdf Recovery checklists for each phase of recovery—short-, mid- and long-term—following a disaster organized by roadways, waterways, airways, and railways can be found in Appendix 1 (pages 16-26) of this Annex overview document: http://psrc.org/assets/8642/Transportation_Recovery_Annex- Transp_handout_final_041012.pdf An executive summary of the Recovery Annex can be found at http://www.apwa- wa.org/Uploads/CommitteeFiles/MPAC/Regional%20Transportation%20Recovery%20A nnex%20Information%20Feb%202012.pdf

A-6 A Pre-Event Recovery Planning Guide for Transportation Guidance and Resources Recovering from Disasters: The National Transportation Recovery Strategy Authors: Federal Highway Administration (FHWA) Date Published: September 2009 http://www.dot.gov/policy-initiatives/disaster-recovery/recovering-disasters-national- transportation-recovery-strategy The National Transportation Recovery Strategy (NTRS) is designed to help transportation industry stakeholders and local, tribal, and state government officials prepare for and manage the transportation recovery process following a major disaster. The overall goal of the NTRS is to promote a recovery process for transportation networks—and subsequently of communities in general that results in a greater level of resilience. The NTRS provides general information on disaster management and the role of the federal government in transportation recovery. Planning for Post-Disaster Recovery and Reconstruction Authors: American Planning Association, Federal Emergency Management Agency (FEMA) Date: December 1998 http://www.fema.gov/library/viewRecord.do?id=1558 This document, #421 from the FEMA library, introduces planners to policies for rebuilding and recovery after disasters and provides guidance on how to plan for post- disaster reconstruction. Developed in partnership with the American Planning Association (APA), Chapters 3, 4, and 5 are available for download from the FEMA library with information provided for ordering the complete publication. Planning for Post-Disaster Recovery: Next Generation Authors: American Planning Association Date: October 2010 http://www.planning.org/research/postdisaster/ An update to the 1998 Planning for Post-Disaster Recovery and Reconstruction Guide was begun in October 2010. Estimated to be a 3-year project, the current status, recovery news, case studies, and online information for practitioners are available at http://www.planning.org/research/postdisaster/ Disaster Response and Recovery Resource for Transit Agencies Authors: Federal Transit Administration (FTA) Date: August 2006 http://www.transit- safety.volpe.dot.gov/publications/safety/DisasterResponse/PDF/DisasterResponse.pdf

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-7 Prepared for the FTA, this report provides best practices and links to specific resources that address critical disaster elements such as emergency preparedness, disaster response, and recovery for transit agencies. NCHRP Report 525: Surface Transportation Security—Volume 6: Guide for Emergency Transportation Operations Authors: Lockwood, S., J. O’Laughlin, D. Keever, and K. Weiss Date: 2005 http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_525v6.pdf This report outlines ways to assist transportation agencies in adopting the National Incident Management System (NIMS) with Emergency Transportation Operations (ETO) in an all-hazard, coordinated approach. This guide is intended for both senior managers/policy makers and for agency program managers with the first five sections designed for all readers. The document provides strategies and tactics for improving ETO in a subsequent section of the guide. Key challenges, guidance, and best practices are organized through tables, lists, and detailed descriptions throughout the document. Tabletop Exercise Instructions for Planned Events and Unplanned Incidents/ Emergencies Authors: Federal Highway Administration, Department of Transportation Date: November 2007 http://www.ops.fhwa.dot.gov/publications/tabletopexercpe/index.htm This FHWA-prepared document offers suggestions on how to test a transportation management plan through a tabletop exercise. It provides scenarios for organizations and key stakeholders to test plans through a facilitated scenario-based discussion. Tabletop exercises allow traffic management team officials to review the effect of certain event- specific action plans on other concurrent events. In addition, the tabletop exercise approach is offered as a way to train and familiarize personnel with their roles and responsibilities within the planned special event’s transportation management plan. Emergency Transportation Operations CD-ROM Authors: Research and Innovative Technology Administration, Federal Highway Administration Date: April 2008 http://www.its.dot.gov/its_publicsafety/index.htm This CD-ROM from FHWA is a compilation of more than 40 resource documents arranged by focus areas: Traffic Incident Management, Traffic Planning for Special Events, and Evacuation and Disaster Planning.

A-8 A Pre-Event Recovery Planning Guide for Transportation Puget Sound Regional Transportation Recovery Annex Authors: Puget Sound Region Date: February 2011 http://www.seattle.gov/emergency/library/TransportationRCPTApprovedFinal.pdf The Puget Sound Transportation Recovery Annex (Annex) provides a best practice example of a regional Transportation Recovery Plan. The Annex supplements the Puget Sound Regional Catastrophic Coordination Plan and provides recommended guidelines for coordinating multijurisdictional regional transportation system recovery in the Puget Sound Region after a catastrophic incident. This Annex offers general guidelines on regional multijurisdictional coordination and priority setting for the recovery of transportation networks and includes appendices that can be used as toolboxes for traffic mitigation strategies, waterway alternatives, and bridge and roadway reconstruction. These appendices provide a multimodal guide for implementing strategies consistent with regionally available abilities and resources that will facilitate restoration of critical transportation links. An executive summary of the Recovery Annex can be found at http://www.apwa- wa.org/Uploads/CommitteeFiles/MPAC/Regional%20Transportation%20Recovery%20A nnex%20Information%20Feb%202012.pdf VULNERABILITY ASSESSMENT/PRIORITIZATION The following resources and tools provide guidance in how to identify, prioritize, document, and plan for the recovery of transportation critical infrastructure. They can assist in answering the key questions: • Which infrastructure or key facilities are most at risk? • What infrastructure is critical to operations and to community? • Are there any alternatives available for the infrastructure? Checklists, Worksheets, and Toolkits Transportation Critical Infrastructure Asset List Transportation infrastructure and facilities asset categories have been identified by the FTA in Transit Security Design Considerations (2004) and AASHTO in A Guide to Highway Vulnerability Assessment for Critical Asset Identification and Protection (2002). The AASHTO Guide to Highway Vulnerability Assessment was developed as a tool for state departments of transportation (DOTs) to assess the vulnerabilities of their physical assets and to assist in developing possible mitigations to address the vulnerability identified. Transit Security Design Considerations provides an overview of the major assets of transit systems—bus and rail vehicles, transit infrastructure, and communications—as well as a preliminary assessment of the vulnerabilities to various methods of attack inherent to each asset.

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-9 Transportation Critical Infrastructure Assets Highway Critical Assets Transit Agency Assets INFRASTRUCTURE FACILITIES EQUIPMENT PERSONNEL Elevated Bridges and Structures Tunnels and Pedestrian Underpasses Transit Stations Transit Stops Operations Control Centers Administrative Facilities Garages, Yards, and Maintenance Facilities Power Substations Right-of-Way, Track and Signals Communications Relays Contractors Employees Vendors Passengers Visitors Source: Adapted from FTA Transit Security Design Considerations, 2004 Hazard Impact Analysis Worksheet Hazard analysis involves identifying the hazards that potentially threaten an asset and analyzing them individually to determine the degree of threat that is posed by each. This information is then used in the development of both mitigation and emergency plans. It

A-10 A Pre-Event Recovery Planning Guide for Transportation indicates which hazards merit special attention, what actions might be taken to reduce the impact of those hazards, and what resources are likely to be needed. FEMA has developed worksheets for profiling hazards as part of vulnerability analysis that can be found in this summary of FEMA training on hazards at http://training.fema.gov/EMIWeb/edu/docs/raem/Readings%20D.doc Hazard Impact Analysis Worksheet Hazard: _______________________________________________________________ Frequency of Occurrence: Highly likely (Near 100% probability in the next year) Likely (Between 10% and 100% probability in the next year, or at least one chance in the next 10 years) Possible (Between 1% and 10% probability in the next year, or at least one chance in the next 100 years) Unlikely (Less than 1% probability in the next 100 years) Seasonal pattern? No Yes. Specify season(s) when hazard occurs: __________________________________ Potential Impact: Catastrophic (shutdown of critical facilities for 1 month or more; more than 50% of property severely damaged) Critical (Injuries or illness resulting in permanent disability; shutdown of critical facilities for at least 2 weeks; 25% to 50% of property severely damaged) Limited (Temporary injuries; shutdown of critical facilities for 1-2 weeks; 10% to 25% of property severely damaged) Negligible (Injuries treatable with first aid; shutdown of critical facilities for 24 hours or less; less than 10% of property severely damaged) Are any areas or facilities more likely to be affected (e.g., air, water, or land; infrastructure)? If so, which? Speed of Onset: 1. Minimal or no warning 2. 6 to 12 hours warning 3. 12 to 24 hours warning 4. More than 24 hours warning Potential for Cascading Effects? No Yes. Specify effects: Source: Adapted from FEMA Hazards training materials.

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-11 Prioritization Factors Table The AASHTO Guide to Highway Vulnerability Assessment was developed as a tool for state DOTs to assess the vulnerabilities of their physical assets and to assist in developing possible mitigations to address the vulnerability identified. The vulnerability assessment process presented in the guide is derived from information compiled from state, federal, and international agencies and their personnel. Appendices to the AASHTO Guide to Highway Vulnerability Assessment contain worksheets reproduced from the full document for critical asset factor values and scoring, vulnerability factors and scoring, and protection countermeasures information. The appendices can be found online at http://security.transportation.org/sites/security/docs/guide-VA_Appendices.pdf Included in the appendices is a list identifying transportation infrastructure and facilities asset categories and a prioritization factors table (reproduced herein). The factors range from “extremely important” (5) to “less important” and are based on the survey done for the AASHTO Guide. Prioritization Factors Table Critical Asset Factor Value Description/Considerations Emergency Response Impact Does route directly serve hospitals, resource points of distribution, etc.? Is route a previously identified emergency response route? Transportation Lifeline 3 Is the asset a transportation lifeline? Evacuation or Response Efforts 3 Is the asset required for evacuation or response? Public Service Government Continuity 3 Is the asset necessary for maintaining government continuity? Does route directly serve city/county/state agencies essential for government continuity? Military Importance 3 Is the asset important for military purposes? Does the route directly serve military bases and/or facilitate movement of military resources? Symbolic Value 3 Does the asset have symbolic value? Loss and Damage Consequences Economic Impact 3 Will damage to the asset have an impact on the means of living or the resources and wealth of the region or state? Does this asset serve major employment or trade centers? Does this asset serve ports? Environmental Impact 3 Will the damage to the asset have an ecological impact of altering the environment? Communication Impact 3 Is communication dependent on the asset? Does this asset support critical communication infrastructure facilities or operations? Operational/Functional Functional Importance 3 Is there an overall value in the asset performing or staying operational? Replacement/Downtime 3 Will the damage to the asset cause significant replacement downtime? Available Alternative 3 Is this the only asset that can perform its primary function? Is there a substitute that is designated to take the place of the asset, if necessary, to perform the same or similar functions?

A-12 A Pre-Event Recovery Planning Guide for Transportation Intermodal/Freight Connections 3 Does this connect to intermodal transportation hubs? Does this connect to ports? Transit Services 3 Does this provide relief to congestion and traffic mitigation? Is it or will it be a transit route or alternative transit route? Source: Adapted from AASHTO Guide to Highway Vulnerability Assessment. Information Needs for Prioritization List The Puget Sound Regional Recovery Transportation Annex modified the AASHTO prioritization guidelines on recovery planning best practices and stakeholder input and included a description of high-priority regional transportation asset factors and a list of Prioritization Components information to assist in the prioritization process. It was recommended that local authorities should obtain those items listed as part of the pre- event “information gathering” planning. Information Gathering Needs: Prioritization Components Emergency Response – Map of Hospitals Map of Resource Points of Distribution Map of Emergency Response Routes and/or Lifelines Government Continuity – Location of government agencies Military Importance – Map of military bases and routes that serve bases Available Alternate – Map of alternative routes and status (e.g., capacity) Communications Dependency – Map of utilities located within rights-of-way that are affected by disruption Economic Impact – Local Economics and Finance Departments to provide information Intermodal Freight Connections – Map of intermodal facilities and status of connecting modes (ports, rail, trucking, etc.) Transit Services – Map of transit service regions Source: Adapted from Puget Sound Regional Recovery Transportation Annex, 2011.

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-13 Guidance and Resources A Guide to Highway Vulnerability Assessment for Critical Asset Identification and Protection Authors: AASHTO, Science Applications International Corporation (SAIC) Date: May 2002 http://security.transportation.org/sites/security/docs/guide-VA_FinalReport.pdf The AASHTO Guide to Highway Vulnerability Assessment was developed as a tool for state DOTs to assess the vulnerabilities of their physical assets such as bridges, tunnels, roadways, and inspection and traffic operation facilities and to develop possible countermeasures to address the vulnerability identified. The guide includes an approach for identifying critical infrastructure assets and suggests criteria such as conditions, concerns, consequences, and capabilities, by which to prioritize the identified critical assets. The appendices to the AASHTO Guide to Highway Vulnerability Assessment contain worksheets reproduced from the full document for critical asset factor values and scoring, vulnerability factors and scoring, and protection countermeasures information. NCHRP Report 525: Surface Transportation Security—Volume 15: Costing Asset Protection: An All Hazards Guide for Transportation Agencies (CAPTA) Authors: Science Applications International Corporation, PB Consult Date: May 2009 http://onlinepubs.trb.org/Onlinepubs/nchrp/nchrp_rpt_525v15.pdf Volume 15: Costing Asset Protection (CAPTA) of NCHRP Report 525 provides a guide for developing system-wide budget estimates for an all hazards approach to mitigation rooted in the National Incident Management System. It uses asset type and profiles to identify recommended measures and accompanying costs. States that already employ a comprehensive and fully integrated AMS will have already compiled the necessary information to execute the evaluation program. The process is applicable to natural hazards situations as part of pre-event recovery planning. The CAPTA Spreadsheet and an online Help tool is available at: http://www.trb.org/Main/Blurbs/160337.aspx NCHRP Report 632: An Asset-Management Framework for the Interstate Highway System Authors: Cambridge Systematics, Inc.; Applied Research Associates, Inc.; Arora Associates, Inc; KLS Engineering; PB Consult, Inc.; and Louis Lambert Date: May 2009 http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_632.pdf NCHRP Report 632 provides a framework for applying asset-management principles and practices to managing highway system assets. The report describes data needed to support asset-management decisions, how current data inventories may be employed, and cost-effective data-collection schemes. The report also considers available decision- support tools that can be used in applying asset-management principles and practices.

