1、Designation: E3130 18Standard Guide forDeveloping Cost-Effective Community Resilience Strategies1This standard is issued under the fixed designation E3130; the number immediately following the designation indicates the year oforiginal adoption or, in the case of revision, the year of last revision.
2、A number in parentheses indicates the year of last reapproval. Asuperscript epsilon () indicates an editorial change since the last revision or reapproval.INTRODUCTIONThere is a need for best practices for resilience planning that address the increasing value-at-risk ofU.S. infrastructure and commun
3、ities. Communities, as a system, are particularly vulnerable to theeffects of natural, technological, and human-caused disruptive events. There are best practices forcommunity resilience assessment methodologies; however, there are gaps that remain in thecharacterization of robust, benefit-cost meas
4、ures of community resilience, especially in the planningprocess. In many cases, resilience remains in a planning silo and is considered separately bycommunities from economic growth or disaster risk planning. Efforts to increase resilience capacitiesare best realized when resilience is considered as
5、 an attribute in general community planning efforts,especially in planning and implementing building and infrastructure projects. This guide developseconomic decision guidance for evaluation of investment strategies designed to improve communityresilience through strengthening the ability to respond
6、, withstand, and recover from disruptive events.It is designed to support the principles and attributes of resilient communities upon which enhancedresilience may be developed, evaluated, and implemented.1. Scope1.1 This guide describes a generic economic methodologyfor evaluating investment decisio
7、ns aimed to improve theability of communities to adapt to, withstand, and quicklyrecover from, disruptive events. The methodology describes aframework for developing cost-effective community resiliencestrategies for new and existing constructed facilitiesbuildings, industrial facilities, and other c
8、ritical infrastructure.This guide provides owners and managers of constructedfacilities, architects, engineers, constructors, other providers ofprofessional services for constructed facilities, and researchersand analysts with an approach for planning and comparingresilience strategies.1.2 This guid
9、e frames the economic decision process byidentifying and comparing the relevant present and futurestreams of costs and benefits to a communitythe latterrealized through cost savings and damage loss avoidanceassociated with new capital investment into resilience to thosegenerated by the status-quo.1.
10、3 This guide provides a means to increase the capacity ofcommunities to objectively and effectively compare and con-trast capital investment projects through consideration ofbenefits and costs while maintaining an awareness of systemresilience. Topics related to non-market values and uncertaintyare
11、also explored.1.4 This standard does not purport to address all of thesafety concerns, if any, associated with its use. It is theresponsibility of the user of this standard to establish appro-priate safety, health, and environmental practices and deter-mine the applicability of regulatory limitation
12、s prior to use.1.5 This international standard was developed in accor-dance with internationally recognized principles on standard-ization established in the Decision on Principles for theDevelopment of International Standards, Guides and Recom-mendations issued by the World Trade Organization Techn
13、icalBarriers to Trade (TBT) Committee.2. Referenced Documents2.1 ASTM Standards:2E631 Terminology of Building ConstructionsE833 Terminology of Building EconomicsE917 Practice for Measuring Life-Cycle Costs of Buildingsand Building Systems1This guide is under the jurisdiction of ASTM Committee E06 on
14、 Performanceof Buildings and is the direct responsibility of Subcommittee E06.81 on BuildingEconomics.Current edition approved April 1, 2018. Published May 2018. DOI: 10.1520/E3130-18.2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm
15、.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United StatesThis international standard was developed in accordance with int
16、ernationally recognized principles on standardization established in the Decision on Principles for theDevelopment of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.1E964 Practice for Measuring Benefit-to-Cost an
17、d Savings-to-Investment Ratios for Buildings and Building SystemsE1057 Practice for Measuring Internal Rate of Return andAdjusted Internal Rate of Return for Investments inBuildings and Building SystemsE1074 Practice for Measuring Net Benefits and Net Savingsfor Investments in Buildings and Building
