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Community Resilience
Planning
Stephen A. Cauffman
Engineering Laboratory
National Institute of Standards and Technology
International Disaster
Risk Conference
Davos, Switzerland
August 29, 2016
Why Community Resilience?
• Communities are socio-technical systems. Buildings
and infrastructure enable social and economic
function. Therefore, social and economic needs and
functions should drive the goals for performance of
buildings and physical infrastructure.
• All communities face potential disruption from
natural, technological, and human-caused hazards.
• Disasters take a high toll in lives, livelihoods, and
quality of life that can be reduced by better
managing disaster risks.
• Planning and implementing prioritized measures can
strengthen resilience and improve a community’s
ability to continue or restore vital services in a more
timely way – and to build back better.
• New tools and guidance are needed to measure
resilience and plan and implement measures to
enhance resilience.
What is Resilience?
• “the ability to adapt to changing conditions and withstand and
rapidly recover from disruption due to emergencies”. (Presidential
Policy Directive (PPD) 8)
• “the ability to prepare for and adapt to changing conditions and to
withstand and recover rapidly from disruptions. Resilience includes
the ability to withstand and recover from deliberate attacks,
accidents, or naturally occurring threats or incidents.” (PPD 21)
• Resilience addresses all activities through recovery:
• Prevention, Protection, Mitigation, Response, and Recovery
• Risk assessments address the potential consequences of
hazard’s impact on existing construction and identify
vulnerabilities
• Emergency management addresses immediate response, with
a focus on life safety
NIST Community Resilience Program
Stakeholder Engagement*
Community Resilience
Planning Guide
Community Resilience Panel
Community Resilience
Guide Briefs
Research
Community Resilience
Systems Model
Community Resilience
Assessment Methodology
Economics-based
Decision Support Tool
Community Resilience Fellows
Center of
Excellence
Integrated, multi-
scale modeling
Database
Architecture
Pilot Studies
*Stakeholder Engagement component is called out in the President’s Climate
Action Plan
Planning Guide Outline
Volume 1 - Methodology
Executive Summary
• Introduction
• 6 Step Methodology
• Planning Example – Riverbend
• Glossary and Acronyms
Volume 2 - Reference
Executive Summary
• Social Community
• Dependencies and Cascading
Effects
• Buildings
• Transportation Systems
• Energy Systems
• Communications Systems
• Water & Wastewater Systems
• Community Resilience Metrics
Planning Steps for Community Resilience
Step 1. Form a Collaborative Planning Team
Public
• Elected Officials
• Local Government
• Community Members
Private
• Business and Services
– Banking, Health care
– Utilities
– Media
• Organizations
– NGOs (VOAD, Relief )
Representation of All Interests
Step 2. Understand the Situation
Characterize the Social Dimensions
– Community members
• Present and future needs
• Demographics and economic indicators
• Social Capital/Social Vulnerabilities
– Social institutions
• Social functions
• Gaps in capacity
• Dependencies on other institutions
– Community metrics
Characterize the Built Environment
Buildings
Individual structures, including equipment
and contents that house people and support
social institutions
Building Clusters
A set of buildings that serve a common function
such as housing, healthcare, retail, etc.
Infrastructure Systems
Physical networks and structures that support
social institutions, including transportation, energy,
communications, water and waste water systems.
Dependencies
Internal and External, Time, Space, Source
Characterize
Location, number, construction, demands and use, etc.
Link Social Dimensions and Built Environment
Some rely more on the
built environment
Identify how services
are supported
– Services provided to
meet needs
– Dependency on other
services and systems
– Dependency on built
environment
– Consequences of loss
Industrial Plants
Emergency
Rooms
SheltersSchools
Some functions change
Step 3. Determine Goals and Objectives
Establish Long Term Community Goals
• Long term goals to improve the community can guide the
prioritization and implementation process.
– Improve reliability of infrastructure systems
– Enhance community functions
– Reduce travel time impacts to residents and businesses
– Revitalize an existing blighted area
• Community resilience is achieved over time
– Resilience can be achieved with resources for current
maintenance and capital improvements
Establish Desired Performance Goals for the
Built Environment
• Performance goals are independent of hazard events.