A-14 A Pre-Event Recovery Planning Guide for Transportation Asset Management Authors: Federal Highway Administration (FHWA) Date updated: August 30, 2010 http://www.fhwa.dot.gov/infrastructure/asstmgmt/resource.cfm This web resource is an asset management overview prepared by the FHWA with extensive coverage on focus areas provided through links to other sections within the website. Focus areas include management of bridges, tunnels, culverts, and pavements; preservation and evaluation and economic investment; memos, publications, and training courses; and events within the agency. Features, contacts, and sponsors are also highlighted in this resource. Hazards Resources Information on potential hazards, including probability and possible effects, can be obtained from FEMA, State Emergency Management and Civil Defense Agencies, the National Weather Service (NWS), the Environmental Protection Agency (EPA), the U.S. Geological Survey, the U.S. Army Corps of Engineers, and the Department of Natural Resources (DNR). See FEMA Region II Hazard Mitigation Risk Toolkit at: http://www.fema.gov/about/regions/regionii/toolkit_risk.shtm FEMA 433—Using HAZUS-MH for Risk Assessment Authors: Federal Emergency Management Agency (FEMA) Date Updated: August 11, 2010 http://www.fema.gov/plan/prevent/hazus/dl_fema433.shtm HAZUS-MH is a risk assessment software program provided by FEMA for analyzing potential losses from floods, hurricane winds, and earthquakes. HAZUS-MH takes into account various impacts such as physical damage (damage to residential and commercial buildings, schools, critical facilities, and infrastructure); economic loss (lost jobs, business interruptions, and repair and reconstruction costs); and social impacts (impacts to people, including requirements for shelters and medical aid). This web source provides access to a how-to guide for preparing standardized, scientifically based risk assessments with the HAZUS-MH software. The guide was prepared by FEMA on the basis of field-implemented HAZUS-MH risk assessment pilot projects across the country that are responding to the requirements of the Disaster Mitigation Act of 2000 (DMA 2000). This comprehensive guide is intended for users who have had exposure to HAZUS-MH and are interested in using the software to support risk assessment studies. HAZUS-MH can be found at: http://www.fema.gov/hazus/hz_index.shtm iCat Storm Damage Estimator Authors: iCat Date Published: 2009 http://www.icatdamageestimator.com/ This website was created by iCat to provide easy access to historical hurricane damage information. This interactive resource is a comprehensive searchable interface to find

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-15 damage estimates for all major storms in the United States from 1900 to the present day. The website encompasses a video explanation of how to use the site, including the extensive searchable methods available. The website includes the capacity to sort searches by storm year, name, place of landfall, and category, as well as to do quick searches. Options for views include satellite, map, terrain, and Google earth, as well as map tools for selecting specific areas to show what storms occurred in any particular area. Searches can be bookmarked, and there is an option for exporting data and sharing from the estimator via email, print, Google Earth, or in a spreadsheet file. FEMA Map Service Center Authors: Federal Emergency Management Agency (FEMA) http://msc.fema.gov/webapp/wcs/stores/servlet/FemaWelcomeView?storeId=10001&cata logId=10001&langId=-1 This source provides map information for a variety of users affected by floods, including homeowners and renters, real estate and flood determination agents, insurance agents, engineers and surveyors, and federal and exempt customers. There are flood maps, databases, map viewers, documents, and publications providing comprehensive information. Further aspects of the site include FEMA-issued flood maps available for purchase, definitions of FEMA flood zone designations, and information about FIRMettes, a full-scale section of a FEMA Flood Insurance Rate Map (FIRM) that users can create and print at no charge. FEMA Multi-Hazard Mapping Initiative (MMI)—HazardMaps Authors: Federal Emergency Management Agency (FEMA) http://www.fema.gov/hazard/index.shtm This subsection of FEMA’s website covers disasters and maps including hurricanes and floods, and finding information on declared disasters and emergencies. There are links to extensive information on different types of disasters and historical data on Presidential declarations. The map service center provides assistance on all maps available through FEMA and the different audiences that might utilize them from homeowners to insurance agents to engineers. Prioritization Analysis Tool for All-Hazards Authors: Sandia National Labs http://www.sandia.gov/mission/homeland/factsheets/PATH%20one-pager%20FINAL.pdf This one-page brochure, provided by Sandia National Laboratories, provides the basic overview for the PATH tool (Prioritization Analysis Tool for All-Hazards), a spreadsheet-based decision support tool designed to minimize consequences of wide area disasters. Citing an example scenario, capabilities, and diagrams, the brochure provides a condensed introduction to the tool.

A-16 A Pre-Event Recovery Planning Guide for Transportation HAZARDS TOOLS Tool Description and Web Link GIS Practices for Transportation GIS website developed by FHWA's Resource Center provides information on relevant GIS issues for transportation planners and contains links to other state, local, and government GIS websites http://www.gis.fhwa.dot.gov/default.asp State and Local GIS Practices Gateway to numerous GIS transportation applications currently being employed across the nation http://www.gis.fhwa.dot.gov/statepracs.asp Natural Hazards Support System (NHSS) The Natural Hazards Support System (NHSS) is being developed by the USGS Rocky Mountain Geographic Science Center (RMGSC) to aid in monitoring, responding to, and analyzing natural hazard events. NHSS meets these needs by combining a wide range of natural hazards events into a single geo-spatial, web-enabled viewer, allowing users to easily see the geospatial relationship(s) of different natural hazard events and contributes to the analysis of their potential impacts http://nhss.cr.usgs.gov/ Update of U.S. Precipitation Frequency Estimates (NOAA) The updates published as subsequent Volumes of NOAA Atlas 14 “Precipitation-Frequency Atlas of the United States” on results will allow DNR and others to review the potential of flooding risks based on the updated hydraulic information. http://www.nws.noaa.gov/oh/hdsc/currentpf.htm USGS Real-Time Water Data for the Nation Real-time data typically are recorded at 15-60 minute intervals, stored onsite, and then transmitted to USGS offices every 1 to 4 hours, depending on the data relay technique used. Recording and transmission times may be more frequent during critical events. NHSS updates this information every hour. http://waterdata.usgs.gov/nwis/rt Volcanoes Hazards Program The Volcano Hazards Program monitors active and potentially active volcanoes, assesses their hazards, responds to volcanic crises, and conducts research on how volcanoes work to fulfill a Congressional mandate (P.L. 93-288) that the USGS issue "timely warnings" of potential volcanic hazards to responsible emergency-management authorities and to the populace affected. http://volcanoes.usgs.gov/ Earthquake Hazards Program U.S. Geological Survey Earthquake Hazards Program monitors earthquake activity and provides information and tools for federal, state, and local organizations. http://earthquake.usgs.gov/ ShakeMaps ShakeMap is a product of the U.S. Geological Survey Earthquake Hazards Program in conjunction with regional seismic network operators. ShakeMap sites provide near-real-time maps of ground motion and shaking intensity following significant earthquakes. These maps are used by federal, state, and local organizations, both public and private, for post-earthquake response and recovery, public and scientific information, as well as for preparedness exercises and disaster planning. http://earthquake.usgs.gov/earthquakes/shakemap/

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-17 ShakeCast Critical users (lifeline utilities, for example) can receive automatic notifications within minutes of an earthquake indicating the level of shaking and the likelihood of impact to their own facilities. ShakeCast “Lite” delivers maps of areas affected by an earthquake. Areas of interest can be defined, and shaking thresholds can be set to trigger automatic notifications. Easy to integrate with in-house systems. http://earthquake.usgs.gov/research/software/shakecast/ WaterWatch ToolKit U.S. Geological Survey (USGS) collects hydrologic and water-quality information and provides access to water data, publications, and maps. The WaterWatch Toolkit provides streamflow conditions maps that can be downloaded and/or incorporated into other systems. http://waterwatch.usgs.gov/supports/index.php?id=wwtool Seismic Design Maps and Tools for Engineers U.S. Geological Survey (USGS) provides maps, data, and tools for engineers interested in seismic design of buildings and bridges. http://earthquake.usgs.gov/hazards/designmaps/ Landslide Monitoring USGS Landslide Hazards Program monitors selected landslides and hillsides. http://landslides.usgs.gov/monitoring/ FEMA Earthquake Resources Catalog This FEMA catalog provides an overview of more than 80 National Earthquake Hazards Reduction Program publications and resources available including earthquake training resources. http://www.fema.gov/library/viewRecord.do?id=3538 Catalog of FEMA Wind, Flood, and Wildfire Publications, Training Courses, and Workshops This FEMA catalog contains a listing with brief descriptions of publications, courses, and workshops developed by the Building Science Section of FEMA’s Federal Insurance and Mitigation Administration (FIMA). Publications include recovery advisories (hurricane, tornado, and wildfire), Mitigation Assessment Team (MAT) reports (hurricanes and tornadoes), natural hazard Risk Management Series (RMS) publications, technical bulletins, brochures, training courses, and workshops. http://www.fema.gov/library/viewRecord.do?id=3184 Consequence-Based Top Screen (CTS) Methodology The CTS methodology, developed by the Dam Sector, identifies critical facilities by focusing on potential consequences in the analysis (i.e., those high-consequence facilities, the failure or disruption of which could be potentially associated with the highest possible impact among assets). Because the approach decouples the analysis from threat and vulnerability components of the risk process, it can serve as an effective all-hazards preliminary prioritization scheme. http://www.dhs.gov/files/programs/gc_1260541882284.shtm REPAIR/REPLACEMENT Establishing the repair/replace criteria before an event occurs can expedite the recovery. The following resources and tools can assist in answering the key repair/replacement questions: • Should the infrastructure be replaced? • What options are there for repairing the infrastructure? • Should infrastructure be relocated? • Are there historic preservation or environmental concerns that need to be addressed?

A-18 A Pre-Event Recovery Planning Guide for Transportation Checklists, Worksheets, and Toolboxes Typical Transportation Repair/Replacement Elements by Recovery Phase A table of transportation infrastructure repair and replacement elements categorized by recovery phase was adapted from Puget Sound Recovery Annex, 2011 and provided herein. Repair/Replacement Elements by Recovery Phase Repair and Replacement Elements Repair/Replace Elements Phase Short- Term Mid- Term Long- Term Assess bridges and roadway structures Prioritize segment restoration Repair bridges and roadway structures Replace bridges and roadway structures Coordinate with utility purveyors for utilities in rights-of-way Provide engineering contract mechanisms Source: Adapted from Puget Sound Recovery Annex, 2011. Example Damage Classification System One of the earliest challenges to recovery is gaining an understanding of the extent of the damage along with what is required to repair and restore the damaged infrastructure. The infrastructure damage classification example with typical repair options for each level of damage that is provided herein is adapted from Emergency Damage Assessment (EDA) by MCEER, University at Buffalo for USDOT’s Federal Highway Administration as part of Project 106. Example Damage Classification System Category Description and Repair Option Functionality No Damage No notable damage; evidence of some impact may be present No loss of functionality Minor Damage Some visible signs of damage; repairs can be made under regular maintenance program Little or no loss of functionality Moderate Damage Visible and significant signs of damage; repairs or stabilization likely to be completed under emergency traffic Some loss of functionality Major Damage Life safety is threatened under service loads; emergency repairs, stabilization or replacement required Considerable to total loss of functionality Collapse Structure failed, moved off supporting foundation, or collapsed. Rebuilding or replacement required. Total loss of functionality Source: Adapted from Emergency Damage Assessment (EDA), MCEER, University of Buffalo.

