Guidelines to Incorporate the Costs and Benefits of Adaptation Measures in Preparation for Extreme Weather Events and Climate Change (2020) / Chapter Skim
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B-1 Appendix B - Technical Memorandum No.
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B-3 LIST OF FIGURES AND TABLES Table 4-1. Evaluation of Capital Investment Frameworks' Abilities to Meet CBA Needs ..........................
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B-4 1 INTRODUCTION As stated in the first Technical Memorandum for this project, our research to date has found that there are many available tools, data, and methods that address aspects of climate and weather resiliency from a costbenefit perspective, but a multi-hazard, multi-asset approach that also considers operational needs is lacking. While Departments of Transportation (DOTs)
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B-5 complex and changing circumstances. They view extreme weather and climate change as "another factor" to be addressed within an established set of processes designed to cope with a constantly changing landscape of economic, social, and environmental concerns.
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B-6 prospects for interim substitution of dollar equivalents for weightings could be a useful step toward development of tools that would complement existing methods as applied to existing needs, using existing data for more transparent, analytical, cost-benefit-based analysis to help DOTs cope with evolving climate risk. 3 PRIORITIZED PRACTITIONER NEEDS CBA needs for climate resilience were identified through the tools and literature reviewed in the first Technical Memorandum, DOT surveys and interviews, and a special session during the 2016 Annual Transportation Research Board meeting; the findings are summarized below.
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B-7 particularly as they relate to climate change and extreme weather. Adaptations may include capital improvements, operations strategies, and combinations of the two.
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B-8 4 GAP ANALYSIS: NEEDS MET, PARTIALLY MET, OR NOT MET BY EXISTING TOOLS, METHODS, AND DATA While many of the frameworks described in the first Technical Memorandum have useful elements, it is clear that no single tool or methodology currently offers a robust, resilience-centric CBA for the transportation network. The study team recommends building a composite methodology which incorporates the relevant elements of the tools listed above to comprehensively address climate change, resilience, and social, environmental, and economic considerations.
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B-9 4.1.1 Currently Satisfied Data Readily Available to Transportation Practitioners. Of all the frameworks described in the first Technical Memorandum, data needs for capital improvements are most readily available to DOTs. Data needs for infrastructure that DOTs have only begun to locate and evaluate, such as culverts in many states, are more challenging; culverts are typically evaluated and potentially replaced only when construction is occurring on the road above.
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B-10 Scalability from Project- to Planning-Level Analyses. Many of the tools in the capital improvement framework category are suitable for use at the project or planning level.
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B-11 Needs Currently satisfied Can be satisfied with minor modification Will require new approaches Relevance for Communication to Funding Entities and Public X Scalability from Project- to Planning-Level Analyses X Geographic Scalability X 4.2.1 Currently Satisfied Geographic Scalability. Operations activities are often deployed on a variety of geographic scales, and existing tools reflect this. Tools like TOPS-BC offer the ability to select a range of geographic scales (i.e., isolated location versus corridor)
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B-12 and delays motorists experience in areas that are both congested and impacted by extreme weather. External funding tends to play less of a role in operations than capital improvements, and CBA tool outputs in the operations framework tend to be focused internally.
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B-13 transportation sector, considers both natural and manmade hazards and can be implemented across multiple modes of transportation. 4.3.2 Can Be Satisfied with Minor Modifications Data Readily Available to Transportation Practitioners.
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B-14 consider multiple scenarios or alternatives in the same analysis. These tools can be used to compare design-level alternatives, but separate runs must be completed, altering the inputs to suit each individual alternative or scenario and then comparing the results.
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B-15 Geographic Scalability. Because hazard mitigation CBA tools were designed to evaluate projects for different hazard types, they can be applied across different geographies, typically within the United States, although others may apply within the European Union, Australia, or New Zealand.
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B-16 Consideration of Non-Stationarity. One of the major gaps in the other frameworks summarized in this chapter is the inability to account for changes to the frequency, magnitude and duration of extreme weather events due to changing climate.
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B-17 scalability concerns will be discussed further with DOTs following initial drafts of the architecture and frameworks, and the results of these discussions will be summarized in the interim report. 4.4.3 Will Require New Approaches Data Readily Available to Transportation Practitioners.
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B-18 incorporating relevant climate projections in the CBA estimation methodology. While not all climate hazards of interest can be represented in a prototype tool due to lack of maturity in the science, a number of relevant climate hazards can be investigated.
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B-19 Table 5-1. The project planning process offers multiple opportunities to incorporate adaptation and CBA.
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B-20 Planning and Programming Steps Task Climate Resilience Frameworks and Resilience Policy Considerations Decision Points Climate Adaptation Engineering Experts Stakeholders Project Identification Decide which locations and vulnerabilities have the most significant impact on the network, what types of projects might help, and identify potential funding sources OR Assess climate vulnerabilities in a planned project, identify modifications which might help address those vulnerabilities, and identify potential funding sources. Executive Order 13653: Preparing the United States for the Impact of Climate Change Executive Order 13514: Federal Leadership in Environmental, Energy, & Economic Performance Executive Order 13690: Federal Flood Risk Management Standard FHWA Order 5520 MAP-21 Are higher-resolution data needed to characterize the vulnerable assets or areas at this time?