– Community functions are needed during recovery, such as acute
health care, 911 call centers, emergency response
– Consider role of a facility or system that impacts others outside the
community.
• Define goals in terms of ‘time needed to restore
functionality’.
• Use goals to help prioritize repair and reconstruction efforts.
• Goals may suggests criteria for new construction and retrofit
of existing construction.
Determine and Characterize Hazards
• Identify prevalent hazards
• Wind, Earthquake, Inundation
• Fire, Snow, Rain
• Human-caused or Technological
• Evaluate hazards for 3 levels
• Routine Level expected to occur frequently
• Should have minimal disruption
• Design Level used to design buildings
• Anchor for community planning
• Extreme Maximum considered possible
• Plan for critical services
Anticipated Performance of Existing Built
Environment
• Anticipated performance
(restoration of function)
during recovery depends
– Damage level - Condition and
capacity of structural and
nonstructural systems
– Recovery time - Materials,
equipment, and labor needed
for restoration
– Dependencies on other
systems that may be
damaged
Hurricane Irene
Hurricane Katrina
Example Matrix: Building Performance Goals
Building Clusters Support Needed4
Design Hazard Performance
Phase 1
Short-Term
Phase 2
Intermediate
Phase 3
Long-Term
Days Weeks Months
0 1 1-3 1-4 4-8 8-12 4 4-24 24+
Building Performance Category
A B C D
Critical Facilities
Emergency Operation Centers R, S, MS 90% X
First Responder Facilities R, S, MS 90% X
Memorial Hospital R, S, MS 90% X
Non-ambulatory Occupants (prisons, nursing homes, etc.) R, S, MS 90% X
National Aircraft Parts Factory (NAP) R, S, C 90% X
Emergency Housing
Temporary Emergency Shelters R, S 30% 90% X
Single and Multi-family Housing (Shelter in place) R, S 60% 90% X
Housing/Neighborhood
Critical Retail R, S, C 30% 60% 90% X
Religious and Spiritual Centers R, S 30% 60% 90% X
Single and Multi-family Housing (Full Function) R, S 30% 60% 90% X
Schools R, S 30% 60% 90% X
Hotels & Motels R, S, C 30% 60% 90% X
Community Recovery
Businesses – Manufacturing (except NAP) R, S, C 30% 60% 90% X
Businesses - Commodity Services R, S, C 30% 60% 90% X
Businesses - Service Professions R, S, C 30% 60% 90% X
Conference & Event Venues R, S, C 30% 60% 90% X
Example Matrix: Water Infrastructure
Water Infrastructure Support Needed4
Design Hazard Performance
Phase 1
Short-Term
Phase 2
Intermediate
Phase 3
Long-Term
Days Weeks Months
0 1 1-3 1-4 4-8 8-12 4 4-24 24+
Source
Raw or source water and terminal reservoirs R, S 90%
Raw water conveyance (pump stations, piping to WTP) R, S 90% X
Potable water at supply (WTP, wells, impoundment) R, S 30% 60% 90% X
Water for fire suppression at key supply points (to promote
redundancy)
R, S 90% X
Transmission (including Booster Stations)
Backbone transmission facilities (pipelines, pump stations, and
tanks)
R, S 90% X
Control Systems
SCADA or other control systems R, S 30% 60% 90% X
Distribution
Critical Facilities
Wholesale Users (other communities, rural water districts) R, S 60% 90% X
Hospitals, EOC, Police Station, Fire Stations R, S 60% 90% X
Emergency Housing
Emergency Shelters R, S 60% 90% X
Housing/Neighborhoods
Drinking water available at community distribution centers R, S 60% 90%
Water for fire suppression at fire hydrants R, S 90% X
Community Recovery Infrastructure
All other clusters R, S 30% 90% X
Example Summary Resilience Matrix
Superstorm Sandy
Desired
Performance
Anticipated
Performance
Infrastructure
Recovery Time
Critical Facilities
Buildings
Transportation
Energy
Water
Wastewater
Communication
Step 4. Plan Development
Evaluate Gaps and Identify Solutions
• Prioritize gaps
– Long-term community goals
– Social needs during recovery
• Identify alternative solutions
– Multiple stages
– Temporary and permanent
– Administrative
– Construction
• Flood plain
management
– Reduce threat:
relocate, elevate
• Wind and seismic
preparedness
– Strengthen:
retrofit,
redundancy
• Recovery Plans
– Mutual aid
agreements
– Improvement
plans
Infrastructure Recovery Time
Critical Facilities
Buildings
Transportation
Energy
Water
Wastewater
Communication
Prioritize Solutions and Develop
Implementation Strategy
• Select solutions for prioritized performance
gaps
– Determine how alternative solutions can be
combined to meet community goals.