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-19 WSDOT Training for First Inspections Training for first inspections is currently available by using the video and manual, “Student Manual to Accompany Training Video on Post-earthquake Safety Evaluation of Bridges State of Washington” posted on the WSDOT website: ftp://ftp.wsdot.wa.gov/incoming/Nisqually%20Post%20EQ%20Inspection/ Safety Assessment Program (SAP) Evaluation Training Manual California Emergency Management Program for registered professionals—licensed engineers, architects, geologists, and building inspectors—trained in safety evaluation of infrastructure in an aftermath of a disaster. A SAP training manual for evaluators is available at http://www.calema.ca.gov/Recovery/Documents/Safety%20Assessment%20Program/SAP %20Evaluator%20Student%20Manual%202011.pdf An overview of SAP with other materials is located at http://www.calema.ca.gov/Recovery/Pages/Safety-Assessment.aspx Information Tools to Improve Post-Earthquake Prioritization of Bridge Inspections http://www.wsdot.wa.gov/Research/Reports/600/602.1.htm WSDOT tools and procedures to estimate the likelihood of slight (or greater) bridge damage based on the intensity of earthquake shaking (obtained from ShakeMaps) and on each bridge’s location, year of construction, and bridge type and information contained in HAZUS software for predicting the lowest level of damage. Checklist for Tornado/Hurricane Damaged Structure Inspection This online checklist from the American Institute of Architects (AIA) describes the damage signs that should be noted for a wood frame structure (exterior and interior), steel frame or load bearing walls, or concrete frame or slab after a structure has been damaged during any of the wind storms—tornado, hurricane, or high winds. Available at http://www.aia.org/about/initiatives/AIAS075274?dvid=&recspec=AIAS075274 A related damage assessment worksheet is available at http://www.aia.org/aiaucmp/groups/aia/documents/pdf/aias077907.pdf FHWA Detailed Damage Inspection Report (DDIR) Form The FHWA DDIR form FHWA-1547 can be found online at http://www.fhwa.dot.gov/reports/erm/fhwa1547.pdf Guidance and Resources for Repair/Replacement Recommended Post Earthquake Evaluation and Repair Criteria for Welded Steel Moment-Frame Buildings (FEMA 352) Authors: Federal Emergency Management Agency (FEMA) Date Published: 2000 http://www.fema.gov/plan/prevent/earthquake/pdf/fema-352.pdf

A-20 A Pre-Event Recovery Planning Guide for Transportation This report provides recommendations for performing inspections to detect damage in steel moment-frame buildings following an earthquake; evaluating the damaged buildings’ safety in a post-earthquake environment; and repairing damaged buildings. Chapters cover inspection and classification of damage; preliminary post-earthquake assessment; detailed post-earthquake evaluations; and post-earthquake repair. The appendices include procedures for performance evaluation; sample placards that may be used to post buildings following preliminary post-earthquake evaluations; and sample inspection forms that may be used to record damage detected in beam-column connections as part of a detailed post-earthquake inspection program. The Repair of Earthquake Damaged Concrete and Masonry Wall Buildings (FEMA 308) Authors: Federal Emergency Management Agency (FEMA) Date Published: 1998 http://www.fema.gov/library/viewRecord.do?id=1533 This document provides practical guidance for the repair and upgrade of earthquake- damaged concrete and masonry wall buildings. Target audiences include design engineers, building owners and officials, insurance adjusters, and government agencies. The publication contains sections on performance-based repair design, repair technologies, categories of repair, and nonstructural considerations. The last section includes repair guides, which provide outline specifications for typical repair procedures. DAMAGE ASSESSMENT TOOLS Tool Description and Web Link iCat Storm Damage Estimator iCat provides easy access to historical hurricane damage information. This interactive resource is a comprehensive searchable interface for finding damage estimates for all major storms in the United States from 1900 to the present day. The website encompasses a video explanation of how to use the site, including the extensive searchable methods available. The website includes sorting searches by storm year, name, place of landfall, category, as well as quick searches. Options for views include satellite, map, terrain, and Google earth, as well as map tools for selecting specific areas to show what storms occurred in any particular area. Searches can be bookmarked, and there is an option for exporting data and sharing from the estimator via email, print, Google Earth, or in a spreadsheet file. http://www.icatdamageestimator.com/ FEMA Map Service Center FEMA provides map information for a variety of users affected by floods, including homeowners and renters, real estate and flood determination agents, insurance agents, engineers and surveyors, and federal and exempt customers. There are flood maps, databases, map viewers, documents and publications providing comprehensive information. Further aspects of the site include FEMA-issued flood maps available for purchase, definitions of FEMA flood zone designations, and information about FIRMettes, a full-scale section of a FEMA Flood Insurance Rate Map (FIRM) that users can create and print at no charge. http://msc.fema.gov/webapp/wcs/stores/servlet/FemaWelcomeView?storeId=1000 1&catalogId=10001&langId=-1

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-21 Information Tools to Improve Post- Earthquake Prioritization of Bridge Inspections WSDOT tools and procedures to estimate the likelihood of slight (or greater) bridge damage based on the intensity of earthquake shaking (obtained from ShakeMaps) and on each bridge’s location, year of construction, bridge type, and information contained in HAZUS software for predicting the lowest level of damage. http://www.wsdot.wa.gov/Research/Reports/600/602.1.htm ASCE Post-Disaster Assessment Manual The ASCE Post-Disaster Assessment Manual provides general guidance for the formation and operation of ASCE post-disaster assessment teams (assessment team or team).The primary purpose of ASCE post-disaster assessments is to evaluate the behavior of various engineered facilities under extreme conditions and to learn from the behaviors observed. The goal of these assessments is to document lessons learned regarding the causes of failures, restoration efforts, restoration times, and success stories. The document addresses the process for making the decision to launch an assessment as well as outlining the overall purpose, funding, and operation of the team effort so that assessment teams can be assembled, assessments conducted, and findings reported in a timely manner. http://www.nehrp.gov/pdf/ASCEPost-DisasterManual.pdf ATC-45 Field Manual: Safety Evaluation of Buildings After Windstorms and Floods The ATC-45 Field Manual provides guidelines and procedures to determine whether damaged or potentially damaged buildings are safe for use after wind storms or floods, or if entry should be restricted or prohibited. Formatted as an easy-to-use pocket guide, the Manual is intended to be used by structural engineers, building inspectors, and others involved in post-disaster building safety assessments. Advice is provided on evaluating structural, geotechnical, and nonstructural risks. Also included are procedures for Rapid Safety Evaluation, procedures for Detailed Safety Evaluation, information on how to deal with owners and occupants of damaged buildings, information on field safety for those making damage assessments, and example applications of the procedures. https://www.atcouncil.org/Postdisaster-Safety-Evaluation-of-Buildings/Field- Manual-Safety-Evaluation-of-Buildings-after-Wind-Storms-and- Floods/flypage.tpl.html Post-Earthquake Damage and Safety Evaluation of Buildings The ATC-20 product series contains guidelines and related materials for post- earthquake evaluation and repair of damaged buildings. The series is offered for sale on the Applied Technology Council (ATC) website, and includes all products in the ATC-20 Series and reports prepared under the ATC-43 project. Subjects in the ATC-20 series include basic procedure manuals, a field manual, case studies, a training slide set, and a tech brief. Documents prepared under the ATC-43 project provide guidance on in-depth engineering evaluation and repair of earthquake-damaged mason-wall buildings and concrete-wall buildings (FEMA 306, FEMA 307, FEMA 308), which are collectively available on the ATC-43 CD. https://www.atcouncil.org/vmchk/Postearthquake-Damage-and-Safety-Evaluation- of-Buildings/View-all-products.html Evaluation of Earthquake-Damaged Concrete and Masonry Wall Buildings, Basic Procedures Manual (FEMA 306) FEMA 306 was developed for and is focused on assessment and repair of earthquake-damaged buildings. The document provides practical criteria and guidance for buildings consisting of concrete or masonry bearing walls and frames with concrete or masonry infill panels. http://www.fema.gov/library/viewRecord.do?id=1651 Evaluation of Earthquake-Damaged Concrete and Masonry Wall Buildings, Technical Resources (FEMA 307) This document provides background and theoretical information to be used in conjunction with FEMA 306. Analytical and experimental findings are included, as well as information on the Component Damage Classification Guides.http://www.fema.gov/library/viewRecord.do?id=1652

A-22 A Pre-Event Recovery Planning Guide for Transportation Recommended Postearthquake Evaluation and Repair Criteria for Welded Steel Moment-Frame Buildings (FEMA 352) This report provides recommendations for performing inspections to detect damage in steel moment-frame buildings following an earthquake; evaluating the damaged buildings’ safety in a postearthquake environment; and repairing damaged buildings. Chapters cover inspection and classification of damage; preliminary postearthquake assessment; detailed postearthquake evaluations; and postearthquake repair. The appendices include procedures for performance evaluation; sample placards that may be used to post buildings following preliminary postearthquake evaluations; and sample inspection forms that may be used to record damage detected in beam-column connections as part of a detailed postearthquake inspection program. http://www.fema.gov/plan/prevent/earthquake/pdf/fema-352.pdf Post Earthquake Investigation Field Manual for the State of Kentucky The Manual provides a rapid and efficient method of inspecting bridge structures after an earthquake. Primary users are intended to be first-line transportation personnel who initially reach the bridge sites. http://www.ktc.uky.edu/Reports/KTC_06_30_SPR_234_01_1F.pdf Basic Techniques for Quick and Rapid Post- Earthquake Assessments of Building Safety This work presents two single and direct methods designed for post-earthquake building inspections and safety classifications in small-to-medium size towns stricken by a damaging earthquake. The first Post-Earthquake Building Safety Assessment (PEBSA) method is an easy way to achieve general and approximated initial information on damage distribution and to detect heavily damaged and unsafe constructions (4 and 5 damage degree in EMS scale). These early data are necessary to emergency assistance, the local disaster statement, external aid requesting, and organizing rapid building inspections. The second method, named Rapid-PEBSA, follows conventional approaches for post- earthquake safety inspections in seismic-prone countries (USA, Japan, Italy). http://www.narpimed.org/wp-content/uploads/Paper-3-post-EQ.pdf TEMPORARY STRUCTURE/TRAFFIC DETOURS: SHORT-TERM RECOVERY Short-term recovery efforts often overlap with response and focus on providing essential services and re-establishing critical transportation routes. To quickly restore movement to an affected area, temporary solutions can be put in place such as installing temporary bridges or roadways or offering alternate modes of transportation. The following resources and tools can assist in answering the key pre-event short-term recovery questions: • What options are there for traffic detours? • Can a temporary structure be used? What temporary structures are available to be used? • What actions can be taken now to prepare? Checklists, Worksheets, and Toolboxes Transportation Mitigation Strategies Summary The Puget Sound Recovery Annex includes an overview of transportation mitigation strategies organized by the phase of the recovery effort in which they usually occur. The overview is included below. A discussion of each strategy can be found in the Annex at http://www.seattle.gov/emergency/library/TransportationRCPTApprovedFinal.pdf

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-23 Transportation Mitigation Strategies Strategies Recovery Phases Short- Term Mid- Term Long- Term Increase Capacity on Existing Lanes Operate Contraflow Lanes Utilize Reversible Lanes Restrict Lanes for HOV or BAT Provide HOV Bypass at Bottlenecks Utilize the Shoulder of a Roadway as an Additional Traffic Lane Eliminate/Restrict On-Street Parking Reduce Lane Widths to Accommodate Additional Lanes Ramp Metering Increase Transit Service Increase Ferry Service Improve Transportation Incident Management Implement Traffic Management Technology Change Signal Timing to Accommodate Changed Travel Patterns Reprioritize Current Transportation Projects Divert or Redirect Traffic Revise Transit Routes Construct Bypass Roadway Close Selected Freeway On/Off Ramps Relocate Ferry Service Manage Truck Usage Designate Emergency Responder Routes Convert Non-Motorized Trails to Restricted Use Demand Management Telecommuting Staggered Work Shifts Compressed Work Week Passenger-Only Ferry Service Congestion Pricing Vanpool/Carpool Incentives Additional Park-and-Ride Lots Increase Bicycle Usage HOV Designation Source: Adapted from Puget Sound Recovery Annex, 2011

A-24 A Pre-Event Recovery Planning Guide for Transportation Sample Temporary Bridge Request Form Temporary bridge material is kept in locations around the state of Vermont, and policy addresses requirements for emergency use and establishes limits on the duration of use to ensure that the temporary bridges do not become long-term solutions, limiting their availability for future emergencies. Vermont’s Request Form for temporary bridge facilities is provided herein. Framework for Pre-Fabricated Bridge Elements and Systems (PBES) Decision- Making This is a decision-making tool from FHWA to help answer whether a pre-fabricated bridge is achievable and effective for a specific bridge location for the owner agency and contractor and implementers, including designers and project managers. The tool includes a Flowchart for High-Level Decision on Whether a Pre-fabricated Bridge Should Be Used that summarizes the decision process to determine whether a pre-fabricated bridge is effective for a given location and Matrix Questions for High-Level Decision on Whether a Pre-fabricated Bridge Should Be Used. The decision factors are presented in a series of Yes/No questions in matrix form to assist in determining the effective use of pre-fabrication to achieve rapid and limited-impact onsite construction. Projects with a majority of “Yes” responses would benefit from pre-fabrication. Both flowchart and matrix are included. The online version is available at: http://www.fhwa.dot.gov/bridge/prefab/framework.cfm

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-25 Source: Vermont Department of Transportation

A-26 A Pre-Event Recovery Planning Guide for Transportation High-Level Decision Flowchart: Prefabricated Bridge Source: FHWA Accelerating Technology: Prefabricated Bridge Elements and Systems

