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1 ________________________________________________________________________ Introduction Rigorous and coordinated disaster preparedness planning is often thwarted because of a lack of shared understanding and agreement on common goals as well as situational awareness among community leaders who link economic, cultural, social, and political sectors constituting the strength of the nation’s civic infrastructure. Although a majority of the nation’s critical infrastructure is owned and operated by the private sector, there has been limited collaborative engagement between the public and private sectors for the purpose of improving community-level resilience and disaster preparedness. The public sector often does not capitalize on the experience and expertise resident in the nation’s private sector. Since the terrorist attacks on the United States on September 11, 2001 (9/11), numerous federal policy documents have stressed that the private sector shares equal responsibility with government for the security of the nation’s critical infrastructure and key assets. In 2008, the National Response Framework1 (NRF) made explicit that private sector entities have a role in the safety, security, and resilience of communities in which they operate. Implicit in this concept is an assumption that the degree of security and resilience attained in a community will be a function of the level of coordination and involvement between local government, response agencies, and the private sector. Indeed, the NRF states that “during an incident, key private sector business partners should be involved in the local crisis decision-making process or at least have a direct link to key local emergency managers. Communities cannot effectively respond to, or recover from, incidents without strong cooperative relations with the private sector” (U.S. Department of Homeland Security, 2008). The Human Factors Division of the Department of Homeland Security (DHS) Science and Technology Directorate applies the social and behavioral sciences to support the preparedness, response, and recovery of communities affected by catastrophic events. The goal of the division is to advance homeland security planning and technology development through consideration of human factors. DHS contracted with the National 1 See www.fema.gov/emergency/nrf/ (accessed January 15, 2010). Other examples that address the role of the private sector include the National Incident Management System, available at www.fema.gov/emergency/nims/, and the National Infrastructure Protection Plan, available at www.dhs.gov/files/programs/editorial_0827.shtm (accessed January 15, 2010). 13

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14 PRIVATE-PUBLIC SECTOR COLLABORATION FOR COMMUNITY DISASTER RESILIENCE Research Council (NRC) to assess the current state of the art in private-public sector collaboration dedicated to strengthening community resilience, identify gaps in knowledge and practice, an recommend research areas that could be targeted for research investment by the DHS Human Factors Division. To address this charge, NRC formed an ad hoc committee under the auspices of the Geographical Sciences Committee of the Board on Earth Sciences and Resources. The committee’s statement of task is provided in Box 1-1. Part of its charge was to plan and organize a 2-day data-gathering workshop, conducted September 9-10, 2009 in Washington, D.C. The workshop emphasized expert panel presentations on topics related to the committee objectives along with interactive plenary and small group sessions (see agenda, Box 1-2). Panels focused on why collaborative approaches to resilience planning should become a national priority, characteristics of sustainable state- and local-level collaborative models, and the roles of state and local government in building community resilience. Presentations addressed the DHS voluntary private sector preparedness accreditation and certificate program, and the critical importance of community and cross-sector partnerships. BOX 1-1 Statement of Task An ad hoc committee will assess the current state of the art in private-public sector partnerships dedicated to strengthening community resilience, identify gaps in knowledge and practice, and recommend research areas that could be targeted for research investment by the DHS Human Factors Division. In its final report, the committee will: • Identify the components of a framework for private-public sector partnerships dedicated to strengthening community resilience; • Develop a set of guidelines for private sector engagement in the development of a framework for enhancing community resilience; and • Examine options and successful models of existing collaborations ranging from centralized to decentralized approaches, and make recommendations for a structure that could further the goal of collaboration between the private and public sectors for the objective of enhancing community resilience. The study will be organized around a public workshop that explores issues including the following through invited presentations and facilitated discussions among invited participants: • Current efforts at the regional, state and community levels to develop private-public partnerships for the purpose of developing and enhancing community preparedness and resilience; • Motivators, inhibitors, advantages and liabilities for private sector engagement in private-public sector cooperation in planning, resource allocation and preparedness for natural and man-made hazards; • Distinctions in perceptions or motivations between large national-level corporations and the small business community that might influence the formation of private-public sector partnerships, particularly in smaller or rural communities; • Gaps in current knowledge and practice in private-public sector partnerships that inhibit the ability to develop collaboration across sectors; • Research areas that could bridge these gaps; and • Design, development and implementation of collaborative endeavors for the purpose of strengthening the resilience of communities to natural and man-made hazards.