18、 SystemsE1121 Practice for Measuring Payback for Investments inBuildings and Building SystemsE1185 Guide for Selecting Economic Methods for Evaluat-ing Investments in Buildings and Building SystemsE1369 Guide for Selecting Techniques for Treating Uncer-tainty and Risk in the Economic Evaluation of B
19、uildingsand Building SystemsE1699 Practice for Performing Value Engineering (VE)/Value Analysis (VA) of Projects, Products and ProcessesE1765 Practice for Applying Analytical Hierarchy Process(AHP) to Multiattribute Decision Analysis of InvestmentsRelated to Projects, Products, and ProcessesE2204 Gu
20、ide for Summarizing the Economic Impacts ofBuilding-Related ProjectsE2506 Guide for Developing a Cost-Effective Risk Mitiga-tion Plan for New and Existing Constructed Facilities3. Terminology3.1 DefinitionsFor definitions of general terms related tobuilding construction used in this guide, refer to
21、TerminologyE631; and for general terms related to building economics,refer to Terminology E833.3.1.1 community resilience, nthe ability of a communityto anticipate, prepare for, and adapt to changing conditions, andwithstand, respond to, and recover rapidly from disruptions.4. Summary of Guide4.1 Th
22、is guide presents a generic economic methodologyfor evaluating investment decisions aimed to improve theability of communities to adapt to, withstand, and quicklyrecover from disruptive events. The generic framework con-sists of seven interrelated stages. The stages are: (1) selectcandidate strategi
23、es; (2) define investment objectives andscope; (3) identify benefits and costs; (4) identify non-market(non-economic) considerations; (5) define analysis parameters;(6) perform economic evaluation; and (7) rank strategies. Thegeneric framework builds on an approach presented in NISTSpecial Publicati
24、ons 1190 (1) and 1197 (2).4.2 This guide identifies related ASTM standards and de-scribes why measuring uncertainty and risk is critical in thedevelopment of cost-effective protective strategies for con-structed facilities.5. Significance and Use5.1 Investments in projects supporting community resil
25、-ience are characterized by uncertainties regarding the fre-quency and magnitude of natural, technological, and human-caused disruptions.Accounting for these low-probability, high-consequence events challenge traditional economic evaluationmethods.5.2 The traditional approach to evaluating the benef
26、it-costof investment decisions routinely focus on measures directlytied to loss avoidance.5.3 Following this guide when performing an economicevaluation assures the user that relevant economic information,including information regarding uncertainties and indirectinputs, is considered for capital pro
27、ject facing possible disrup-tions from natural, technological, and human-caused hazards.5.4 Use this guide in the planning phases of communityresilience plan development process. Consideration of riskmitigation choices early in the planning process allows bothgreater flexibility in addressing specif
28、ic hazards and lowercosts associated with their implementation.5.5 Use this guide to integrate community resilience planswith economic development, zoning, hazard mitigation, andother community planning activities that affect buildings,public works, and infrastructure systems.5.6 Use this guide to i
29、dentify all relevant inputsthat is,costs and benefits (savings)associated with construction,implementation, and use of the capital asset, over the lifetimeof the asset. Relevant inputs include direct, indirect andexternalities, and non-market values.5.7 Use this guide for economic evaluations based
30、onPractices E917 (life-cycle costs), E964 (benefit-to-cost andsavings-to-investment ratios), E1057 (internal rate of returnand adjusted internal rate of return), E1074 (net benefits andnet savings), E1121 (payback), E1699 (value engineering), andE1765 (analytical hierarchy process for multi-attribut
31、e decisionanalysis), and Guide E1369 (treatment of uncertainty).5.8 Use this guide in conjunction with Guide E2204 tosummarize the results of economic evaluations involvingnatural, technological, and human-caused hazards.5.9 This guide generalizes Guide E2506 (cost-effective riskmitigation plan for
32、new and existing constructed facilities) byevaluating investments into capital assets for a community.6. Procedures6.1 The recommended steps for economically evaluatingstrategies for community resilience are as follows:6.1.1 Select Candidate Strategies,6.1.2 Define Investment Objectives and Scope,6.