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-27 Questions for High-Level Decision on Whether Pre-Fabricated Bridge Should Be Used Questions Yes Maybe No Does the bridge have high average daily traffic (ADT) or average daily truck traffic (ADTT), or is it over an existing high-traffic-volume highway? Is the bridge on an emergency evacuation route or over a railroad or navigable waterway? Will the bridge construction impact traffic in terms of requiring lane closures or detours? Is rapid recovery from natural/manmade hazards or rapid completion of future planned repair/replacement needed for this bridge? Is the bridge location subject to construction time restrictions due to adverse economic impact? Do worker safety concerns at the site limit conventional methods, e.g., adjacent power lines or over water? Is the site in an environmentally sensitive area requiring minimum disruption (e.g., wetlands, air quality, and noise)? Are there natural or endangered species at the bridge site that necessitate short construction time windows or suspension of work for a significant time period, e.g., fish passage or peregrine falcon nesting? If the bridge is on or eligible for the National Register of Historic Places, is pre-fabrication feasible for replacement/rehabilitation per the Memorandum of Agreement? Can this bridge be designed with multiple similar spans? Does the location of the bridge site create problems for delivery of ready- mix concrete? Will the traffic control plan change significantly through the course of the project due to development, local expansion, or other projects in the area? Are delay-related user costs a concern to the agency? Can innovative contracting strategies to achieve accelerated construction be included in the contract documents? Can the owner agency provide the necessary staffing to effectively administer the project? Can the bridge be grouped with other bridges for economy of scale? Will the design be used on a broader scale in a geographic area? Totals: Source: FHWA Accelerating Technology: Prefabricated Bridge Elements and Systems Note: One or two of the above factors may warrant the use of pre-fabrication to achieve rapid and limited-impact onsite construction. Alternatively, the user may wish to assign weights to the above questions based on the unique circumstances of the project in order to determine whether pre-fabrication should be used. In any case, pre-fabrication offers advantages for projects with a majority of “Yes” responses. DEMOLITION: PARTIAL OR COMPLETE A key to rapid recovery is how quickly the demolition and restoration can begin after the event. Debris removal, both for initial clearing and demolition debris, can be addressed

A-28 A Pre-Event Recovery Planning Guide for Transportation and planned in advance. An incident involving chemical, biological, or radiological (CBR) agents will result in significant disruption of services. Having a restoration plan vetted in advance and facility personnel trained beforehand substantially reduces the overall time for restoration and recovery. Guidance and Resources Debris Removal and Demolition Operations Fact Sheet Authors: Federal Emergency Management Agency (FEMA) Date Published: 2007 http://www.fema.gov/public-assistance-local-state-tribal-and-non-profit/recovery- directorate/debris-removal-and This fact sheet from the FEMA website covers debris removal and demolition operations on both public and private property and the criteria for receiving assistance. DEBRIS MANAGEMENT TOOLS Planning for Natural Disaster Debris Authors: Environmental Protection Agency (EPA) Date Published: March 2008 http://www.epa.gov/wastes/conserve/imr/cdm/pubs/pndd.pdf This EPA document discusses the management of debris from natural disasters, such as hurricanes, earthquakes, tornadoes, volcanoes, floods, wildfires, and winter storms. It includes information on • Recommended components of a disaster debris management plan. • Management options for various debris streams that might be found after a natural disaster. • A collection of case studies that highlights how several communities prepared for and managed debris generated by recent natural disasters. • Federal, state, and local resources to consult in planning for natural disasters. FEMA 325 Debris Management Guide Authors: Federal Emergency Management Agency (FEMA) Date Published: July 2007 http://www.fema.gov/pdf/government/grant/pa/demagde.pdf This FEMA guide provides applicants with a programmatic and operational framework for structuring their own debris management plan or ensuring that their existing plan is consistent with FEMA’s eligibility criteria. This framework identifies and explains the debris removal eligibility criteria that applicants must meet in order to receive assistance under the FEMA Public Assistance (PA) Program, provides a blueprint for assembling an effective and responsive plan for the entire debris management cycle, and outlines the FEMA PA program debris organizational structure and strategy. It incorporates best practices in debris removal and is tailored to the specific needs of applicants.

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-29 Incident Waste Assessment & Tonnage Estimator (I-WASTE) Authors: Environmental Protection Agency (EPA) Date Published: March 2008 http://www.epa.gov/nhsrc/news/news051209.html This tool from EPA supports disposal decisions for waste and debris. I-WASTE provides information on types and volumes of waste materials and potential contaminants generated during an incident; location and contact information for potential treatment/disposal facilities; and health and safety information to ensure public and worker safety during the removal, transport, treatment, and disposal of contaminated waste and debris. HAZMAT/DECONTAMINATION An incident involving chemical, biological, or radiological (CBR) agents will result in significant disruption of services. Compared to more common natural disasters, CBR incidents involve unique challenges and require significant operational adjustments. Pre- event planning has been found to be essential. Having a restoration plan vetted in advance and facility personnel trained beforehand substantially reduces the overall time for restoration and recovery. Checklists, Worksheets, and Toolboxes Transportation Chemical Spill Checklist Included herein is a checklist for planning and recovery of a transportation chemical spill, adapted from Madison County North Carolina Emergency Management Hazard Specific Checklists. These checklists are available online at http://www.madisoncountync.org/eop/Checklists/Checklist_TransportationChemical.pdf TRANSPORTATION CHEMICAL SPILL CHECK LIST Planning Ensure the public is well informed regarding transportation issues regarding hazardous materials. Coordinate with local broadcast media to ensure timely and accurate Emergency Action System activation. Coordinate with local plants, businesses or other facilities that receive hazardous materials and obtain information as allowed by Community Right to Know or SARA Title III (Code of Federal Regulations). Provide an avenue for transient transportation companies to report chemical spills (i.e., 911). Coordinate with Chemtrec (800-424-9300) for timely information regarding spills. Coordinate with local transportation departments or state departments of transportation regarding potential for specifying truck routes for hazmat carriers, avoiding densely populated areas.

A-30 A Pre-Event Recovery Planning Guide for Transportation Coordinate with schools, daycare centers, hospitals, etc., in proper precautions and emergency actions prior to a transportation chemical spill or accident. Obtain transportation information from DMV or other state agencies regarding the number of trucks passing through in a 24-hour time period, thus calculating your risk potential. Coordinate and plan at least one exercise (table top or practical) tri-annually. Conduct hazard analysis of vital facilities and the impact of a major chemical spill on one or more of those facilities. Establish or facilitate joint incident command with agencies likely to respond, such as fire departments, regional hazmat teams, etc. Ensure fire department personnel and other responders meet or exceed OSHA 1910.120. Determine the location of the nearest hazmat response team and their capability. Determine the availability of shelters and obtain shelter agreements if the Red Cross has not. Coordinate with Red Cross, public agencies, and/or the Salvation Army for shelter operations. Recovery Gather damage assessment information from damage assessment teams. Obtain information from technical sources regarding health effects duration. Obtain information from Red Cross regarding number of shelterees and support necessary for continued operation. Obtain from Red Cross an estimated duration period for continued shelter operations, if any. Obtain information from utilities regarding outages, length of repair, safety, etc. Assess citizen/community needs for individual assistance and/or public assistance. Activate local unmet-needs committee, if appropriate. Gather financial information from the Finance Officer. As appropriate, gather additional information to include: o Personnel that responded and the time involved in the response. o Time sheets or time logs. o Supplies used. o Contracts issued. o Purchase orders issued. o Any other expenditures. o Damages to buildings, equipment, utilities, etc. o Loss of life of any public servant. o Documents regarding economic impact. Notation: In most cases the person responsible for the chemical leak or spill is responsible for cleanup and all costs associated with response as well. Volunteer resources may not be reimbursable unless under contract. Develop or generate reports for the following, as appropriate: o FEMA

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-31 o State o Local elected officials o County/City /Town Managers o Others requiring or requesting reports Coordinate recovery organizations including federal and state agencies and private or volunteer relief organizations. Establish donated goods management based on policy and procedure. If a Presidential declaration of disaster is made, file "Request for Public Assistance" to apply for assistance as soon as possible with the proper state or federal agency. Ensure public officials are made aware of the assistance application process, if applicable. Ensure the general public is made aware, through the public information officer, of the assistance application process, if applicable. Perform an incident critique as soon as possible with all possible response organizations. Review agency and self-performance. Review the weaknesses of the plan. Correct weaknesses. Implement hazard mitigation or modify hazard mitigation plan accordingly. Brief elected officials with updated information and disaster recovery progress. Source: Adapted from Madison County North Carolina Emergency Management. Tools and Resources Compilation of Available Data on Building Decontamination Alternatives Report Authors: Environmental Protection Agency (EPA) Date Published: 2005 http://www.epa.gov/nhsrc/pubs/600r05036.pdf This report, commissioned by the EPA’s National Homeland Security Research Center (NHSRC), provides background information regarding potential building decontamination technologies and serves as an educational tool for building decontamination. The guidance document can assist in most effectively selecting and implementing the decontamination approach for a building following a CB (chemical and biological) attack. Remediating Indoor and Outdoor Environments: EPA Decontamination Reports Authors: Environmental Protection Agency (EPA) Date Published: 2005 http://www.epa.gov/nhsrc/aboutdecon.html#overview Model Recovery Procedure for Response to a Radiological Transportation Incident EPA’s homeland security research on indoor and outdoor decontamination work provides research to assist in detecting contamination and determining its extent, containing contamination to minimize exposure, decontaminating buildings and outdoor areas in a timely and cost-effective manner, and disposing of contaminated materials. The

A-32 A Pre-Event Recovery Planning Guide for Transportation effectiveness of existing methodologies for detection and containment, site decontamination, and waste disposal is being assessed by the EPA. Transportation Emergency Preparedness Program Authors: Department of Energy Date Published: 2005 http://www.em.doe.gov/Transportation/TEPP_Home.aspx The Transportation Emergency Preparedness Program (TEPP) model recovery procedure outline gives an overview of incident response procedures. It contains the recommended elements for developing and conducting recovery planning at a transportation incident scene involving radiological materials. Encompassing responsible parties, location, type of hazard, safety concerns, impact, recovery, etc., the document includes a section on recovery procedures. Action Plan to Reopen Contaminated Airport Authors: Lawrence Livermore National Laboratory Date Published: September 2007 https://www.llnl.gov/str/Dec06/pdfs/12_06.2.pdf The Department of Homeland Security (DHS) funded a project led by Lawrence Livermore and Sandia National Laboratories to minimize the time a major transportation facility would be closed following a biological attack. Response and restoration protocols for such events are included in the document. Restoration Plan for Major Airports after a Bioterrorist Attack Authors: Lawrence Livermore National Laboratory Date Published: January 2007 https://e-reports-ext.llnl.gov/pdf/342514.pdf This document provides general guidelines for developing a Restoration Plan for a major airport following release of a biological warfare agent. Guide to CHEMTREC® for Emergency Responders Authors: American Chemistry Council, Chemtrec® Date Published: January 2007 http://www.chemtrec.com/responder/resources/Documents/CHEMTRECGuideforEmerge ncyResponders[1].pdf The CHEMTREC® Guide for Emergency Responders (Guide) provides emergency response personnel, law enforcement agencies, and other interested persons with a better understanding of CHEMTREC’s services. The Guide includes: How CHEMTREC handles emergency incidents, what assistance is provided, and what information will be requested from the caller to assist with chemical emergencies.

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-33 How CHEMTREC can help emergency responders better prepare for emergencies through the drill/exercise program. A description of hands-on CHEMTREC training programs and other training sponsored by the American Chemistry Council. DESIGN Making design decisions as soon as possible can minimize recovery time. Some decisions can be made before an event, such as what design strategies to take when rebuilding or replacing existing infrastructure. • Build “as is” or design new structure? • Can designs be simplified, such as reducing architectural details in temporary structures? • Should desired or planned infrastructure improvements be incorporated into the designs? Resources and Tools for Design Design Guide for Improving Critical Facility Safety from Flooding and High Winds Authors: Federal Emergency Management Agency (FEMA) Date Published: January 2007 http://www.fema.gov/library/viewRecord.do?id=2441 This manual concentrates on critical facilities and makes recommendations on the performance of these types of buildings based on the experience of Hurricane Katrina. It provides building professionals and decision makers with information and guidelines for implementing mitigation measures to reduce the vulnerability to damage and disruption of operations during severe flooding and high-wind events. Design Consideration for Improving Critical Facility Functionality During Flood Events Authors: Federal Emergency Management Agency (FEMA) Date Published: October 2009 http://www.fema.gov/library/viewRecord.do?id=3824 This advisory provides recommendations for reducing the effects of flooding on existing critical facilities. It specifically applies to the essential critical facility systems that must remain functional during and after flood events. The Repair of Earthquake Damaged Concrete and Masonry Wall Buildings (FEMA 308) Authors: Federal Emergency Management Agency (FEMA) Date Published: September 2007 http://www.fema.gov/library/viewRecord.do?id=1533 This document provides practical guidance for the repair and upgrade of earthquake- damaged concrete and masonry wall buildings. Target audiences include design engineers, building owners and officials, insurance adjusters, and government agencies.