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B-21 Planning and Programming Steps Task Climate Resilience Frameworks and Resilience Policy Considerations Decision Points Climate Adaptation Engineering Experts Stakeholders Project Planning If available, perform climate resilience CBA during study of project area. If CBA benefit-tocost ratio is below 1.0, develop and compare alternatives.
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B-22 Planning and Programming Steps Task Climate Resilience Frameworks and Resilience Policy Considerations Decision Points Climate Adaptation Engineering Experts Stakeholders Project Programming and Funding MPO includes the project in their Transportation Improvement Program and the state includes the project in the Statewide Transportation Improvement Program. N/A N/A N/A Regional or local representatives may also wish to include the project in adaptation plans, master plans, scheduled maintenance and infrastructure replacement, or sustainability master plans.
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B-23 Planning and Programming Steps Task Climate Resilience Frameworks and Resilience Policy Considerations Decision Points Climate Adaptation Engineering Experts Stakeholders Final Design The project design is approved with climate resilience and environmental considerations addressed. N/A Does the scope of work include the adjustments for environmental mitigation as well as selected adaptations to changing climate and extreme weather?
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B-24 Planning and Programming Steps Task Climate Resilience Frameworks and Resilience Policy Considerations Decision Points Climate Adaptation Engineering Experts Stakeholders Project Acceptance The operator of the project follows standard operating procedures. N/A Is project performing as expected?
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B-25 6 WORKLOAD ESTIMATE The four CBA frameworks complement each other to some extent. Several of the gaps identified in some of the four CBA frameworks can be addressed simply by relying on the frameworks that do address those gaps.
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B-26 7 CONCLUSION The resulting framework and tool will consider resilience of the transportation systems in a cross-asset, cross-operations fashion and will rely predominantly on datasets that are already commonly used by transportation agencies. This point is particularly important because according to the survey process, many DOTs are not employing formal CBAs when considering climate and extreme weather resilience.
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B-27 8 REFERENCES Federal Emergency Management Agency. "Incorporating Sea Level Rise (SLR)
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B-28 9 ACRONYMS AASHTO American Association of State Highway Transportation Officials BCA Benefit cost analysis CBA Cost benefit analysis CBR Cost benefit ratio DOT Department of Transportation E.O. Executive Order EDIP Economic model for the assessment of income Distribution and Inequality effects of economic Policies EPA U.S.
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B-29 PS&E Plan, specification, and estimate ROI Return on investment STIP Statewide transportation improvement plan TIGER Transportation Investment Generating Economic Recovery TIM Traffic incident management ToPDad Tool-supported policy development for regional adaptation TRB Transportation Research Board TSM&O Transportation Systems Operation and Maintenance USACE U.S. Army Corps of Engineers
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Synthesis and extension of findings 1.0 Weather events are not new to DOTs, what is new is the extreme nature of recent and projected events in the face of climate change and their potential to disrupt continuity of service on an aging transportation system increasingly stressed to capacity. Processes and methods to determine "the right projects" and how "to do projects right" are also well established and have evolved to address safety, mobility/continuity of service, lifecycle cost, and a wide range of economic, social and environmental concerns.
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20-101 INTERVIEW TEMPLATE 0.21 DelDOT AGENCY Delaware DOT RESPONDENT Silvana Croope, LaTonya Gillam, Barry INTERVIEWER Marie, Gary, Laurel, Krista, Joshua DATE 1-Feb-16 INTRO QUESTIONS FROM SURVEY RESPONSE FOLLOW UP QUESTION ANSWER ADDITIONAL NEEDS / GAP? Policy 1.
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20-101 INTERVIEW TEMPLATE 0.21 DelDOT INTRO QUESTIONS FROM SURVEY RESPONSE FOLLOW UP QUESTION ANSWER ADDITIONAL NEEDS / GAP?
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20-101 INTERVIEW TEMPLATE 0.21 DelDOT INTRO QUESTIONS FROM SURVEY RESPONSE FOLLOW UP QUESTION ANSWER ADDITIONAL NEEDS / GAP?
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - PennDOT AGENCY PennDOT RESPONDENT Doug Zimmerman PennDOT dozimmerma@pa.gov 717-787-0782 & Marl Lombard, Justin Bruner INTERVIEWER Gary McVoy DATE 2/17/2016 REVIEWER Doug Zimmerman 2/19/16 Summary/Synthesis what how needs QUESTION # QUESTION RESPONSE 1 What (natural) hazards are top priorities for you to design for?
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - PennDOT QUESTION # QUESTION RESPONSE 1b b. Do you consider climate change when designing for this (or any)
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - PennDOT QUESTION # QUESTION RESPONSE 4bi i. For example, we've heard that some DOTs have a $ threshold that requires cost-benefit analysis to be done for projects that exceed that threshold, or that CBAs are done for FHWA-funded projects.