33、1.3 Identify Benefits and Costs,6.1.4 Identify Non-Market Considerations,6.1.5 Define Analysis Parameters,6.1.6 Perform Economic Evaluation, and6.1.7 Rank Strategies.7. Select Candidate Strategies7.1 Form a Collaborative Planning Team:7.1.1 Identify resilience leadership and team members. Thisshould
34、 include representatives from local government; privateowners and operators of buildings and infrastructure systems;developers, builders, and contractors; local business and indus-try leaders; representatives of social organizations and anyother significant community groups.E3130 1827.2 Understand t
35、he Situation:7.2.1 Characterize the existing built environment. Identifykey attributes and dependencies for buildings and infrastruc-ture systems within the community. Characteristics that willhelp determine the current condition of the built environmentinclude the owner, location(s), current use, a
36、ge, constructiontypes, zoning, maintenance and upgrades, and applicablecodes, standards, and regulations, both at the time of designand for current performance.7.2.2 Characterize the social dimensions. Identify socialneeds and functions, including those that are supported by thebuilt environment.7.2
37、.3 Identify dependencies between the built environmentand the social dimensions.7.3 Determine Community Goals and Objectives:7.3.1 Establish long-term community goals and objectivesfor the built environment based on the input from allstakeholders, including local government offices for commu-nity de
38、velopment, emergency response, social needs, publicworks, and buildings; private owners and operators of build-ings and infrastructure systems; developers, builders, andcontractors; local business and industry representatives; andsocial and economic organizations.7.3.2 Determine performance goals. E
39、stablish criteria forthe desired performance of the built environment, and identifygaps between desired and anticipated performance levels.7.3.3 Identify community hazards. Each community has aset of prevalent hazards that should be considered in resilienceplanning. Determine the likelihood and cons
40、equence of thosehazards.7.4 Plan Development:7.4.1 Match performance goals for the built environmentwith the social needs of the community and consider thefunctions that buildings and infrastructure systems need toprovide, as well as any dependencies between systems orcascading effects caused by fai
41、lures.7.4.2 Identify strategies, or combinations of strategies, for acomparison of desired and anticipated performance based onidentifying gaps in performance that will impact communityresilience and therefore need to be integrated into the alterna-tive community resilience investment strategies. A
42、strategy isan approach or method to enhance community resilience. Astrategy may be evaluated individually or, jointly, in combina-tions with other strategies (as a portfolio). A candidate strategy(or a combination of strategies) can be evaluated against thestatus quo (do nothing), against others, or
43、 both. Note, however,rank reversals may occur when strategies are evaluated jointly(combined).7.4.3 Consider combinations of mitigation, disasterpreparedness, design and construction, emergency response,and pre-event recovery planning strategies. Inclusion of de-sired performance goals versus antici
44、pated (actual) perfor-mance of the built environment to hazard events, and expectedrecovery sequences, time, and costs provides a complete basisfor communities to understand gaps in performance, prioritizeimprovements through the use of economic evaluationtechniques, and allocate resources.8. Define
45、 Investment Objectives and Scope8.1 Define Economic Objective Function:8.1.1 Establish those factors that are important to considerwhen selecting between strategies, and take those factors intoaccount when determining what candidate strategies to evalu-ate and in deciding on strategies for implement
46、ation.8.2 Define Planning Horizon:8.2.1 Select the period over which strategies are to becompared in terms of costs and benefits. The combination ofthe length of the planning horizon and the discount rate dictatethe relative importance of future benefits and costs.8.3 Identify Constraints:8.3.1 Iden
47、tify those political, legal, financial, and otherconsiderations that might serve as important limits on what acommunity can implement. There are numerous factors thatinfluence decisions that have an impact on the well-being of acommunity, and some may be difficult to quantify.8.3.2 Discard from cons
48、ideration alternative strategies thatviolate the identified constraints.9. Identify Benefits and Costs9.1 Identify Costs and Losses:9.1.1 Identify costs of implementing a mitigation strategythat may occur one time or over the life-cycle of the project.Account for all costs, including negative effect
49、s, of implement-ing a resilience action. This specifically includes the initialcosts, operation and maintenance costs, end-of-life costs, andreplacement costs. Use Practice E1699 for guidance on how toemploy value engineering concepts to help identify and esti-mate the costs of implementing a mitigation strategy.9.2 Identify Savings and Benefits:9.2.1 Identify benefits, including those primarily determinedto improve the performance during a disruptive event com-pared to the status quo, that is, those obtained directly orindirectly by the implementation of the new resilience str