A-34 A Pre-Event Recovery Planning Guide for Transportation The publication contains sections on performance-based repair design, repair technologies, categories of repair, and nonstructural considerations. The last section includes repair guides, which provide outline specifications for typical repair procedures. CONTRACTING Major repair or replacement construction typically requires contracting for engineering and contractor services. The following resources and tools can assist in answering the key questions: • How should a contractor be selected? • What type of contract should be used? • How can the contracting and approval process be expedited? Checklists and Worksheets for Contracting Project Guidance Matrix for Innovative Contracting Practices The Project Guidance Matrix is a tool to use as a general guide in selecting projects that may be good candidates for innovative contracting type provisions. The matrix shown herein was adapted from PennDOT Innovative Bidding ToolKit (2011) available online at ftp://ftp.dot.state.pa.us/public/PubsForms/Publications/Pub%20448.pdf. Oregon DOT Design-Build Base Documents http://www.oregon.gov/ODOT/HWY/MPB/design_build.shtml#Additional_Information The Oregon DOT Design-Build Program website includes reference documents and flowcharts including the following: • Design-Build Schedule Template (63-Step Process) (.pdf) • Decision Matrix for Design-Build Delivery (.pdf) • Design-Build Procurement Process Flow Chart (63-Step Process) (.pdf) • Design-Build Low Bid Procurement Process Flow Chart (15-Step Process) (.pdf) • Quick Guide to Design-Build Delivery (.pdf) Modified 3/01/10 • Schedule Comparison between Delivery Methods (.pdf) Design-Build Rules, Procedures, and Guidelines http://www.dot.state.fl.us/construction/designbuild/DBRules/DBRulesMain.shtm The Florida DOT website includes guidelines, checklists, and other resources to assist in design-build projects including: • Checklist for FHWA Oversight Record Requirements • Design-Build Guidelines • Design-Build Pre-Scoping Questions • FHWA SEP-14 Approval Letter • Project Selection Guidelines Caltrans Design-Build Demonstration Project http://dot.ca.gov/hq/oppd/designbuild/db.htm

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-35 The Caltrans Design-Build Demonstration Program website provides various documents developed to implement design-build. Performance Contracting Framework http://www.fhwa.dot.gov/hfl/framework/03.cfm FHWA developed a performance contracting framework for reconstruction projects that can be used as a reference guide to accelerate the solicitation and development process. Process for Defining the Contract Performance Goals and Measures http://www.fhwa.dot.gov/construction/contracts/pcfc_2012/pcfc06.cfm The basis of any performance contract is the set of performance goals that defines what the contractor is to achieve under the contract. The FHWA provides lessons learned and a goal development process in the flowchart shown herein. Project Guidance Matrix Project Criteria Lo w B id D es ig n- Bu ild A dju ste d B id O ne S te p D es ig n- Bu ild A dju ste d B id Tw o St ep D es ig n- Bu ild In ce nt iv e/ D is in ce nt iv e fo r Ea rly Co m pl et io n A +B x B id di ng La ne R en ta l W ar ra nt ie s Lu m p Su m Emergency project X X X X X Minimize construction time X X X Must complete project by a specific date X X Possible conflict between construction and a major public event X X Significant construction impact to local businesses X X X Lengthy detours/significant delays X X X Detours impractical but lane and/or shoulder closures required X X High traffic volume roads/high road user costs (RUC) X X X High RUC and public desire to complete project early X X X C factor X Low RUC but need to expedite construction X X X Safety issues related to construction X X X Multiple bidders anticipated X Low number of bidders anticipated X X X Major objective is to reduce total project duration (design & construction) X X X Major objective is to reduce design procurement time X Major objective is to guarantee quality of specific items X Well defined project with common work items X X X Source: Adapted from PennDOT Innovative Bidding ToolKit, 2011.

A-36 A Pre-Event Recovery Planning Guide for Transportation Goal Development Process Flowchart Source: FWHA Construction, Performance Contracting for Construction

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-37 Guidance and Resources NCHRP Web Document 38: Quality-Based Performance Rating of Contractors for Prequalification and Bidding Purposes Authors: Minchen, R. E., and G. R. Smith Date Published: 2001 http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_w38.pdf This report examines the concerns facing owners and contractors with regard to competitive-bid construction projects and whether owners treat low-quality work no differently than high-quality work. The report notes that the concerns are shared by U.S. DOT officials and the state highway agencies that compose the American Association of State Highway and Transportation Officials (AASHTO) who requested that NCHRP manage research to develop a Quality-Based Performance Rating (QBPR) system. The purpose of this study was to develop a comprehensive quality-based rating system that will be effective in prequalification systems and bid evaluation. The result of this study is a rating system to help determine qualification for construction contract awards. AASHTO Guide for Design-Build Procurement Authors: AASHTO Date Published: 2008 https://bookstore.transportation.org/Item_details.aspx?id=1180 This AASHTO guide is intended to supply state highway agencies with strategies and methods for successful design-build implementation, including the preparation of requests for qualifications (RFQ) and requests for proposals (RFP) and the selection of a qualified proposer. It is based on best practices from experienced state highway agencies and other public-sector agencies. Topics include understanding design-build, developing a design-build program, defining project goals, and allocating project risks. Over 50 contractual provision examples are provided. Primer on Contracting for the Twenty-first Century, Fifth Edition 2006, A Report of the Contract Administration Section of the AASHTO Subcommittee on Construction Authors: AASHTO Date Published: 2006 http://construction.transportation.org/Documents/PrimeronContracting2006.pdf The 2006 Primer on Construction Contracting for the 21st Century is an updated version of the “1997 Primer on Contracting 2000.” It is intended to provide summary information on non-traditional contracting techniques. The Primer provides a description of the contracting technique, information regarding the use of these provisions, a list of contracting agencies that have experience with the technique, and a contact for additional information.

A-38 A Pre-Event Recovery Planning Guide for Transportation Contract Administration Core Curriculum Participant's Manual and Reference Guide Authors: Federal Highway Administration (FHWA) Date Published: 2010 http://www.fhwa.dot.gov/programadmin/contracts/coretoc.cfm This course has been prepared by the FHWA Contract Administration Group and is designed to discuss contract provisions, administrative procedures, and applicable policies related to federal-aid design and construction contracts. An extensive appendix is provided, and participant expectations upon completion of the course are noted. Alternative Project Delivery Procurement and Contracting Methods for Highways Authors: Keith R. Molenaar (editor) and Gerald Yakowenko, P.E., (Editor) American Society of Civil Engineers (ASCE) Date Published: 2007 http://cedb.asce.org/cgi/WWWdisplay.cgi?156076 This book provides a comprehensive and objective presentation of methods for improving the efficiency and effectiveness of project delivery and contracting. It provides information on design-build, construction management at risk, performance-based road maintenance contracts, best-value procurement, quality-based contractor qualification, warranty contracting, and incentive/disincentive contracting. Innovative Procurement Methods Authors: Trauner Consulting Services for California Department of Transportation Date Published: 2007 http://www.dot.ca.gov/hq/oppd/contracting/InnovativeProcurementPractices.pdf This report evaluates selected innovative contracting strategies that include description, objective, summary of past and ongoing DOT experience, and project-selection criteria. A qualitative assessment of the advantages and disadvantages of each particular method is also provided. To provide a baseline for comparison, an evaluation of the advantages and disadvantages of the traditional design-bid-build approach has been prepared as well. Innovative Contracting Practices Authors: Minnesota Department of Transportation (MnDot) http://www.dot.state.mn.us/const/tools/innovativecontract.html This report is a web-based resource providing detailed information about MnDOT initiatives and techniques for reducing construction time and delivery of projects, improving quality and developing new processes to administer projects. Eight sections are presented, and each gives an overview of methods related to the overall improvement strategies. Subsections and links are included with an overview of guidelines and goals, as well as resources, awards, and contacts.

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-39 NCHRP Report 561: Best-Value Procurement Methods for Highway Construction Projects Authors: Scott, III, S.; K. R. Molenarr; D. D. Gransberg; and N. C. Smith Date Published: 2006 http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_561.pdf This NCHRP report provides detailed information on the procedures and algorithms used by various contracting agencies to determine best value. Screening criteria for selecting projects for application of best-value procurement, implementation strategies, and a model best-value specification were also developed. Guidebook for Design-Build Highway Project Development Authors: Washington State Department of Transportation (WSDOT) Date: June 2004 http://www.wsdot.wa.gov/NR/rdonlyres/46196EB8-F9D0-4290-8F55- 68786B1DA556/0/DesignBuild_GuidebookJun2004.pdf This guidebook provides a framework for using the design-build contracting technique. Commonly asked questions are presented and answered in the context of WSDOT’s traditional design-bid-build process versus design-build contracting procedures. This guidebook has been prepared primarily for the Program Manager and Project Engineer who are in responsible roles to appropriately select, develop, and administer a project using design-build contracting. The guidebook also may be useful to Project Team members who will also be involved in the process. Incentive/Disincentive (I/D) for Early Completion Authors: Federal Highway Administration (FHWA) Date Published: 1989 http://www.fhwa.dot.gov/construction/contracts/t508010.cfm This technical advisory provides guidance for the development and administration of incentive/disincentive (I/D) provisions for early completion on highway construction projects or designated phase(s). Its use is primarily intended for those critical projects where traffic inconvenience and delays are to be held to a minimum. The scope of this advisory covers definitions, background and guidance, project selection and development, determinations of I/D amounts and time, contract administration, and road user cost in low-bid determination. NCHRP Synthesis 379: Selection and Evaluation of Alternative Contracting Methods to Accelerate Project Completion Authors: Anderson, S. D., and I. Damnjanovic Date Published: 2009 http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_syn_379.pdf This study explores the process for selection of alternative contracting methods (ACMs) that can potentially accelerate project completion. The goal of this study was to

A-40 A Pre-Event Recovery Planning Guide for Transportation summarize the state of practice in selecting ACMs. The report also examines factors associated with selecting one type of alternative contracting technique over another and the concerns of state transportation agencies with regard to implementation, effectiveness, and impact. Special Experimental Project No. 14—Innovative Contracting Authors: Federal Highway Administration (FHWA) Date Updated: April 2011 http://www.fhwa.dot.gov/construction/cqit/sep14.cfm This Construction Program Guide presents the legal basis for allowing state DOTs to evaluate non-traditional contracting techniques with regard to FHWA's Special Experimental Project No. 14 (SEP-14) - "Innovative Contracting." Separated into three general categories, the information provided covers laws, regulations, orders, and policy, as well as guidance and training. CONSTRUCTION A number of construction strategies can expedite recovery by minimizing disruption and reducing project delivery time. These strategies include using the design-build process, planning for staged or phased construction, and utilizing accelerated work schedules. The resources and tools that follow can assist in answering these key construction questions: • What construction strategies are available for recovery? What construction strategies can be used to accelerate construction? • What construction techniques are available to expedite recovery? • What can be done in advance to prepare for recovery construction? Checklists, Worksheet, and Toolboxes Construction Pre-Scoping Questions Pre-scoping questions have been developed by Florida DOT to assist in developing project-specific Design and Construction Criteria Packages. While many of the issues raised by the pre-scoping questions may not apply to all projects, this document can serve as a guide in scoping the necessary site surveys and in defining project constraints. Categories of questions include environmental, geotechnical, and structural questions for bridges, structures, and roadways. The document can be found online at http://www.dot.state.fl.us/construction/designbuild/DBRules/DB_PRESCOPING_QUEST IONS.docx

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-41 Design-Build (D/B) Pre-scoping Questions Environment- Related Surveys/Permit Coordination Do any of the existing steel bridge coatings within the project limits contain lead based paint? Bridges of concern include bridges to be painted, rehabilitated, widened, or removed. Are there sea grasses within or in the vicinity of the project limits (for water projects)? What are the mitigation ratios? Are there turbidity/jetting restrictions? Is there dredging? Are temporary work platforms required to facilitate crane access in shallow water? What are the specific permit requirements? Are there jurisdictional wetlands within the project limits? What are the impacts? How will impacts be minimized? How will impacts be mitigated? What are the specific permit requirements? Are there contaminated sites within the project limits? Will D/B Team be expected to coordinate with district-wide specialty contractor? Will location and type of contamination dictate roadway alignments, retention pond placement, or structure versus retaining walls? Address items such as special handling and disposal requirements of drilled shaft or other excavated materials. For bridges crossing navigable waterways, have the minimum vertical and horizontal clearances been coordinated with the permitting agencies? For bascule bridges, provide clearances for both the open and closed positions. Are fenders and navigational lighting required? If project includes removal of existing structure near a navigational channel, is additional removal below the mud line required to facilitate long-term maintenance dredging? This is especially a concern when existing mud-line bascule piers are to be removed due to the costs involved. What are the specific permit requirements? Are there local ordinances related to noise? What are the specific permit requirements? Are there endangered species potentially impacted by the project? How will impacts be minimized? What are the specific permit requirements? Are there any blasting restrictions? Are there environmental restrictions concerning whether bridge drainage can discharge directly into the waterway? What are the specific permit requirements related to bridge drainage? Geotechnical- Related Questions Should a maximum wall height or fill height be specified for the project? Should maximum begin bridge stations and minimum end bridge stations be given? Are there specific areas where contaminated soils exist? Have the contaminants been identified? Are there special requirements? Will any of these areas need to be bridged to prevent them from being disturbed?

