ASTM E3350-22

This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the
Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
Designation: E3350 − 22
Standard Guide for
Community Resilience Planning for Buildings and
Infrastructure
This standard is issued under the fixed designation E3350; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
INTRODUCTION
Communities with complex physical, social, and economic systems seek the means to develop
effective planning and decision-making processes that increase their resilience to hazards and reduce
potential adverse effects. This guide presents a process for communities to develop customized
resilience plans for buildings and infrastructure systems that recognize the social, economic, and
physical dimensions of a community and encourages the establishment of recovery oriented goals for
the performance of buildings and infrastructure systems after a disruptive event.
1. Scope process provides a framework for community resilience plan-
ning needs and is not intended to be prescriptive.
1.1 This guide sets forth a flexible approach for communi-
ties to develop customized, comprehensive resilience plans for
1.4 Limitations of Guide—This guide does not advocate or
buildings and infrastructure systems that include input from
specify any particular analytical methodology for ascertaining
relevant stakeholders; consider the social, economic, and
the performance of the built environment.This guide also does
physical systems of a community; establish community-scale
not directly address the effects of climate change, although the
performance goals that encourage recovery-oriented planning;
planningprocesscanincorporatesucheventsandimpacts.(For
and recommend processes to implement and maintain commu-
additional information on these processes to address climate
nity resilience plans over time as community priorities evolve
resilience planning, refer to Guide E3032.) This guide ad-
and change.
dresses buildings and infrastructure systems and how they
1.1.1 The social dimensions of a community should drive
support the social dimensions of communities, and considers
the requirements of a community’s resilience plans and the
how the elements of the built environment support social and
performance of its physical systems, especially during recov-
economic community functions. The application of this guide
ery. The identification of social functions is a fundamental
is intended to support community resilience planning efforts
element of developing community resilience plans that accu-
across a community’s interdependent building and infrastruc-
rately reflect priorities for recovery after a hazard event.
ture systems.Applications beyond this scope were not consid-
1.2 The guide process steps address how to (1) form
ered in the development of this guide.
collaborativeplanningteams; (2)evaluatethecurrentcondition
of social and built dimensions of a community; (3) determine
1.5 Units—The values stated in SI units are to be regarded
community goals and objectives for built systems and hazards;
as the standard. No other units of measurement are included in
(4) develop plans that address performance gaps and identify
this standard.
solutions; (5) prepare, review and approve final community
1.6 This standard does not purport to address all of the
resilience plans; and (6) implement and maintain resilience
safety concerns, if any, associated with its use. It is the
plans.
responsibility of the user of this standard to establish appro-
1.3 This guide provides a process that facilitates priority
priate safety, health, and environmental practices and deter-
setting and decision making regarding the establishment of
mine the applicability of regulatory limitations prior to use.
community resilience goals and associated solutions. The
1.7 This international standard was developed in accor-
dance with internationally recognized principles on standard-
This guide is under the jurisdiction of ASTM Committee E54 on Homeland ization established in the Decision on Principles for the
Security Applications and is the direct responsibility of Subcommittee E54.02 on
Development of International Standards, Guides and Recom-
Continuity of Operations.
mendations issued by the World Trade Organization Technical
Current edition approved Sept. 15, 2022. Published September 2022. DOI:
10.1520/E3350-22. Barriers to Trade (TBT) Committee.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
E3350 − 22
2. Referenced Documents tems or new capital projects that lead to improved resilience
2 through enhanced robustness, redundancies, or retrofits.
2.1 ASTM Standards:
3.1.9 dependency, n—reliance of physical or social systems
E631 Terminology of Building Constructions
on other physical or social systems to function or provide
E2114 Terminology for Sustainability Relative to the Perfor-
services.
mance of Buildings
3.1.9.1 Discussion—Adependency is considered a unidirec-
E2348 Guide for Framework for a Consensus-based Envi-
tional relationship between two systems where the operation of
ronmental Decision-making Process
one affects the other. An interdependency is a bidirectional
E2432 Guide for General Principles of Sustainability Rela-
relationship between two systems where the operations of both
tive to Buildings
affects the other (1).