– Consider collaborative projects.
• Develop implementation strategies
– Quantify benefits of impact on public safety and
social needs.
– Evaluate economic impacts on community -
costs and savings.
– Consider short- and long-term benefits versus
costs.
• Determine preferred implementation strategy
North Texas 2050 plan
integrates land use, natural
resources, transportation,
housing, water and wastewater
infrastructure, parks and open
spaces.
2013 Mandatory Soft Story
Retrofit program for all older,
wood-framed, multi-family
buildings ensures the safety
and resilience of San
Francisco.
Step 5. Plan Preparation, Review, and
Approval
Plan Approval
• Document proposed implementation strategy and supporting
assessments and solutions.
• Share with all stakeholders and community members
– Public Meetings, review and comment period
• Finalize and approve community plan.
Final
Community
Plan:
Implementation
Strategy
APPROVED
Step 6. Plan Implementation and
Maintenance
Implementation
• Formally adopt community plan to guide local
government and agencies
• Identify and obtain resources to implement solutions
• Track and communicate progress to stakeholders
Plan Maintenance
• Review strategy and solutions on a regular basis
• Modify or update as needed
Economic Decision Guide (EDG)
• Provides a standard methodology for
evaluating investment decisions aimed at
improving the resilience of communities
• Specifically designed for use with NIST’s
Community Resilience Planning Guide for
Buildings and Infrastructure Systems
– Provides a mechanism to evaluate the
efficiency of resilience actions and to
prioritize them
• Frames the economic decision process
– Identifies and compares resilience-related
benefits & costs
• Across competing alternatives
• Versus the status quo (do-nothing)
NIST Contact
Website:
http://www.nist.gov/el/resilience/
Guide:
http://www.nist.gov/el/resilience/guide.cfm
Or google “NIST Resilience Planning Guide”
General E-mail: resilience@nist.gov
Questions?

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Community Resilience Planning, Stephen Cauffman

  • 1. Community Resilience Planning Stephen A. Cauffman Engineering Laboratory National Institute of Standards and Technology International Disaster Risk Conference Davos, Switzerland August 29, 2016
  • 2. Why Community Resilience? • Communities are socio-technical systems. Buildings and infrastructure enable social and economic function. Therefore, social and economic needs and functions should drive the goals for performance of buildings and physical infrastructure. • All communities face potential disruption from natural, technological, and human-caused hazards. • Disasters take a high toll in lives, livelihoods, and quality of life that can be reduced by better managing disaster risks. • Planning and implementing prioritized measures can strengthen resilience and improve a community’s ability to continue or restore vital services in a more timely way – and to build back better. • New tools and guidance are needed to measure resilience and plan and implement measures to enhance resilience.