A-42 A Pre-Event Recovery Planning Guide for Transportation What is the location and minimum number of static or statnamic load tests, based on project site variability required to justify increasing the design resistance factor for both piles and drilled shafts. Should partial height walls such as toe walls or perched walls be allowed? Are there adjacent properties that may be subject to damage during construction due to excessive vibration? Examples may include laser-surgery- related businesses, railroad facilities, and historic buildings located close to potential super-pave, pile driving, drilled shaft casing installation, blasting or sheet piling installations. Provide additional vibration requirements in the RFP beyond what is already covered under Specification 455-1.1, as necessary. Is the site prone to soil set-up? Should pile bearing resistance acceptance criteria be developed in the RFP that allow for some soil set-up without requiring every pile to be set-checked? Structural- Aesthetics- Related Questions Is each bridge superstructure to be constructed of the same material, i.e., all pre-stressed beams, or all structural steel? Will steel spans be allowed in combination with concrete spans? Should the steel be painted the same color as the concrete? Should the structure depth of the fascia girders for all bridges be held constant without steps? Are there exceptions? For aesthetic reasons, will some of the 3rd and 4th level structures within an interchange be required to be box girders? Are there other bridges within the project requiring specific structure types? Are there specific aesthetic requirements for the bridges and/or walls? Depending on flexibility of the project based on public commitments, provide sketches that outline rigid requirements or give general level of aesthetic and guidelines to allow flexibility. Sketches should cover anticipated pier types and shapes for the project. Are all new and existing concrete surfaces to be coated with Class 5 Applied Finish Coating? Include requirements for walls, bridges, and sound barriers as required. Are there exiting steel bridges on the project that require painting? Include coating and color requirements. Is weathering steel required? Should exterior girders require painting for aesthetic considerations? Should all bridge drainage piping be hidden from view? Should retaining walls/bulkheads have a concrete facing? Should all bulkhead walls have a concrete cap? Are exposed steel walls allowed? Is an anti-graffiti coating required? Coordinate with District Maintenance Office to see whether to specify a sacrificial or permanent coating system. Specify limits.

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-43 Are utility attachments required on the bridge? Include requirements and specify whether utilities are to be hidden from view. Structural- Related Questions Is the wind velocity defined appropriate or should a higher wind velocity be required? If higher velocity is appropriate provide a requirement in the RFP. For bridges near airports, will construction be affected by temporary glide path ceiling restrictions? Will any permanent structures, such as high mast lighting, be prohibited due to permanent glide path ceiling restrictions? Define restrictions and include all airport, local government, and FAA coordination requirements in the RFP. Does bridge cross a navigational waterway? Based on pass point survey data, develop ship impact load versus distance from navigable channel in RFP. Alternatively, set input parameters for site, i.e., importance factor, water velocities, etc., and allow each D/B Team to modify pier spacing to determine pier strength requirements within these fixed parameters. Does bridge cross a large body of water near the coast? Set low member elevation or strength requirements based on wave vulnerability analysis performed by a Coastal Engineer prior to finalizing the RFP. Also address wall and shore protection requirements. Does project include replacing or rehabilitating an existing bascule bridge where traffic is to be maintained on existing structure during construction? Include all bascule bridge maintenance and operation requirements in the RFP. Are there special inspection access requirements, such as maximum bridge width or spacing between parallel bridges, associated with accommodating snooper access? Does the project include TL-5 or TL-6 traffic railing barrier requirements? Specify limits. Does the project include bridges to be widened? Verify that all bridges to be widened have been load rated in accordance with the Structures Manual prior to finalizing the RFP. Acquire and include all necessary exceptions and variances related to design capacity of existing bridges to remain. Should bridge widenings match existing superstructure types (in-kind or similar)? Should bridge widenings match existing substructure (in-kind or similar)? Does the project have minor bridge widenings that require seismic provisions? For existing bridges to be widened, are any maintenance repairs or strengthening required based on bridge inspection reports? Are there bridge widenings with existing modular joints that are no longer available? For each new bridge and each bridge widening, provide environmental classification.

A-44 A Pre-Event Recovery Planning Guide for Transportation Is there a minor bridge widening spanning a navigable waterway that requires Vessel Collision design? Unusual structures located in marine environments may require concrete admixtures and/or other measures to enhance durability. Is corrosion of structural bolts likely to be a prominent maintenance issue to consider? Check with the district maintenance engineer to see if this is a problem Is the maximum grade of all bridge sidewalks required to be 5% or less? Are there bridges considered critical to the survival of major communities or to the security and defense of the United States? For new bridges to be constructed alongside an existing bridge to remain, should the new substructure components be aligned with the existing substructure components? If bottom of footing elevations are set a minimum of 1 foot below MLW, will tides consistently expose piles for extended periods? If so, specify a lower maximum footing elevation to eliminate exposure of piles. If the D/B Team chooses to use submerged footings, should a minimum clearance between MLW or NLW and the top of the footing be specified based on the type of boat traffic using the waterway? Steel structures located in very harsh marine environments may require a special coating system to enhance durability. For steel structures located in a harsh marine environment, consideration should be given to requiring box girders over I-girders to enhance durability. Are open expansion joints allowed? Is a TL5 or TL6 barrier required within the limits of the project? Are there existing sign attachments to traffic railings within the limits of the project? If so, specify that the signs be relocated and which are to remain. Are there existing bridges to be widened that have asphalt overlays? Was the overlay thickness part of the original design? Are there skewed bridges to be widened with FIBs? If so, specify restrictions as necessary on skewed beam ends, skewed bearing pads, and end diaphragms. Roadway- Related Questions Have all approved design exceptions and variations been included? Have all approved typical sections been included? Have all ultimate typical sections been included, when applicable. Have all required traffic movements been defined, including number of lanes? Has the ultimate master plan been included, when applicable?

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-45 If a concept master plan is included, will an alternative plan be allowed if the D/B Team provides a traffic analysis showing that the level of service, operational capacity, and safety are equal to or better than the concept? Include a traffic model and toll and revenue study, if applicable. Identify primary movements. Have all existing utility owners been identified? Have all adjacent projects been identified? Have all project-specific traffic control restrictions been identified? These may include traffic restrictions during special events, detour limitations, etc. Include all horizontal and vertical clearance requirements in the RFP for all crossing roadways, railroad tracks, etc. Include any additional requirements related to accommodating the ultimate section or ultimate corridor master plan. Are there critical project milestones that should be listed in D/B Team’s schedule? Source: Florida DOT Design-Build, Design and Construction Criteria. Resources and Tools for Construction Current Design-Build Practices in Transportation Projects Authors: Design User’s Group, Federal Highway Administration (FHWA) Date Published: 2009 http://www.fhwa.dot.gov/construction/contracts/pubs/dbpractice/dbpractice.pdf This NCHRP report provides detailed information on the procedures and algorithms used by various contracting agencies to determine best value. Screening criteria for selecting projects for application of best-value procurement, implementation strategies, and a model best-value specification were also developed. NCHRP Report 561: Best-Value Procurement Methods for Highway Construction Projects Authors: Scott, III, S.; K. R. Molenarr; D. D. Gransberg; and N. C. Smith Date Published: 2006 http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_561.pdf This NCHRP Report provides detailed information on the procedures and algorithms used by various contracting agencies to determine best-value. Screening criteria for selecting projects for application of best-value procurement, implementation strategies, and a model best-value specification were also developed. Accelerated Bridge Construction Technologies Authors: Federal Highway Administration (FHWA) Date Published: 2009 http://www.fhwa.dot.gov/bridge/accelerated/index.cfm

A-46 A Pre-Event Recovery Planning Guide for Transportation Construction Projects Incorporating Experimental Features Authors: Federal Highway Administration (FHWA) http://www.fhwa.dot.gov/programadmin/contracts/expermnt.cfm This section of the FHWA website is formatted as a series of questions about the Experimental Features program. The purpose of the program is to encourage highway agencies to evaluate new or innovative highway technology, or alternative standard technology, under actual construction and operating conditions by means of a program or experimental construction projects. The questions highlight the key components of the program, including definitions, principles, finances, and results. This portion of the FHWA website contains reports and presentations including bridge construction cost studies, bridge lifting, bridge removal, and technology innovations. Links are also provided to a session conference on bridge engineering, a workshop on bridge elements and systems, outcomes from a 2007 conference on seismic accelerated bridge construction, and the 2008 FHWA accelerated bridge construction conference, “Highway for Life.” Rapid Bridge Replacement: Processes, Techniques and Needs for Improvement Authors: Yong Bai, Ph.D., M.ASCE, and William R. Burkett, A.M.ASCE, Journal Of Construction Engineering And Management Date Published: November 2006 http://www.iri.ku.edu/publications/JCEM_Nov06.pdf This report outlines research results from a project designed to identify rapid bridge replacement processes, techniques, and needs for improvements. The focus was on various guides mandated after 9/11 and sponsored by AASHTO. The study covered three cases of previous bridge replacements following extreme events and allowed the research team to study the outcomes and expand on lessons learned. The research team also identified needed improvements so that the research community at large could investigate new technologies to advance current practices. Technical Manual for Design and Construction of Road Tunnels, Chapter 16—Tunnel Rehabilitation Authors: Federal Highway Administration (FHWA) Date Published: 2009 http://www.fhwa.dot.gov/bridge/tunnel/pubs/nhi09010/16.cfm This chapter of the Technical Manual for Design and Construction of Road Tunnels focuses on the identification, characterization, and repair of typical structural defects in a road tunnel system. Various repair methods are included, such as methods for demolition of unsound concrete, brick, or steel; methods for the restoration of the tunnel liner; and details for the repair of concrete, steel reinforcement, and embedded elements of the tunnel liner system.

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-47 CONSTRUCTION TECHNIQUES: BRIDGES Tools/Resources Accelerated Bridge Construction Technologies This portion of the Federal Highway Administration’s website contains reports and presentations including bridge construction cost studies, bridge lifting, bridge removal, and technology innovations. Links are also provided to a session conference on bridge engineering, a workshop on bridge elements and systems, outcomes from a 2007 conference on seismic accelerated bridge construction, and the 2008 FHWA accelerated bridge construction conference, “Highway for Life.” http://www.fhwa.dot.gov/bridge/accelerated/index.cfm Rapid Bridge Replacement: Processes, Techniques and Needs for Improvement This report outlines research results from a project designed to identify rapid bridge replacement processes, techniques, and needs for improvement. The focus was on various guides mandated after 9/11 and sponsored by AASHTO. The study covered three cases of previous bridge replacements following extreme events and allowed the research team to study the outcomes and expand on lessons learned. The research team also identified needed improvements so that the research community at large could investigate new technologies to advance current practices. http://www.iri.ku.edu/publications/JCEM_Nov06.pdf Processes and Techniques for Rapid Bridge Replacement After Extreme Events Results of pooled-fund research project to identify rapid bridge replacement processes and techniques after extreme events. These events include manufactured and natural disasters such as earthquakes, explosions, fires, floods, and hurricanes. The major players involved in the process, the major tasks to be accomplished, and the major decisions have been identified in the model. http://www.iri.ku.edu/publications/BaiandKim.pdf Post-Earthquake Assessment and Emergency Repair of Bridges This chapter—from an unpublished draft produced by the Multidisciplinary Center for Earthquake Engineering Research (MCEER), University at Buffalo, for U.S. DOT’s Federal Highway Administration as part of Project 106—provides unified guidelines and procedures for conducting pre-event planning for post-event assessment and repair of highway bridges. Although it is not possible to set up procedures that will be applicable to every situation, major issues and needs are addressed. Steps are outlined that can be modified to suit specific cases. ftp://mceer.buffalo.edu/OConnor/ftp/photos%20of%20bridge%20damage%20from %20earthquakes/Chapter-14-with-figures%20w%20header.doc

A-48 A Pre-Event Recovery Planning Guide for Transportation CONSTRUCTION TECHNIQUES: BUILDINGS Tools/Resources Resources for Commercial Builders for Disaster Recovery This Department of Energy web link contains brief descriptions and links for commercial builders to learn more about national and regional resources, disaster preparedness, flood and mold cleanup, tools and training, and building design. These resources support the application of energy-efficient, cost-effective, and durable rebuilding strategies. There are also links to resources for state and local officials as well as consumers. http://www1.eere.energy.gov/buildings/disaster_recovery/dr_commercial.html Repair of Earthquake Damaged Concrete and Masonry Wall Buildings (FEMA 308) This document provides practical guidance for the repair and upgrade of earthquake-damaged concrete and masonry wall buildings. Target audiences include design engineers, building owners and officials, insurance adjusters, and government agencies. The publication contains sections on performance-based repair design, repair technologies, categories of repair, and nonstructural considerations. The last section includes repair guides that provide outline specifications for typical repair procedures. http://www.fema.gov/library/viewRecord.do?id=1533 General Guidelines for the Assessment and Repair of Earthquake Damage in Residential Woodframe Buildings The Consortium of Universities for Research in Earthquake Engineering (CUREE) is conducting ongoing development of Guidelines for Earthquake Damage Assessment and Repair. Other CUREE research reports include EDA-03 - Cyclic Behavior and Repair of Stucco and Gypsum Sheathed Woodframe Walls Phase I and EDA-07 - Cyclic Behavior and Repair of Stucco and Gypsum Sheathed Woodframe Walls Phase II. http://www.curee.org/zc/index.php?main_page=product_info&products_id=98 Treatment of Flood Damaged Older and Historic Buildings The National Trust for Historic Preservation has prepared this booklet to help owners of historic and older buildings minimize structural and cosmetic flood damage. It contains general advice written to cover a wide variety of buildings with varying degrees of flood damage. Guidance for specific tasks after a flood is included as well as diagrams, resources, and information on mold removal. http://www.preservationnation.org/resources/technical-assistance/flood- recovery/additional-resources/flood-book/Flood-Damage.pdf Responding to Floods The National Trust for Historic Preservation provides extensive information for flood victims in the Disaster Recovery section of their website. The web content is designed to help communities and property owners face the unique challenges brought by floods, provide resources for recovering from floods, and help prepare for future occurrences. Resources, articles, and case studies are included, with critical resources noted by a check mark. http://www.preservationnation.org/resources/technical-assistance/disaster- recovery/flood-response.html Design Consideration for Improving Critical Facility Functionality During Flood Event This advisory provides recommendations for reducing the effects of flooding on existing critical facilities. It specifically applies to the essential critical facility systems that must remain functional during and after flood events. http://www.fema.gov/library/file;jsessionid=06EAA8BE123F57FEB2FD46BD833EF BD4.WorkerLibrary? ema