E3032 Guide for Climate Resiliency Planning and Strategy
E3130 Guide for Developing Cost-Effective Community
3.1.10 function, n—role or purpose of a particular social
Resilience Strategies
institution (for example, education, finance, healthcare) or
2.2 Other Standards:
physical system (for example, electric power, potable water,
ASISORM1-2017 SecurityandResilienceinOrganizations
transportation) to provide a service within a community.
and Their Supply Chains—Requirements with Guidance
3.1.11 functionality, n—capability of serving an intended
NFPA 1600 Standard on Continuity, Emergency, and Crisis
function.
Management
3.1.11.1 Discussion—The relationship between function
and functionality relates to the level of service or capacity of a
3. Terminology
system to provide its intended service. For a water system, for
3.1 Definitions:
example, the function of a water system in a community is to
3.1.1 administrative solutions, n—policies, practices, or
provideclean,potablewaterqualityandpressureforarangeof
programs that can be deployed to advance community
community purposes. The functionality of a water system
resilience,acquisitionoffunding,provideincentivesforretrofit
describes various levels of capacity of the system to provide
and mitigation projects, and improve permitting and other
those services. An operational level of functionality will
issues that impact recovery time after a hazard event.
provide sufficient water quality and pressure for all community
3.1.2 anticipated performance, n—likely level of damage to
functions, while a minimal level of functionality may provide
a cluster or infrastructure system from a hazard event and the
lower pressure to some locations and require boil water orders
expected recovery time before full functionality is restored.
because of uncertainty in water quality.
3.1.3 building, n—individual structure, including equipment
3.1.12 goal, n—broad, general statements that indicate a
and contents, that houses people and supports social institu-
statement of purpose to be achieved or accomplished (2).
tions.
3.1.13 hazard, n—potential threat or an incident, natural or
3.1.3.1 Discussion—For definitions of general terms related
human caused, that warrants action to protect life, property, the
to buildings, refer to Terminology E631.
environment, public health, or safety and minimize disruptions
3.1.4 built environment, n—all buildings and infrastructure
of government, social, or economic activities (3).
systems within a community or other defined geographic
3.1.14 hazard event, n—occurrence of a hazard.
boundary.
3.1.15 indicators, n—quantitative or qualitative data indi-
3.1.5 clusters, n—set of buildings and supporting infrastruc-
rectly measuring or describing the inherent characteristics of a
ture systems, not necessarily geographically co-located, that
community that establish the relative position of that
serve a common function such as housing, healthcare, retail,
community, cluster, or infrastructure system and, when mea-
and so forth.
sured over time, can point out the direction of change (4-6).
3.1.6 community, n—place designated by geographical
3.1.15.1 Discussion—Indicators are composed of measur-
boundaries that functions under the jurisdiction of a gover-
ableattributesofacommunity,cluster,orinfrastructuresystem
nance structure, such as a town, city, or county.
(7).
3.1.7 community resilience, n—ability of a community to
3.1.16 infrastructure system, n—physical networks,
anticipate, prepare for, and adapt to changing conditions and
systems, and structures that make up transportation, energy,
withstand, respond to, and recover rapidly from disruptions
communications, water and wastewater, and other systems that
(refer to Guide E3130).
support the functionality of community social institutions.
3.1.8 construction solutions, n—projects or actions involv-
3.1.17 objective, n—specific, measurable statements of the
ing physical improvements to building or infrastructure sys-
goal that can be used to measure progress; can be described
quantitatively (2).
For referenced ASTM standards, visit the ASTM website, www.astm.org, or
3.1.18 social dimensions, n—needsofindividualsandsocial
contact ASTM Customer Service at service@astm.org. For Annual Book of ASTM
institutions, including those representing government, business
Standards volume information, refer to the standard’s Document Summary page on
the ASTM website.
Available from ASIS International, 1625 Pine St., Alexandria, VA 22314,
www.asisonline.org.
4 5
Available from the Fire Protection Association, 1 Batterymarch Park, Quincy, The boldface numbers in parentheses refer to a list of references at the end of
MA 02169-7471, www.nfpa.org. this standard.
E3350 − 22
and industry, finance, health, education, community service, important as the plan itself. Engagement with stakeholders and
and those representing particular religious and cultural beliefs officials is necessary to ensure there are resources and com-
and the media. munity support to implement the actions described in the
resilience plan.
3.1.19 social institutions, n—public or private organizations
that provide services or resources that support the social
5. Significance and Use
dimensions of community members.