  • 3. What is Resilience? • “the ability to adapt to changing conditions and withstand and rapidly recover from disruption due to emergencies”. (Presidential Policy Directive (PPD) 8) • “the ability to prepare for and adapt to changing conditions and to withstand and recover rapidly from disruptions. Resilience includes the ability to withstand and recover from deliberate attacks, accidents, or naturally occurring threats or incidents.” (PPD 21) • Resilience addresses all activities through recovery: • Prevention, Protection, Mitigation, Response, and Recovery • Risk assessments address the potential consequences of hazard’s impact on existing construction and identify vulnerabilities • Emergency management addresses immediate response, with a focus on life safety
  • 4. NIST Community Resilience Program Stakeholder Engagement* Community Resilience Planning Guide Community Resilience Panel Community Resilience Guide Briefs Research Community Resilience Systems Model Community Resilience Assessment Methodology Economics-based Decision Support Tool Community Resilience Fellows Center of Excellence Integrated, multi- scale modeling Database Architecture Pilot Studies *Stakeholder Engagement component is called out in the President’s Climate Action Plan
  • 5. Planning Guide Outline Volume 1 - Methodology Executive Summary • Introduction • 6 Step Methodology • Planning Example – Riverbend • Glossary and Acronyms Volume 2 - Reference Executive Summary • Social Community • Dependencies and Cascading Effects • Buildings • Transportation Systems • Energy Systems • Communications Systems • Water & Wastewater Systems • Community Resilience Metrics
  • 6. Planning Steps for Community Resilience
  • 7. Step 1. Form a Collaborative Planning Team Public • Elected Officials • Local Government • Community Members Private • Business and Services – Banking, Health care – Utilities – Media • Organizations – NGOs (VOAD, Relief ) Representation of All Interests
  • 8. Step 2. Understand the Situation Characterize the Social Dimensions – Community members • Present and future needs • Demographics and economic indicators • Social Capital/Social Vulnerabilities – Social institutions • Social functions • Gaps in capacity • Dependencies on other institutions – Community metrics
  • 9. Characterize the Built Environment Buildings Individual structures, including equipment and contents that house people and support social institutions Building Clusters A set of buildings that serve a common function such as housing, healthcare, retail, etc. Infrastructure Systems Physical networks and structures that support social institutions, including transportation, energy, communications, water and waste water systems. Dependencies Internal and External, Time, Space, Source Characterize Location, number, construction, demands and use, etc.
  • 10. Link Social Dimensions and Built Environment Some rely more on the built environment Identify how services are supported – Services provided to meet needs – Dependency on other services and systems – Dependency on built environment – Consequences of loss Industrial Plants Emergency Rooms SheltersSchools Some functions change
  • 11. Step 3. Determine Goals and Objectives Establish Long Term Community Goals • Long term goals to improve the community can guide the prioritization and implementation process. – Improve reliability of infrastructure systems – Enhance community functions – Reduce travel time impacts to residents and businesses – Revitalize an existing blighted area • Community resilience is achieved over time – Resilience can be achieved with resources for current maintenance and capital improvements
  • 12. Establish Desired Performance Goals for the Built Environment • Performance goals are independent of hazard events. – Community functions are needed during recovery, such as acute health care, 911 call centers, emergency response – Consider role of a facility or system that impacts others outside the community. • Define goals in terms of ‘time needed to restore functionality’. • Use goals to help prioritize repair and reconstruction efforts. • Goals may suggests criteria for new construction and retrofit of existing construction.
  • 13. Determine and Characterize Hazards • Identify prevalent hazards • Wind, Earthquake, Inundation • Fire, Snow, Rain • Human-caused or Technological • Evaluate hazards for 3 levels • Routine Level expected to occur frequently • Should have minimal disruption • Design Level used to design buildings • Anchor for community planning • Extreme Maximum considered possible • Plan for critical services
  • 14. Anticipated Performance of Existing Built Environment • Anticipated performance (restoration of function) during recovery depends – Damage level - Condition and capacity of structural and nonstructural systems – Recovery time - Materials, equipment, and labor needed for restoration – Dependencies on other systems that may be damaged Hurricane Irene Hurricane Katrina