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-49 CONSTRUCTION TECHNIQUES: HIGHWAYS Tools/Resources CA4PRS (Construction Alternatives for Pavement Rehabilitation Strategies) CA4PRS is a productivity estimation tool developed to aid in evaluating and choosing between highway pavement construction alternatives. http://www.dot.ca.gov/newtech/roadway/ca4prs/index.htm Rapid Pavement Construction Tools, Materials and Methods To address the need to deliver cost-effective projects while minimizing traffic impacts, the Washington State Department of Transportation (WSDOT) desires to improve their knowledge, awareness, and retention of rapid pavement construction tools, materials, and methods. This project discusses the implementation, use, and experience of using the following items related to rapid pavement construction: CA4PRS (Construction Alternatives for Pavement Rehabilitation Strategies), Portland cement concrete (PCC) pavement panel replacement, polymer concrete and traffic closure windows. CA4PRS is a Microsoft-Access-based software program for predicting construction productivity for highway rehabilitation/reconstruction. Panel replacement techniques and polymer concrete construction are reviewed in an effort to document past successes and failures as well as key decision points when making future project decisions. Finally, a review of traffic closure windows for rapid construction is presented. http://www.wsdot.wa.gov/research/reports/fullreports/670.1.pdf Precast Concrete Pavement Systems for Rapid Pavement Repair and Replacement Precast concrete pavement systems (PCPS) are especially useful for the rapid repair and replacement of concrete pavement. PCPS (including pre- and post- tensioned slab systems) are pre-engineered concrete pavements that are fabricated off-site and are transported to the project site for installation on a prepared foundation. Developed by AASHTO TIG on Precast Concrete Paving System, June 2006 http://www.transportation.org/sites/aashtotig/docs/PCPS%20Info%20and%20Com mentary%20Document%20-rev%206-4-08.doc Precast Concrete Panel Systems for Full-Depth Pavement Repairs: Field Trials The use of precast slabs as an alternative to conventional cast-in-place repairs may be an effective means of reducing construction time, thereby minimizing user delay and travel costs while obtaining a long-lasting, durable repair. This report summarizes the 3-year study, “Field Trials of Concrete Pavement Product and Process Technology—Precast Concrete System for Rapid Repairs,” in which precast slabs were used for joint repair and slab replacement on in-service Michigan and Colorado highways. The report contains a summary of the relevant literature; summaries of the field trials and their findings regarding efficiency and durability; recommendations for precast panel installation; a sample distress documentation report; a presentation of construction guidelines; and a sample special provision specification developed as part of the study. http://www.fhwa.dot.gov/pavement/concrete/pubs/hif07019/07019.pdf Research Into Rapid Road Repair Machine This project researched rapid road repair best practices, analyzed damage scenarios, developed analytical methodologies, and recommends development of a Rapid Road Repair machine. http://ahmct.ucdavis.edu/pdf/UCD-ARR-03-12-31-01.pdf Strategic Work Zone Analysis Tools This web resource looks at the FHWA’s initiative to improve delays and costs associated with highway work zones. Strategic Work Zone Analysis Tools or SWAT encompasses four tools that are being developed as part of the project, including an Expert System software program, a traffic impact analysis spreadsheet, a cost/alternative analysis spreadsheet, and a detailed simulation model. http://www.tfhrc.gov/its/swat.htm

A-50 A Pre-Event Recovery Planning Guide for Transportation PROJECT MANAGEMENT AND DELIVERY Project management and delivery describes the relationships and contractual obligations among the owner, designer, and contractor for a construction project. The project delivery process may include planning, budgeting, environmental analysis, design, and construction. There are a number of project management/delivery approaches, which can be grouped into three types: Design-Bid-Build (DBB), Design-Build (DB), and Construction Manager/General Contractor (CM/GC) or Construction Manager-at-Risk (CM-at-Risk). The tools and resources can assist in answering the following key questions: • What types of project management are available? • How to determine which type of project management approach to use? • What can be done before an event to prepare to project management selection? Checklists, Worksheet, and Toolboxes Shortening Project Delivery Toolkit http://www.fhwa.dot.gov/everydaycounts/projects/toolkit This online toolkit from FHWA presents approaches to improve project delivery times in what the FHWA has identified as frequently cited problem areas such as planning and environmental linkages, clarifying the scope of preliminary design, flexibilities in utility accommodation and relocation and flexibilities in right-of-way. Recommendations, resources, and FAQs are included in the toolkit. Project Delivery Acceleration Toolbox http://www.dot.ca.gov/hq/oppd/projaccel/index.htm The Project Delivery Acceleration Toolbox from Caltrans provides information on efforts (past and present) to accelerate the delivery of transportation projects. Innovative Project Oversight Practices http://www.fta.dot.gov/region2_4154.html This web resource from the FTA describes innovative approaches to project development, project oversight, and environmental management oversight developed by the Lower Manhattan Recovery Office (LMRO) to facilitate the urgency of rebuilding after 9/11. The site includes a Memorandum of Understanding (MOU) to coordinate and accelerate the review of projects under the National Environmental Policy Act (NEPA) in order to develop environmentally responsible projects while preventing project delay, as well as the LMRO Environmental Analysis Framework. The Framework consists of the following components: • Green Design, Green Construction, and Sustainability Principles; • Construction Environmental Protection Plan;

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-51 • Public Involvement and Governmental Entities Coordination Plan; and • Baseline Assessment of Resources and Coordinated Cumulative Effects Analysis Approach. Resources and Tools Authors: Keith R. Molenaar (editor) and Gerald Yakowenko, P.E., (Editor), American Society of Civil Engineers (ASCE) Date Published: 2007 NCHRP Synthesis 402: Construction Manager-at-Risk Project Delivery for Highway Programs Authors: Gransberg D., and J. Shane Date Published: 2010 http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_syn_402.pdf NCHRP Synthesis 402 explores current methods in which state departments of transportation and other public engineering agencies are applying construction manager- at-risk (CMR) project delivery to their construction projects. Design-Build Effectiveness Study Authors: Federal Highway Administration (FHWA) Date Published: 2006 http://www.fhwa.dot.gov/reports/designbuild/designbuild.htm This study examines the effectiveness of the Design-Build (DB) project delivery strategy, while maintaining or improving project quality. The report includes a diagram of DB projects by state, an impact summary, project delivery impact, and contract agency satisfaction. Current Design-Build Practices in Transportation Projects Authors: Design User’s Group, Federal Highway Administration (FHWA) Date Published: 2009 http://www.fhwa.dot.gov/construction/contracts/pubs/dbpractice/dbpractice.pdf This report is a compilation of the design-build experiences of state DOTs and other public agencies responsible for transportation infrastructure. This document provides Alternative Project Delivery Procurement, and Contracting Methods for Highways http://cedb.asce.org/cgi/WWWdisplay.cgi?156076 This book provides a comprehensive and objective presentation of methods for improving the efficiency and effectiveness of project delivery and contracting. It provides information on design-build, construction management at risk, performance- based road maintenance contracts, best-value procurement, quality-based contractor qualification, warranty contracting, and incentive/disincentive contracting.

A-52 A Pre-Event Recovery Planning Guide for Transportation information about the design-build project delivery method and a collection of design- build procurement and contracting practices. ENVIRONMENTAL COMPLIANCE AND MANAGEMENT Checklist, Worksheets, and Toolkits Programmatic Agreement Toolkit http://environment.transportation.org/documents/programmatic_agreement_toolkit/index .html To assist state DOTs in their environmental streamlining, the AASHTO Center for Environmental Excellence created this toolkit on developing programmatic agreements. Programmatic agreements (PAs) are important components of any environmental streamlining effort. Planning and Environment Linkages Tools http://www.environment.fhwa.dot.gov/integ/edctools.asp Planning and Environment Linkages (PEL) has been identified by FHWA as one of 10 initiatives included in the Shortening Project Delivery toolkit. The Every Day Counts (EDC)/PEL initiative focuses on the part of PEL that encourages the use of information developed in planning to inform the NEPA process. This can lead to less duplication of effort and more informed project-level decisions. The tools include guidance, a planning questionnaire, and online resources. Guidance and Resources Implementing the National Environmental Policy Act (NEPA) for Disaster Response, Recovery, and Mitigation Projects Authors: Congressional Research Service (CRS) Date Published: January 2011 http://www.fas.org/sgp/crs/misc/RL34650.pdf For many federal actions undertaken in response to emergencies or major disasters, NEPA’s environmental review requirements are exempted under provisions of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (the Stafford Act). This CRS report discusses NEPA as it applies to projects for which federal funding to recover from or prepare for a disaster has been requested by local, tribal, or state grant applicants. The report provides an overview of the NEPA process, identifies the types of projects (categorized by federal funding source) likely to require environmental review, and delineates the types of projects for which no or minimal environmental review is required and those likely to require more in-depth review. AASHTO Center for Environmental Excellence Authors: Congressional Research Service Date Updated: 2012 http://environment.transportation.org/

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-53 AASHTO’s Center for Environmental Excellence (Center), developed in cooperation with the FHWA, offers a wide range of products and services to assist transportation agencies in achieving environmental excellence in delivering their transportation programs and projects. Through its information exchange, technical assistance, and partnership-building and training resources, the Center helps transportation agencies incorporate environmental compliance, sustainability, and stewardship into transportation planning, project development, construction, maintenance, and operations. Practitioner’s handbooks and webinars are available. Environmental Analysis and Review Authors: Federal Transit Administration Date Updated: 2012 http://fta.dot.gov/planning/planning_environment_5222.html The Environmental Analysis and Review website is a clearinghouse dedicated to providing information to guide transit and other agencies through the environmental review process for transit projects and improvements that receive federal funds. The website contains detailed information on NEPA and other environmental policies, information on environmental streamlining and stewardship as mandated in Executive Order 13274, and resource information compiled in a NEPA reference library. COORDINATION AND COLLABORATION Disaster recovery situations generally bring together people who may not work together in non-emergency situations. Establishing and reinforcing these relationships before an event occurs and utilizing them to create recovery procedures and communications processes in advance of an event can improve the recovery process. Checklist, Worksheets, and Toolkits Sample Transportation Coordination Agreements This resource provides samples of Memorandums of Understanding and Intergovernmental Agreements to use as structures for local coordinating councils. The samples were prepared by TransitPlus to augment the report “A Handbook for Creating Local Coordinating Councils in Colorado” and are available online at http://www.njcost.com/2010%20web%20info/2010%20CTAA%20Conference/Intensive% 20Training%20Sessions/Developing%20Local%20and%20Regional%20Community%20 Transportation%20Coordination%20Councils/1%20- %20MOU%20and%20IGA%20Examples.pdf Transit Mutual Aid Agreement Sample This resource is a sample Memorandum of Understanding that can be used by a Local Transit Agency and another agency. It is available online at http://transit- safety.volpe.dot.gov/training/Archived/EPSSeminarReg/CD/documents/EmerPrep/MOU. doc

A-54 A Pre-Event Recovery Planning Guide for Transportation This Multi-Jurisdictional Mutual Aid Agreement draft is provided as a sample. Jurisdictions should add or delete items as needed to comply with local laws and procedures. http://sema.dps.mo.gov/docs/programs/Planning,%20Disaster%20&%20Recovery/State %20Public%20Assistance%20Program/mutualaidsample.pdf Public Works Mutual Aid Agreement Sample This sample Mutual Aid Agreement is from FEMA and is available at http://training.fema.gov/emiweb/is/is1Toolkit/Documents%202000/Unit%204/Mutual%2 0aid%20public%20works.doc Guidance and Resources Mutual Aid and Interlocal Agreement Handbook Authors: State of Washington, Emergency Management Division Date Published: 2009 www.emd.wa.gov/plans/documents/MutualAidHandbook.pdf This handbook explains the difference between Mutual Aid Agreements and Interlocal Agreements. It describes what each type of agreement is best suited to accomplishing particular goals, what should be included in preparation of either agreement, who initiates the agreement, and how to get an agreement executed. NIMS Intrastate Mutual Aid Training Course (IS-706) Authors: Emergency Management Institute Date Updated: June, 2011 https://training.fema.gov/EMIWeb/IS/IS706.asp This interactive, web-based course provides an introduction to NIMS intrastate mutual aid and assistance. The course explains how to develop mutual aid and assistance agreements and mutual aid operational plans. Local Government Performance and the Challenges of Regional Preparedness for Disasters Authors: Brian J. Gerber and Scott E. Robinson, Public Performance & Management Review Volume 32, Number 3 Date Published: March 2009 http://mesharpe.metapress.com/openurl.asp?genre=article&issn=1530- 9576&volume=32&issue=3&spage=345 This article discusses the local development of regionalism in emergency management; an approach to assessing the effectiveness of such efforts; and, strategies for assessing the push for regionalism in emergency management, including several regional performance indicators. Multi-Jurisdiction Mutual Aid Agreement