5.1 This guide is intended for use by communities, which
3.1.20 stakeholders, n—all parties that have an interest or
may include towns, incorporated cities, counties, or similar
concern in an operation, enterprise, or undertaking.
entities with the authority to convene and implement resilience
3.1.21 stressor, n—condition, event, or trend that can exac-
planning. The process described in this guide may have
erbate hazards (8).
applications to a broader set of users, such as those described
in Guide E3032.
3.1.22 time to recovery of function, n—measure of how long
it takes before a cluster or infrastructure system is functioning
5.2 This guide is intended to be applied at a community or
after damage or a disruption in services, or both.
regional geographical and administrative scale. Smaller geo-
3.1.22.1 Discussion—Time to recovery of function can be
graphicandadministrativescales,suchasneighborhoodscales,
measured at various functional levels, such as minimal,
may also use this guide; however, there may be limitations in
functional, and operational. Also referred to as “time to
the range of solutions (see Step 4B) that are available due to
recovery” or “functional recovery.”
statutory, regulatory, financial, or administrative constraints
3.1.23 vulnerable population, n—individual, group, or com- caused by limitations in governance bodies.
munity whose circumstances create barriers to obtaining or
5.3 This guide provides an analytical framework for estab-
understanding information or the ability to react as the general
lishing desired versus current anticipated performance in terms
population including, but not limited to, age; physical, mental,
of time to recovery of function for clusters and infrastructure
emotional, or cognitive status; culture; ethnicity; religion;
systems. The output of this analytical framework provides an
language; citizenship; geography; or socioeconomic status (9).
objective basis for establishing priorities among proposed
3.1.24 underserved communities, n—populations sharing a
strategies and solutions to help meet community resilience
particular characteristic, as well as geographic communities, goals.
that have been systematically denied a full opportunity to
5.4 The planning and analytical process can be applied to
participate in aspects of economic, social, and civic life (10).
any hazard, though the focus is on natural hazards. Steps 1 and
3.2 Acronyms:
2 (form a collaborative planning team and understand the
3.2.1 CPT—Collaborative planning team situation) do not require the use of hazard information and
provide useful information for communities that can be incor-
3.2.2 CRO—Chief resilience officer
porated into a resilience plan. The activities described in Steps
3.2.3 FEMA—Federal Emergency Management Agency
3 and 4 (determine goals and objectives, and develop the plan)
3.2.4 GIS—Geographic information system
require technical information about hazards and an assessment
of their impact on community systems.
3.2.5 HIRA—Hazard identification and risk assessment
3.2.6 NIST—NationalInstituteofStandardsandTechnology 5.5 This guide provides a planning process that emphasizes
disaster recovery outcomes. However, all phases of
3.2.7 THIRA—Threat and Hazard Identification and Risk
preparedness, including prevention, protection, mitigation,
Assessment
response, and recovery, are important to the successful
achievement of disaster recovery objectives. The analytical
4. Summary of Guide
outputs of this guide should inform all phases of preparedness
4.1 This guide comprises a six-step process to establish a
and provide an objective approach to prioritize pre-event
community resilience plan for buildings and infrastructure
mitigation action.
systems that is intended to be implemented by community
5.6 The steps of this guide, presented in Section 6, are best
officials.
initiated in the order provided. However, with the exception of
4.2 The six steps in the process are: (1) form a collaborative
the formation of a collaborative planning team in Step 1 and
planning team; (2) understand the situation; (3) determine
implementation and reporting Steps 5 and 6, it is feasible to
goals and objectives; (4) develop the plan; (5) prepare, review,
complete Steps 2 to 4 in a non-consecutive order. Depending
andapprovetheplan;and (6)implementandmaintaintheplan.
on a community’s specific needs, timeline, resources, or
The six steps are based upon the approach presented in Ref
technical capabilities, Steps 2 to 4 may occur in a different
(11).
order than described in this guide. In Section 6, supplemental
information that elaborates on how to implement each step and
4.3 With the use of this guide, it is intended that a
collaborative planning team flexibilities is provided in a
community will develop and maintain a resilience plan that
discussion note following each step.
will inform future community planning and investment actions
for the built environment or incorporate the concepts in
NOTE 1—The collaborative planning team provides the foundation for
existing and related community plans. The process by which
stakeholder engagement and input in subsequent steps, even if later steps
the resilience plan is developed and maintained is equally as are completed in a different order than what is described in this guide.