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - TxDOT AGENCY TxDOT RESPONDENT Mark McDaniel INTERVIEWER Gary McVoy DATE 2/17/2016 REVIEWER Mark McDaniel 2/19/16 Summary/Synthesis what TxDOT is most concerned with hurricanes and attendant evacuations, damage control, etc., as well as flooding along major rivers that tend to result from rainfall further up the watersheds. how Preparation and response to events often are investments in infrastructure replacement on a post-event basis.
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - TxDOT QUESTION # QUESTIONS RESPONSE 1 What (natural) hazards are top priorities for you to design for?
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - TxDOT QUESTION # QUESTIONS RESPONSE 3 How are cross-asset needs addressed in your organization? What other agencies need to participate or are impacted by these decisions?
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - TxDOT QUESTION # QUESTIONS RESPONSE 4c c. (If their prioritization process includes CBA or LCCA then ask this)
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - Florida DOT AGENCY Florida DOT RESPONDENT Maria Cahill, Maria.cahill@dot.state.fl.us INTERVIEWER Gary McVoy DATE 2/1/2216 REVIEWER GM assumed summary generally OK - 3/21/16 Summary/Synthesis what how Florida DOT has a long history of using GIS and other IT /analytical tools and approaches to project and program development. As such, climate/extreme weather risks to continuity of service and assets is something that this agency with its susceptibility to severe costal storms is seeking incorporate into its program development process (do the right project)
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - Florida DOT needs QUESTION # QUESTIONS RESPONSE 1 What (natural) hazards are top priorities for you to design for?
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - Florida DOT QUESTION # QUESTIONS RESPONSE 2b b. How do you identify and prioritize them?
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - Florida DOT QUESTION # QUESTIONS RESPONSE 4bi i. For example, we've heard that some DOTs have a $ threshold that requires cost-benefit analysis to be done for projects that exceed that threshold, or that CBAs are done for FHWA-funded projects.
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - Florida DOT QUESTION # QUESTIONS RESPONSE 5a a. For example, we've been told that some elements of an ideal tool are that it would be GIS-based, it would address cross-asset needs, it would consider cross-agency needs, it would consider different funding mechanisms such as catastrophe or resilience bonds, etc.
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - Maine DOT AGENCY Maine DOT RESPONDENT Judy.Gates@maine.gov INTERVIEWER Gary McVoy DATE 3/1/2016 REVIEWER Judy Gates with notes 3/9 & 3/11/16 Summary/Synthesis what how needs Maine DOT has approached climate change and extreme weather in a straightforward, pragmatic, and informed manner. Through pilots it has looked at watersheds, coastline, projects, and facilities.
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - Maine DOT QUESTION # QUESTIONS RESPONSE 1 What (natural) hazards are top priorities for you to design for?
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - Maine DOT QUESTION # QUESTIONS RESPONSE 4 How does your prioritization process help to inform your overall capital budget program and funding?
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - NYSDOT AGENCY NYSDOT RESPONDENT Debra Nelson, Lynn Weiskopf, Rich Lee, Joe Doherty, Jim Davis, Mark Saunders, George Long, Mike Rossi. Elisabeth Lennon (absent)
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - NYSDOT QUESTION # QUESTIONS Summary Response Additional commentary 1bii i i. If not, what is preventing you from doing this?
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - NYSDOT QUESTION # QUESTIONS Summary Response Additional commentary 3a a. For example, we've heard that some project and funding decisions need to consider city, county, state, and regional impacts.
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - NYSDOT QUESTION # QUESTIONS Summary Response Additional commentary 5b b. Where would you obtain the data needed to input into the tool?
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - Oregon DOT AGENCY Oregon DOT RESPONDENT Curran.E.MOHNEY@odot.state.or.us INTERVIEWER Gary McVoy DATE 3/17/2016 REVIEWER Curran Mohney 3/21/16 Summary/Synthesis what how needs Geography, geology, topography, economics, and demography combine to make Oregon's highway system subject to an unusually diverse and serious set of climate/extreme weather threats that include rock falls, landslides, and forest fires as well as flooding and erosion from precipitation, storm surge, sea level rise, stream aggradation (sedimentation/channel instability)
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - Oregon DOT QUESTION # QUESTIONS RESPONSE 1 What (natural) hazards are top priorities for you to design for?
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - Oregon DOT QUESTION # QUESTIONS RESPONSE 4 How does your prioritization process help to inform your overall capital budget program and funding? For slopes - candidate project priorities come from slope risk analysis and then compete with other needs 4a a.
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - WSDOT AGENCY WSDOT RESPONDENT Carol Lee Roalkvam INTERVIEWER Marie Venner DATE REVIEWER Summary/Synthesis what how needs QUESTION # QUESTIONS RESPONSE 1 Policy Explain asking about negatives - to identify needs/gaps - rather than a synthesis of what places are doing The Washington State Department of Transportation (WSDOT) does not use cost-benefit analysis and does not think this is required.
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - WSDOT QUESTION # QUESTIONS RESPONSE 1a 1. Does your organization have any policies in place that require you to complete cost-benefit analysis for projects that incorporate adaptation to climate change or extreme weather?
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20-101 SURVEY - INTERVIEW / FINDINGS FILE - WSDOT QUESTION # QUESTIONS RESPONSE 4 1. How are priorities for the capital budget determined?
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