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-55 Authors: Governor’s Office of Emergency Services Cities of Oakland, San Francisco, and San Jose Counties of Alameda, Contra Costa, Marin, Napa, San Mateo, Santa Clara, Santa Cruz, Solano, and Sonoma Date Published: March 2008 http://www.sfdem.org/ftp/uploadedfiles/DEM/PlansReports/RecoveryAnnex.pdf The State of California Governor’s Office of Emergency Services and its local government partners developed the Bay Area Regional Emergency Coordination Plan to provide a framework for collaboration and coordination during regional events. Puget Sound Regional Transportation Recovery Annex Authors: Puget Sound Region Date Published: February 2011 http://www.seattle.gov/emergency/library/TransportationRCPTApprovedFinal.pdf The Puget Sound Transportation Recovery Annex (Annex) supplements the Puget Sound Regional Catastrophic Coordination Plan (Coordination Plan). It provides recommended guidelines for coordinating multi-jurisdictional regional transportation system recovery in the Puget Sound Region after a catastrophic incident. FUNDING It is important to know in advance what recovery funding resources are available and to understand the eligibility and documentation requirements for obtaining that funding. This section provides tools and resources to better understand recovery funding options and requirements. Checklists, Worksheets, and Toolboxes FEMA Public Assistance (PA) Forms Library http://www.fema.gov/interactive-forms-library Online forms from FEMA for Public Assistance funds are available on the FEMA site. Insurance Considerations for FEMA PA Applicants http://www.fema.gov/public-assistance-9500-series-policy-publications/insurance- considerations-applicants This resource is a fact sheet that outlines insurance considerations that influence PA grants. Disaster assistance provided by FEMA is intended to supplement financial assistance from other sources. Disaster assistance will not be provided for damage or losses covered by insurance. Audit Tips for Managing Disaster-Related Project Costs http://www.emd.wa.gov/disaster/documents/disaster_PA_OIGAuditTips062011.pdf The Department of Homeland Security (DHS) and the Office of Inspector General (OIG) prepared this guide for recipients of FEMA public assistance and hazard mitigation funds to assist in Regional Emergency Coordination Plan

A-56 A Pre-Event Recovery Planning Guide for Transportation • Minimizing the loss of FEMA disaster assistance program funds, • Maximizing financial recovery, and • Preventing fraud, waste, and abuse of disaster funds. Guidance and Resources Repairing and Reconstructing Disaster-Damaged Roads and Bridges: The Role of Federal-Aid Highway Assistance Authors: Congressional Research Service/Robert S. Kirk Date Published: February 22, 2010 http://assets.opencrs.com/rpts/RS22268_20100222.pdf This report describes FHWA assistance for the repair and reconstruction of disaster- damaged highways and bridges or catastrophic failures (such as a bridge collapse). It begins with a brief discussion of the legislative origins of federal assistance and describes the Emergency Relief (ER) program in its current form. The report then discusses eligibility issues and program operation and briefly describes the major findings of a recent Government Accountability Office (GAO) report on ER. FEMA Public Assistance Guide Authors: Federal Emergency Management Agency (FEMA) Date Published: June 2007 Date Updated: August 11, 2010 http://www.fema.gov/government/grant/pa/pag07_t.shtm The FEMA Public Assistance Guide is a user-friendly and comprehensive overview of the scope of assistance available following a disaster. Eligibility requirements and the application procedures and basic provisions of the PA Program are provided, including debris removal, emergency protective measures, and permanent restoration of infrastructure. Because this document is not exhaustive and the provisions are subject to modification, the information provided should be verified with FEMA PA Program officials before becoming the basis for decision making. Emergency Relief Manual Authors: Federal Highway Administration (FHWA) Date Published: November 2009 http://www.fhwa.dot.gov/reports/erm/ This manual is an update of the Emergency Relief Manual from August 2003. It provides updated guidance and instructions on FHWA’s emergency relief (ER) program from eligibility of damage repair work to project procedures and requirements. This manual provides information for requesting, obtaining, and administering ER funds. This manual covers only those criteria and procedures applicable to the ER program for federal-aid highways. • Documenting and accounting for disaster-related costs,

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-57 Emergency Relief Manual (Federal-Aid Highways) Interim Update August 2003 Authors: FHWA Date Published: August 2003 http://www.fhwa.dot.gov/reports/erm/erm.pdf This manual is an update of the Emergency Relief Manual from September 1998 and provides updated guidance as well as instructions on FHWA’s emergency relief (ER) program. This manual provides information for FHWA, state, and local transportation agency personnel on policies and procedures for requesting, obtaining, and administering ER funds. This “interim update” manual replaces the Emergency Relief Manual, Publication Number FHWA-PD-98-054, published in September 1998. The manual covers only those criteria and procedures applicable to the ER program for federal-aid highways. Guide to the Federal-Aid Highway Emergency Relief Program Authors: Federal Highway Administration (FHWA) Date Updated: October 29, 2009 http://www.fhwa.dot.gov/specialfunding/er/guide.cfm This guide helps answer questions relating to The Emergency Relief Program (ER) administered by FHWA. It addresses the FHWA’s ability by law to provide up to $100 million in ER funding to a state for each natural disaster or catastrophic failure that is found eligible for funding under the ER program. This guide is primarily laid out like an FAQ, with questions and answers concerning the ER program. It describes how the program works, federal highways and serious damage, repair eligibility, and federal cost share. Emergency Relief for Federally Owned Roads (ERFO) Overview Authors: Federal Highway Administration (FHWA) Date Updated: July 26, 2012 http://flh.fhwa.dot.gov/programs/erfo/ The ERFO Program is designed to cover expenses for the repair and reconstruction of federal roads damaged by a disaster or catastrophic failure for the agencies that manage the roads. The ERFO Disaster Assistance Manual provides detailed program guidance and instructions on how to apply for ERFO funding. Railroad Rehabilitation and Repair FRA Funding Authors: Federal Railroad Administration (FRA) http://www.fra.dot.gov/rpd/freight/2081.shtml The Consolidated Security, Disaster Assistance, and Continuing Appropriations Act, 2009 (Pub. L. 110-329, September 30, 2008), provided the Secretary of Transportation with $20,000,000 for grants to repair and rehabilitate Class II and Class III railroad infrastructure damaged by hurricanes, floods, and other natural disasters in areas for which the President declared a major disaster under Title IV of the Robert T. Stafford

A-58 A Pre-Event Recovery Planning Guide for Transportation Disaster Relief and Emergency Assistance Act of 1974. These funds were awarded to states on a competitive, case-by-case basis. Lower Manhattan Recovery Office Authors: Federal Transit Administration (FTA) Date Updated: http://fta.dot.gov/about/13119.html The FTA has provided this resource document to introduce the mission of the Lower Manhattan Recovery Office (LMRO), specifically in the aftermath of 9/11. Descriptions of the funding appropriated by Congress to several federal agencies are outlined, including nearly $5 billion in capital construction funding for transportation infrastructure projects. Information is provided about the background of the LMRO and the FTA’s involvement, providing technical support and emergency funding in coordination with federal, state, and local agencies. Documents relating to innovative approaches to project development and examples of transportation recovery projects can be found at http://fta.dot.gov/region2_4154.html. FEMA Applicant Handbook Authors: Federal Emergency Management Agency (FEMA) Date: March 2010 http://www.fema.gov/pdf/government/grant/pa/fema323_app_handbk.pdf The Applicant Handbook (FEMA P-323) was developed to provide easy-to-follow instructions on how to apply for Public Assistance grants. Numerous applicants, state emergency managers, and federal public assistance staff requested the development of a handbook to help walk applicants through the procedures and forms necessary to determine eligibility and receive funds. Emergency Transit Assistance: Federal Funding for Recent Disaster and Options for the Future Authors: Government Accountability Office (GAO) Date: February 2008 http://www.gao.gov/new.items/d08243.pdf Major disasters can disrupt transit operations, destroy vehicles and facilities, and impede the ability of people to reach essential relief and medical services and return to their homes and jobs. GAO determined (1) the federal role in assisting transit agencies after a major disaster; (2) the amounts, sources, and uses of federal disaster assistance for transit since 1998; (3) the factors that affected the timeliness and effectiveness of transit assistance after the 2005 Gulf Coast hurricanes; and (4) additional options for providing assistance to transit after a major disaster. GAO reviewed laws, regulations, and guidance; analyzed DOT and FEMA data; and interviewed officials with FEMA, U.S. DOT, state and local agencies, and others.

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-59 http://hazardmitigation.calema.ca.gov/docs/FY11_HMA_Unified_Guidance.pdf Hazard Mitigation Assistance (HMA) Unified Guidance introduces the five HMA Programs and consolidates the common requirements for all HMA programs and explains the unique elements of the programs in individual sections. Additionally, it provides assistance for federal, state, tribal, and local officials on how to apply for HMA funding for a proposed mitigation activity. Transportation Funding Recovery Case Studies Authors: U.S. Department of Transportation Date Published: September 2009 http://www.dot.gov/disaster_recovery/funding_case_studies.html These case studies, provided through the U.S. DOT’s National Transportation Recovery Strategy (NTRS), highlight specific states' responses to a variety of disasters and cover some best practices that have enabled these states to rebuild their transportation infrastructure. Each case study begins with a look at the disaster recovery plan or program implemented within the state, followed by a description of how the plan was executed and how federal funds were leveraged following a disaster. The specific states covered are California, Iowa, Louisiana, Kansas, and Wisconsin. Stafford Act Disaster Assistance: Presidential Declarations, Eligible Activities, and Funding Authors: Congressional Research Service, Keith Beas, Specialist in American National Government Date Published: March 2010 http://assets.opencrs.com/rpts/RL33053_20100316.pdf This resource is an overview of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (the Stafford Act) that authorizes the President to issue major disaster or emergency declarations in response to catastrophes in the United States that overwhelm state and local governments. FEMA Hazard Mitigation Assistance Unified Guidance Authors: Federal Emergency Management Agency (FEMA) Date: June 2010

A-60 A Pre-Event Recovery Planning Guide for Transportation CONTACTS Website Link FEMA Regional Contacts http://www.fema.gov/about/contact/regions.shtm State Emergency Mgt Office Contacts http://www.dot.gov/disaster_recovery/State_Emergency_Manag ement_Office_Contacts.pdf FWHA RETCO_RETREP http://www.fhwa.dot.gov/keyfield/dotreg.htm FHWA Field Services Directory https://fhwaapps.fhwa.dot.gov/foisp/keyfield.jsp DHS Protective Security Advisors http://www.dhs.gov/files/programs/gc_1265310793722.shtm MPO Directory http://www.ampo.org/directory/index.php Local Emergency Planning Committees Database of Local Emergency Planning Committees (LEPCs) can be searched by state, name, or zip code. http://yosemite.epa.gov/oswer/lepcdb.nsf/HomePage?openForm U.S. Department of Homeland Security Center of Excellence—Coastal Hazards Center (CHC) http://hazardscenter.unc.edu/diem/index.php http://hazardscenter.unc.edu/ U.S. Department of Homeland Security Center of Excellence – National Transportation Security (NTSCOE) https://www.hsuniversityprograms.org/index.cfm/centers-of- excellence/ntscoe/ National Voluntary Organizations Active in Recovery www.nvoid.org Federal Transit Administration http://transit-safety.volpe.dot.gov The Federal Transit Administration (FTA) has developed numerous guidelines for transit professionals responsible for planning for, managing, and recovering from emergencies and disasters. Homeland Security Exercise and Evaluation Program https://www.hseep.dhs.gov/default.htm The Homeland Security Exercise and Evaluation Program (HSEEP) is a capabilities and performance-based exercise program that provides a standardized policy, methodology, and language for designing, developing, conducting, and evaluating all exercises. In addition to providing a standardized exercise policy, HSEEP also facilitates the creation of self-sustaining, capabilities-based exercise programs by providing tools and resources such as guidance, training, technology, and direct support. The National Transit Institute http://ntionline.com/topic.asp?TopicArea=5 The National Transit Institute at Rutgers University has developed a variety of courses to address worker safety and health in the transit workplace. Courses are designed for front- line and supervisory personnel, including a new course tailored to the safety and security needs of community transit providers.

Appendix A: Tools and Resources Compiled by NCHRP Project 20-59(33) Research Team A-61 NIMS Integration Center http://training.fema.gov/NIMS The National Incident Management System (NIMS) was developed to give emergency managers and responders unified processes and procedures designed to improve interoperability among jurisdictions and disciplines in command and management, resource management, training, and communications. By Presidential Executive Order, all agencies that receive federal funding must adopt a NIMS-based emergency response protocol, and all first responder organizations, including transit, must train their staff to basic awareness in NIMS. Additional recommended online incident management certificate courses include: http://training.fema.gov/EMIWeb/IS/is100.asp, http://training.fema.gov/EMIWeb/ IS/is200.asp http://training.fema.gov/EMIWeb/IS/is700.asp Other Federal Agency Contacts U.S. Census Bureau Information on Using Census Data to Plan for Emergencies http://www.census.gov/Press-Release/www/emergencies/ U.S. Department of Homeland Security Centers of Excellence Program http://www.dhs.gov/xres/programs/editorial_0498.shtm National Organizations AASHTO Page on Transportation Security and Emergency Management http://security.transportation.org Surface Transportation and Public Transportation Information Sharing and Analysis Center www.surfacetransportationisac.org Associations of Public-Safety Communication Officials Hurricane Resources http://www.apcointl.org/new/resources/hurricanes.php