E3350 − 22
Ideally, each step should be at least initiated to describe how the plan will and social functions, and engage various stakeholder groups they repre-
eventually address all elements of resilience planning. sent. The composition of the collaborative planning team will vary
between communities reflecting the diversity of interests, cultures,
5.7 Resilience plans developed with the support of this
economies, and the environment. The team composition may also vary
guide should be compatible with, inform, and augment other
over time. Recruitment for the planning team should include a diversity of
hazard mitigation planning and comprehensive planning pro-
community stakeholders and perspectives with representatives from the
appropriate public, non-profit, and private domains. However, CPT
cesses. It is compatible with the National Preparedness Goal,
membership should be kept to a size that is reasonable for regular
the National Infrastructure Protection Plan, and the National
meetings and making decisions. There is no best model for the composi-
Disaster Recovery Framework, and should inform and be
tion or specific functions of the CPT. The composition of a CPT and the
consistent with other state and local plans and priorities. In
timeline of the CPT’s activities should be community- and context-
practice, this includes general plans, capital improvement
specific. Other considerations for the formation of a CPT and its
programs, hazard mitigation, emergency response, recovery, associated decision-making processes are discussed in Guide E2348,
NFPA 1600, and ASIS ORM 1-2017. Organizations may include local
economic development, and transportation plans.
government offices (for example, emergency management, public works,
buildings and permitting, public health, and land use and zoning
6. Procedure
departments), owners and operators of major community infrastructure
systems, local business and industry representatives, and non-profit and
6.1 Step 1: Form a Collaborative Planning Team (CPT):
social organizations (for example, faith-based, education, health, and
6.1.1 The CPT provides the leadership, community
vulnerable populations). Infrastructure systems are often owned and
engagement, and facilitation of planning activities in a resil-
operated by entities outside of the community (for example, electricity
ience planning process. The motivation for the formation of a
provided by a regional utility; communication; and transportation at
regional, state, and national levels). Given this distribution of how
CPT, along with its scope, authority, and relationship to other
infrastructure systems are provided, consider regional, state, federal
community planning processes and government agencies,
government, and national organization representative participation on the
should be provided or adopted by a local governing body. The
CPT as needed.
development of a chartering document for the CPT would
6.1.4 Step 1C: Establish the Scope of the Planning Effort—
provide terms of reference as the CPT conducts its planning
The CPT shall decide on the scope of the effort by considering
and outreach activities. Other motivations for the formation of
what community social and economic functions are supported
a CPT and its scope may be informed by sector-based
by different elements of the built environment, while also
initiatives or from the efforts of community-based non-
considering the associated organizations and institutions that
governmental organizations and local residents.
support those functions. This scoping activity may include a
NOTE 2—Individuals experienced with participating on mitigation or
focus on specific physical and built systems that the CPT is
damageassessmentteamsthathaveexperienceandskillsassessinghazard
capable of addressing.
effects on the capabilities and capacity of physical systems may be useful
to include on the CPT.
NOTE 5—Considerations for scoping the planning effort may be related
6.1.2 Step 1A: Identify a Resilience Leader—A chair of the
to addressing prevailing hazards or stressors in the community, selecting
CPT shall be designated to identify and recruit members, a subset of the built environment that the planning team can influence, or
concurrent community planning efforts that may be complementary to the
facilitate the engagement process, provide leadership and
CPT’s efforts (for example, economic development planning, hazard
continuity to the community resilience planning and imple-
mitigation planning). Consulting prior reports that characterize commu-
mentation process, and present final recommendations or
nity systems and involving stakeholders in system characterization is a
decisions for approval.
useful step to inform the scope of the planning effort. Integrated resilience
assessment tools, such as FEMA’s ResilienceAnalysis and Planning tool,
NOTE 3—The CPT chair provides a single point of contact for decision
provide nationally available resilience planning data that can inform the
makers and inquiries throughout the community resilience planning and
scope of the planning effort (12). The CPT should consider the range of
implementation process. There should be identification of a dedicated
possible construction and administrative solutions that may be available,
community official who can lead the process and provide continuity,
which can inform the scope of the planning effort. At this stage, the CPT
elevate the importance of resilience, convene stakeholders, communicate
should also define the scope of the community and the potential
effectively, and engage public support.The chair may be a chief resilience
constraints on action.This includes both geographic boundaries, resource,
officer (CRO), emergency management professional, community planner,
and administrative constraints. Defining and describing a community’s
or other official. There may also be other champions that emerge during
boundaries can be useful in several ways:
the process that the chair can collaborate with to increase the effectiveness
To identify significant parts of the community not previously consid-
of resilience planning. Communities may choose to identify different
ered during the formation of the CPT;
governance structures for their specific circumstances and objectives, for
To help define the parameters for planning and resource allocation;
example, establishing co-chairs instead of a single chairperson.