  • 15. Example Matrix: Building Performance Goals Building Clusters Support Needed4 Design Hazard Performance Phase 1 Short-Term Phase 2 Intermediate Phase 3 Long-Term Days Weeks Months 0 1 1-3 1-4 4-8 8-12 4 4-24 24+ Building Performance Category A B C D Critical Facilities Emergency Operation Centers R, S, MS 90% X First Responder Facilities R, S, MS 90% X Memorial Hospital R, S, MS 90% X Non-ambulatory Occupants (prisons, nursing homes, etc.) R, S, MS 90% X National Aircraft Parts Factory (NAP) R, S, C 90% X Emergency Housing Temporary Emergency Shelters R, S 30% 90% X Single and Multi-family Housing (Shelter in place) R, S 60% 90% X Housing/Neighborhood Critical Retail R, S, C 30% 60% 90% X Religious and Spiritual Centers R, S 30% 60% 90% X Single and Multi-family Housing (Full Function) R, S 30% 60% 90% X Schools R, S 30% 60% 90% X Hotels & Motels R, S, C 30% 60% 90% X Community Recovery Businesses – Manufacturing (except NAP) R, S, C 30% 60% 90% X Businesses - Commodity Services R, S, C 30% 60% 90% X Businesses - Service Professions R, S, C 30% 60% 90% X Conference & Event Venues R, S, C 30% 60% 90% X
  • 16. Example Matrix: Water Infrastructure Water Infrastructure Support Needed4 Design Hazard Performance Phase 1 Short-Term Phase 2 Intermediate Phase 3 Long-Term Days Weeks Months 0 1 1-3 1-4 4-8 8-12 4 4-24 24+ Source Raw or source water and terminal reservoirs R, S 90% Raw water conveyance (pump stations, piping to WTP) R, S 90% X Potable water at supply (WTP, wells, impoundment) R, S 30% 60% 90% X Water for fire suppression at key supply points (to promote redundancy) R, S 90% X Transmission (including Booster Stations) Backbone transmission facilities (pipelines, pump stations, and tanks) R, S 90% X Control Systems SCADA or other control systems R, S 30% 60% 90% X Distribution Critical Facilities Wholesale Users (other communities, rural water districts) R, S 60% 90% X Hospitals, EOC, Police Station, Fire Stations R, S 60% 90% X Emergency Housing Emergency Shelters R, S 60% 90% X Housing/Neighborhoods Drinking water available at community distribution centers R, S 60% 90% Water for fire suppression at fire hydrants R, S 90% X Community Recovery Infrastructure All other clusters R, S 30% 90% X
  • 17. Example Summary Resilience Matrix Superstorm Sandy Desired Performance Anticipated Performance Infrastructure Recovery Time Critical Facilities Buildings Transportation Energy Water Wastewater Communication
  • 18. Step 4. Plan Development Evaluate Gaps and Identify Solutions • Prioritize gaps – Long-term community goals – Social needs during recovery • Identify alternative solutions – Multiple stages – Temporary and permanent – Administrative – Construction • Flood plain management – Reduce threat: relocate, elevate • Wind and seismic preparedness – Strengthen: retrofit, redundancy • Recovery Plans – Mutual aid agreements – Improvement plans Infrastructure Recovery Time Critical Facilities Buildings Transportation Energy Water Wastewater Communication
  • 19. Prioritize Solutions and Develop Implementation Strategy • Select solutions for prioritized performance gaps – Determine how alternative solutions can be combined to meet community goals. – Consider collaborative projects. • Develop implementation strategies – Quantify benefits of impact on public safety and social needs. – Evaluate economic impacts on community - costs and savings. – Consider short- and long-term benefits versus costs. • Determine preferred implementation strategy North Texas 2050 plan integrates land use, natural resources, transportation, housing, water and wastewater infrastructure, parks and open spaces. 2013 Mandatory Soft Story Retrofit program for all older, wood-framed, multi-family buildings ensures the safety and resilience of San Francisco.
  • 20. Step 5. Plan Preparation, Review, and Approval Plan Approval • Document proposed implementation strategy and supporting assessments and solutions. • Share with all stakeholders and community members – Public Meetings, review and comment period • Finalize and approve community plan. Final Community Plan: Implementation Strategy APPROVED
  • 21. Step 6. Plan Implementation and Maintenance Implementation • Formally adopt community plan to guide local government and agencies • Identify and obtain resources to implement solutions • Track and communicate progress to stakeholders Plan Maintenance • Review strategy and solutions on a regular basis • Modify or update as needed
  • 22. Economic Decision Guide (EDG) • Provides a standard methodology for evaluating investment decisions aimed at improving the resilience of communities • Specifically designed for use with NIST’s Community Resilience Planning Guide for Buildings and Infrastructure Systems – Provides a mechanism to evaluate the efficiency of resilience actions and to prioritize them • Frames the economic decision process – Identifies and compares resilience-related benefits & costs • Across competing alternatives • Versus the status quo (do-nothing)