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INTRODUCTION 15 BOX 1-2 Workshop on Private-Public Sector Collaboration to Enhance Community Disaster Resilience September 9-10, 2009 AGENDA Wednesday, September 9, 2009 8:30 a.m. Welcome and Introductory Remarks William Hooke, Chair, Committee on Private-Public Sector Collaboration to Enhance Community Disaster Resilience, American Meteorological Society PLENARY SESSION PANEL 1: WHY A COLLABORATIVE APPROACH TO COMMUNITY DISASTER RESILIENCE MUST BECOME A NATIONAL PRIORITY 8:45 Reactions and Reflections Moderator: Randolph Rowel, Morgan State University Jason McNamara, Chief of Staff, Federal Emergency Management Agency Mary Wong, President, Office Depot Foundation Jim Mullen, Director, Washington State Emergency Management Division 9:30 Discussion PANEL 2: BUILDING COMMUNITY DISASTER RESILIENCE THROUGH PRIVATE-PUBLIC COLLABORATION:WHAT DOES IT TAKE TO CREATE AND SUSTAIN EFFECTIVE CROSS-SECTOR PARTNERSHIPS AT THE STATE AND LOCAL LEVELS? 10:30 Best Practices for Establishing Sustainable Partnerships Moderator: Inés Pearce, Pearce Global Partners, Inc. Brit Weber, Program Director, Critical Incident Protocol-Community Facilitation, Michigan State University Jami Haberl, Executive Director, Safeguard Iowa Partnership Maria Vorel, National Cadre Manager, Mitigation Disaster Workforce and Head, Regional and Disaster Support Branch, Mitigation Directorate, Federal Emergency Management Agency 11:15 Discussion 12:00 p.m. Presentation: The Critical Importance of Community and Cross-Sector Partnerships Arif Alikhan, Assistant Secretary for Policy Development, Office of Policy Development, Department of Homeland Security PANEL 3: MAKING THE BUSINESS CASE: MOBILIZING BUSINESS TO HELP ENSURE COMMUNITY AND NATIONAL DISASTER RESILIENCE 1:00 Sustaining Business Involvement in Business-Government Collaboration Moderator: Lynne Kidder, Business Executives for National Security Mickie Valente, President, Valente Strategic Advisers, LLC Stephen Jordan, Executive Director, Business Civic Leadership Center, U.S. Chamber of Commerce Gene Matthews, Senior Fellow, North Carolina Institute for Public Health, University of North Carolina 1:45 Discussion

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16 PRIVATE-PUBLIC SECTOR COLLABORATION FOR COMMUNITY DISASTER RESILIENCE BOX 1-2 (continued) CONCURRENT SESSIONS 2:45 Factors that facilitate or provide barriers to effective private-public partnerships Workshop participants to break into four groups (details provided in appropriate section of the briefing materials). Each group will discuss both topics. Topic 1 Facilitating Factors Topic 2 Barriers PLENARY SESSION 4:30 Summary and Discussion of Concurrent Sessions 5:30 Adjourn Thursday, September 10, 2009 PLENARY SESSION PANEL 4: ROLES AND PERSPECTIVES OF STATE AND LOCAL GOVERNMENT IN BUILDING COMMUNITY RESILIENCE 8:30 a.m. Fitting in a National Framework Moderator: Michael Lesnick, Meridian Institute Governor Scott McCallum (Wisconsin, 2001-2003), President and CEO, The Aidmatrix Foundation, Inc. Ron Carlee, County Manager, Arlington County, Virginia Leslie Luke, Group Program Manager, County of San Diego, Office of Emergency Services 9:15 Discussion 10:15 The DHS Voluntary Private Sector Preparedness Accreditation and Certification Program Emily Walker, Consultant and Member, National Commission on Terrorist Attacks Upon the United States 11:00 Discussion 12:30 p.m. Building Sustainable Partnerships Topic 3 Sustainability Topic 4 Resilience-Building Efforts and Widespread Implementation 3:15 Overarching Workshop Themes: Presentation Brent Woodworth, President and CEO, Los Angeles Emergency Preparedness Foundation 3:40 Discussion: Game Changing Ideas and the Path Forward 4:20 Closing Remarks William Hooke, Chair 4:30 Adjourn

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INTRODUCTION 17 WORKSHOP PLANNING The Study and Workshop Planning Committee The study committee, who also served as the workshop planning committee, consists of 10 members with expertise in the areas of natural disasters and science policy, private- public partnerships, social science and disaster preparedness, community resilience, crisis and risk management for disasters, disaster risk reduction policy, private sector disaster response and resilience, disaster planning and geographical information systems, vulnerability and resilience of underserved populations, and emergency management. Appendix A provides biographies of the planning committee members. The committee met once prior to the workshop and held several teleconferences to discuss the statement of task, identify presumptive principles, identify workshop participants, and develop a workshop agenda. Workshop Presumptive Principles The committee began preparations for the workshop by developing the presumptive principles that would guide their selection of workshop topics, speakers, and participants. Chief of those principles are that • Community disaster resilience is essential to sustainable economic vitality and community quality of life; • Collaboration is essential to build community disaster resilience; and • Private-public collaboration implies engagement between governmental entities; diverse industry sectors; nongovernmental organizations including faith-based, voluntary, and citizen organizations; and other elements of the community that comprise the full fabric of the community. Implicit in the discussion of building resilience in a community is that all sectors of the community can and should participate in all phases of a disaster—from preparedness and mitigation to long-term recovery. To further inform and clarify the assumptions in planning the workshop, the committee drew upon Etienne Wenger’s definition of community as a group of people with common relevant interests (Wenger, 1999). Further, the committee accepted that a person’s sense of community includes a “sense of place.” Given these presumptions, the committee sought to engage with workshop participants to understand more about the roles and needs of community actors with respect to resilience building and disaster preparedness planning and recovery. They wanted to understand how a community benefits from broad, resilience-focused collaboration as well as the requirements to support this type of collaboration:

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18 PRIVATE-PUBLIC SECTOR COLLABORATION FOR COMMUNITY DISASTER RESILIENCE • As a national priority at the local, state, and federal levels; • By large and small organizations within the private sector; • By nonprofit, voluntary, and faith-based organizations; and • By individuals and families. Information gathered at this workshop was intended to inform the committee’s recommendations that will appear in its final report. What Is Resilience? The term “resilience” is encountered in many disciplines. Each discipline may emphasize different elements of resilience, but all definitions speak in a general way to the continued ability of a person, group, or system to function during and after stress. The committee did not want to limit discussion by imposing an arbitrary definition for resilience, but provided a definition it found helpful in scoping their own committee work and which they believed would be relevant for orienting workshop discussions. The committee used a definition of resilience put forward by Norris and others (2008) that is becoming a standard in many academic circles. Norris and others describe resilience as the ability of groups (such as communities or cities) to withstand shock such as disaster. Because communities constantly change, the ability to withstand disaster constantly changes. Building and maintaining resilience depends on the ability of a group to monitor changes and appropriately modify its plans to deal with adversity. A well- functioning community composed of healthy members with a high quality of life is more likely to possess the ability to adapt to adversity. Building community disaster resilience involves fostering the characteristics and abilities within a community that allow it to continue to function during and following a disaster. What Is Collaboration? The term “collaboration” may also be defined in different ways. Definitions encountered by the committee included mention of mutually beneficial arrangements of roles and relationships in which all parties share responsibilities and coordinate resources toward the pursuit of common objectives (for example, Regan, 2009). The intensity of engagement of individuals and organizations within collaboration can vary from simple networking to one of contractual obligation. Identifying the elements of effective collaborative efforts was a purpose of the workshop and the larger study effort. The term “collaboration” is used somewhat interchangeably with the term “partnership” in literature and discussion. The committee made a conscious decision to use the term “collaboration” in its discussions because “partnership” often connotes, in some disciplines, legally binding agreements between parties.

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INTRODUCTION 19 Structure of the Workshop The workshop planning committee organized the workshop in order to gather information on the qualities of successful and enduring collaboration, and to identify elements of the cultural environment necessary for such collaborations to form and thrive. The workshop agenda was specifically planned to avoid the emotion that often accompanies discussion of failures af previous disaster response in order to focus objective discussion on issues of collaboration. The committee organized the workshop to encourage discussion on three major themes: 1. Identifying the facilitating factors and barriers to the formation of private- public collaboration for the purpose of enhancing community resilience; 2. Identifying the characteristics of effective, robust, and sustainable private- public collaboration; and 3. Encouraging widespread development of private-public collaboration for the purpose of enhancing community resilience. The committee invited researchers; representatives from private and nonprofit organizations; emergency management practitioners and leaders from local, state, and federal governments; community organizers; and private-public sector partnership sponsors, facilitators, and members. Researchers and community leaders from different regions of the country with varying disaster experiences were invited so that a broad range of issues and perspectives could be considered. Approximately 60 people participated in the workshop. Participants are listed in Appendix B of this report. The workshop included four panel discussions and two keynote presentations. Additional discussions were held in both larger plenary and smaller breakout sessions. A concluding plenary session focused on identifying overarching issues. Participants identified areas of research that could provide the information needed to build a culture of resilience and identify the path toward more extensive collaboration throughout the nation. WORKSHOP REPORT ORGANIZATION This workshop report is the first of two reports to be disseminated by the committee. This report is the committee’s summary of what transpired at the workshop, but does not contain any consensus conclusions or recommendations. Committee recommendations will appear in the committee’s final report. Further, this workshop report reflects only those topics emphasized during workshop presentations and discussions and is not intended as a comprehensive summary of all relevant topics and issues related to community resilience and collaboration. The committee will have assembled information in addition to what is presented in this report to inform its conclusions and recommendations. Although the committee is responsible for the overall quality and accuracy of this report as a record of what transpired at the workshop, the documented

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20 PRIVATE-PUBLIC SECTOR COLLABORATION FOR COMMUNITY DISASTER RESILIENCE observations or views contained in the workshop report are those of individual participants or groups of participants and do not necessarily represent the consensus of the workshop participants or committee, or of the sponsor. This workshop summary is organized into four chapters. This chapter introduces the reader to the purpose and organization of the workshop and report. Chapter 2 explores the components of successful collaboration from the points of view of the private and public sectors and from different levels of government. Chapter 3 explores challenges and barriers to successful and sustainable collaboration. Chapter 4 describes potential research themes and mechanisms identified by workshop participants that could inform or enhance the ability of communities to develop private-public sector collaborations for enhancing community resilience.