To help focus on physical, social, and economic connections to the
6.1.3 Step 1B: Identify Team Members and Their Roles and region; and
To help identify the authorities and limitations of the community. All
Responsibilities—The CPT shall have members representing
communities face challenges with prioritizing resource allocation, but
government, private sector, non-profit, or other community
some resilience challenges require long-term solutions and funding. The
segments that provide or represent services, equities, and
CPT may opt initially to prioritize short-term challenges and solutions
interests of the community’s physical, social, and economic
given resource limitations and the authority given to the CPT. Early
systems. The CPT members shall reflect the needs and per- success will give additional credibility to the planning process when
seeking resources and support from outside the community.
spectives of all residents of the community, particularly vul-
nerable populations or members of underserved communities.
6.1.5 Step 1D: Identify and Engage Key Public and Private
Stakeholders—The CPTshall identify the necessary stakehold-
NOTE 4—Collectively, the membership of the CPT should have knowl-
edge of community plans and goals, buildings and infrastructure systems, ers to engage in the planning process to understand issues,
E3350 − 22
priorities, uses of the built environment, and identify where adoption has been achieved thus far, or the result of assess-
conflicts for resilience plans may occur. ments or exercises, to ensure the actions and outcomes de-
scribed in prior plans effectively address the CPT’s resilience
NOTE 6—Community engagement early in the planning process serves
planning objectives.
to document the community’s priorities and inform stakeholders about the
resilience planning process and seek their support. Outreach and engage- 6.2.1.2 If available, a community’s Crisis Management Plan
ment efforts should be timed and located for their intended audience,
(see NFPA 1600 Standard) addresses events where the hazard
while serving the strategic vision of the planning team. For example, the
has exceeded the design basis assumed in other plans. Data
planning team may need to engage stakeholders with domain expertise
developed for drills, exercises, and testing that support the
and community-specific interests—such as key industry and business
preparation of a Crisis Management Plan can inform the scope
leaders—based on their availability; other neighborhood interests because
of geography may require multiple, smaller, more focused outreach of the CPT’s resilience planning effort and the desired perfor-
events. The CPT should ensure early engagement with stakeholders that
mance goals of the community resilience plan (see Step 3B).
are responsible for the creation and maintenance of other plans that are
6.2.2 Step 2B: Characterize Community Members and Their
complementary to, or are in conflict with, the proposed resilience plan.
Needs—The CPT, in consultation with community members,
Some engagement may include messaging that communicates the mission
shall characterize the community’s social and physical needs,
and status of the community resilience plan through data and resource
sharing sites (for example, webpage with links), news media, and
including addressing the needs of vulnerable populations and
brochures placed in purposely targeted venues. As part of engaging a
underserved communities.
range of stakeholders, the CPT may wish to develop an awareness and
engagementplantoensurethatstakeholdersrepresentingallaspectsofthe NOTE 8—Community members and their needs should be identified
community, particularly vulnerable populations, are notified and included
through broader engagement activities undertaken in Step 1, which may
in the resilience planning process. This would ensure adequate commu- include engagement efforts beyond the scope of the CPT. Additional
nication with, and engagement of, the whole community and identify
engagement guidance is provided in Ref (16). Indicators are a data-driven
where certain stakeholders may require targeted outreach and accommo- approach to characterize the community, its population, and their present
dations (for example, childcare, transportation reimbursement, and com-
and future needs. This approach includes collecting information on
pensation for their time) to garner their participation in the planning
population demographics and locations, economic indicators, social
process. Community engagement is essential to developing a robust and vulnerabilities, and social capital. Demographic information can include
widely accepted resilience program and motivating members and organi-
age, health, education, income, employment, housing status, language,
zations to act. Engagement activities help develop broad-based commu- culturalbackground,andinformationaboutvulnerablepopulations.Short-
nity ownership, connect community members, develop trust, form
and long-term needs, including those caused by potential population
partnerships, solicit input or feedback on aspects of the community changes, should be considered.
resilience program, and gain involvement in community resilience im-
6.2.3 Step 2C: Characterize the Community’s Social Func-
provement activities. Principles for effective awareness and engagement
tions and Dependencies—The CPT, in consultation with com-
and tips for identifying target audiences can be found in Ref (13).
munity members, shall identify the social institutions that meet
6.1.6 If the CPT identifies plan conflicts that cannot be
communitymemberneedsanddependenciesamongandwithin
resolved, the CPT should consider discussion-based exercises.
social institutions.
The Homeland Security Exercise and Evaluation Program
providesresourcesthatcanaidinthedesign,development,and
NOTE 9—Common community social institutions include government
services, housing, health care, retail and manufacturing, education, finan-
implementation of this effort (14).
cial services, media, faith-based services, and cultural services. An
6.2 Step 2: Understand the Situation:
example of this association is represented in Annex A1. Information
6.2.1 Step 2A: Assess Existing Community Plans—The CPT gathered should include their functions, the particular needs they meet,
their dependence on buildings and infrastructure systems to deliver
shall collect and review existing community plans and relevant
services,anygapsininstitutionalandorganizationalcapacitythatcouldbe
regional, state, and federal plans to review their scope, goals,
improved by changes to the built environment, and the potential impacts
objectives, timeframe for implementation, and actions that
that building and infrastructure system disruptions could have on service
affect the built environment and resilience of the community.
delivery. Additional guidance is provided in Ref (17). Given that social
institutions are linked in many ways, a disruption in the built environment
NOTE 7—Existing planning documents are a rich source of information
that affects one social institution may have cascading effects on other
about the community’s priorities, emerging or long-term community
institutionsandsystems.Therefore,plannersshouldidentifydependencies
issues, existing condition of buildings and infrastructure systems, and
among and within social institutions when identifying what functions are
plans for future development. It is useful for the CPTto examine the plans
most critical during recovery. These dependencies may include, for
tounderstandwheretheymaybeinalignmentorconflictwithoneanother
example, how community social institutions rely on continuously func-
and consider these factors when setting goals in subsequent steps. When
tioning childcare and school services. The CPT may wish to describe the
reviewing plans, consider the relevance of the plan to enhance resilience
status of social functions of the community with the use of social and
within the jurisdiction. It can be helpful to standardize the process used to
economic indicators. Social and economic indicators can help community
review the policies within plans using a tool such as the Plan Integration
decision makers understand the implications of community decisions for
for Resilience Scorecard (15). In this tool, each plan is reviewed for
planning, siting, design, construction, operation, protection, maintenance,
applicable policies to the resilience planning process based on a “three-
repair, and restoration of the built environment. Social- and economic-
point” test including: evaluating the policy’s potential to affect (reduce or
based resilience indicators can be quantitative or descriptive. Refer to
increase) vulnerability to acute hazards or stressors; evaluating whether
Annex A1 for common social dimensions and associated social institu-
the policy includes at least one mappable, place-specific term; and
tions.
assessing if there is an associated policy tool (a form of government
6.2.4 Step 2D: Characterize the Built Environment:
intervention to achieve specific objective or outcome).
6.2.4.1 The CPT shall identify and characterize elements of
6.2.1.1 While existing planning documents provide a help-
the built environment.
ful baseline for the CPT, the analysis that led to the plan
content may not be available when conducting this resilience
NOTE 10—Elements of a community’s built environment may include
planning activity. The CPT should consider what level of plan buildings (including individual buildings and clusters), transportation
E3350 − 22
facilities (for example, roads, tunnels, rail, airports, maritime ports, and emergencyhousing,housing/neighborhoods,andcommunityrecovery,are
terminals or stations), energy systems (for example, electric power and the first level of organization used in the tables shown in Annex A2 and
fuel systems), communication systems (for example, internet, phone, Annex A3 to catalog the return to function times needed to support
cellular infrastructure, and emergency communication systems), potable community resilience stated in terms of days, weeks, and months. These
waterandwastewaterfacilities(forexample,reservoirs,pumpingstations, timeperiodscanbepairedwithdifferentlevelsoffunctionality,whichcan
transmission network, water treatment plants, and stormwater systems), be described as: (1) minimal levels of function to initiate recovery
and the dependencies between these various systems. Characterizing activities, (2) levels of function that are needed to resume operations at a
systems of the built environment includes identifying key attributes and reduced level, and (3) operational levels of function that represent normal
dependencies for existing buildings and infrastructure systems within the levels of service (11).This is described in further detail in Step 3B. In Fig.
community. Data and information needed to characterize the current 1, a visual representation of the relationship between time to recovery of
condition of the built environment may include the owner; location(s); function and levels of functionality for clusters is provided.The CPTmay
current use; age; construction types; zoning; maintenance and upgrades; wish to use alternate taxonomies that link clusters to community function,
description of current continuity measures for individual building and such as those found in Refs (18-21).
infrastructure systems; and applicable codes, standards, and regulations
6.2.5 Step 2E: Link Social Dimensions to the Built Environ-
both at the time of design and for current practice. Information about
ment:
dependencies and the effectiveness of existing controls between systems
will contribute to understanding how the built environment is expected to
6.2.5.1 For each cluster and infrastructure system, the CPT
perform if one of the systems stops providing services. Building and
shall identify the relationship between the functions and
public works departments and utilities may have much of the needed
services provided by the social institutions and the clusters on
information available through their geographic information system (GIS)
which they rely.
applications or other databases. GIS-based maps can help communities
understand whether their buildings or infrastructure systems are located in
NOTE 12—In Table A2.1, the linkage of services provided by each
higher-risk areas. For instance, many communities were established
social institution and clusters for each functional category is shown. This
before flood zones were mapped and, consequently, have buildings and
should be an iterative process in which each cluster is organized under a
infrastructure systems subject to flood damage. Other communities have
functional category that has a common return to function goal. During
buildings and infrastructure systems located near seismic faults and may
Step 2E, the CPT may wish to identify indicators that help describe the
not perform well if a significant seismic event occurs. Alternatively, a
relationship of buildings and infrastructure systems to community func-
period of rapid growth may have exceeded the infrastructure system
tions. Identifying these indicators may help the CPT address long-term
capacity or may have lacked adequate adoption or enforcement of local
communitygoals,allowmonitoringofprogress,identifycommunity-scale
codes and regulations.
vulnerabilities and strengths, communicate effectively with stakeholders,
6.2.4.2 The CPT shall identify clusters that provide com- and support monitoring of progress.
munity functions and services and assign each to one of four
6.2.5.2 For each social function, specific buildings and
functional categories: critical facilities, emergency housing,
systems should be identified and catalogued for future use in
housing/neighborhoods, and community recovery. In Fig. 1,an
Step 3 (specifying desired performance and determining the
example of the relationship between functional categories and
anticipated performance).
the clusters of which they are composed is provided.
6.3 Step 3: Determine Goals and Objectives:
NOTE 11—Clusters may include buildings that are geographically
6.3.1 Step 3A: Establish Long-Term Community Goals—
distributed throughout a community but provide a common function.
The CPT, in consultation with community members, shall
(Example clusters and associated community functions are described in
AnnexA2.) Buildings can be characterized individually or as elements of identify long-term community goals to guide the community
clusters.Whenidentifyingclusters,theCPTshouldconsiderdependencies
resilience planning and implementation process.
between the functions of buildings and supporting infrastructure systems.
These may be dependencies internal to a building, such as water system NOTE 13—Long-term community goals guide the resilience planning,
pipes and pumping systems, or external dependencies, such as flows of prioritization,resourceallocations,andimplementationprocess.Thegoals
material,energy,orpersonnel.Thefunctionalcategories,criticalfacilities, are statements that indicate the purpose of the planning effort as outcomes
FIG. 1 Functional Categories and Clusters Relationship Example
E3350 − 22
toimprovethecommunity.Objectives,ontheotherhand,arequantifiable,
6.3.3 Step 3C: Define Community Hazards and Levels—The
specific measurable statements of the goal that can be used to measure
CPT shall identify the community’s prevailing hazards and
progress. (See goal and objective definitions in Section 3.) Examples of
define a level of hazard intensity for routine, design, and
these types of goal statements include: (1) improve performance of an
extreme events.
infrastructure system to improve community resilience and functions, (2)
improve or add redundancy to a transportation route to reduce travel
NOTE 15—Natural hazards that communities commonly face include
impacts on residents and supply impacts on businesses, and (3) revitalize
wind events (for example, severe storms, hurricanes, and tornados),
an existing area through improvements that benefit the community. An
earthquakes and other geological phenomena (for example, tsunamis,
example of an objective statement is “80 % of small businesses have liquefaction, and landslides), flooding (for example, riverine, coastal
reopened within one week of a design-level flood, wind, or earthquake inundation, and flash flooding), fire (for example, urban and wildland),
event.” Long-term goals and associated objectives can be accompanied by snow, rain, and ice. Longer-term stressors, such as sea level rise and
drought, effects should also be considered. Communities may also need to
a set of indicators to allow monitoring of progress. Community resilience
address technological or human-caused hazards (for example, chemical
goalsshouldbeinformedbyassessmentsoftheexistingbuiltenvironment
contamination, cyber-attack, and associated impacts to infrastructure
and social and economic needs of the community. The indicators
systems). The CPT should look to the jurisdiction’s THIRA or HIRA for
described before can serve as the basis for such an assessment. This
a comprehensive list of applicable hazards and cascading effects (for
assessment may include reviewing prior planning documents to identify
example, hurricanes, flooding, and landslides). The CPT may wish to
goals and associated actions and geographic locations that the community
consider how prior or expected future hazard exposure or specific
has identified or implemented toward supporting specific goals. Methods
community system vulnerability could result in significant impacts or
for identifying goals and associated actions across plans can be found in
longer-term consequences. This can inform the selection of types and
Ref (14). Resilience goals should be incorporated into all community
levels of hazards used in this planning process. The design hazard level is
planning documents (for example, comprehensive or general plan, eco-
a reference that is used in codes and standards for buildings, bridges, and
nomic development plan, and hazard mitigation plan). In addition to
other physical infrastructure systems. Design-level events specified in
consulting existing community plans, goals may be identified through a
codesandstandardsgenerallyprovideinformationforasinglehazard,and
visioning process. The development of a shared community vision
the CPT may need to consider how multiple hazards can concurrently be
requires input from the entire community; the process and resulting vision
experienced (for example, hurricane riverine flooding, coastal inundation,
should inspire individuals, families, businesses, and organizations to see
and winds). To support community resilience, clusters and infrastructure
themselves included in the vision. Developing a shared vision is a
systems should remain sufficiently functional to support the response and
long-term process, so the community should develop the best vision
recovery of the community as defined by the performance goals.Achieve-
possible given its current situation, needs, constraints, and resources. The mentofdesiredperformancelevelsmayrequireassessmentthatrevealthe
vision may need periodic updates to make sure that it represents the need for additional design criteria beyond those in codes and standards,
especially for buildings and infrastructure systems that support housing
community’s current conditions. The visioning process highlights oppor-
and neighborhoods. At a routine hazard level, resilient buildings and
tunities for anticipating risk; minimizing impact; and fostering survival,
infrastructure systems should remain functional and not experience any
adaptation,evolution,andgrowth.Thevisioningprocessisanopportunity
significant damage that would disrupt social functions in the community.
to address and capture equity, economic, environmental, cultural, and
The extreme hazard level exceeds the design level for the built environ-
other community values. See Ref (13) for information on visioning.
ment and has a lower probability of occurrence than the design level.
Critical facilities and infrastructure systems should remain partially
6.3.2 Step 3B: Determine Desired Performance Goals for
functional at this level with the ability to restore functionality when
Buildings and Infrastructure Systems—The CPT, in consulta-
needed to support the response and recovery of the community as defined
tion with community members, shall specify the desired
by the performance levels. Other buildings and infrastructure systems
performance goals for clusters and infrastructure systems in
should perform at a level that protects the life safety of occupants, though
they may need to be rescued. See Ref (11) for more information. In
terms of time to recovery of function for specified restoration
addition to considering hazards that result in acute shocks to community
levels of functionality.
systems and associated buildings and infrastructure systems, the CPT
should consider how stressors may affect the level of hazard that may be
NOTE 14—A desired performance goal refers to an acceptable level of
experienced by a community and its systems. Stressors generally are
damage associated with a particular hazard or multiple-hazard event and
experienced over longer time periods than acute hazard shocks and can
a corresponding time to restore functionality of a cluster or infrastructure
affect how certain systems function under hazard loading, under normal
system. Restoration levels refer to the functionality of a cluster or
circumstances, or may result in differential levels of performance/function
infrastructuresystemthathasbeenpartiallyorfullyrestored.Whensetting
for certain populations or locations in a community (for example, bridge
resilience goals, restoration leve
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