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Building Community Disaster Resilience Through Private–Public Collaboration Building Community Disaster Resilience Through Private–Public Collaboration Committee on Private–Public Sector Collaboration to Enhance Community Disaster Resilience Geographical Sciences Committee Board on Earth Sciences and Resources Division on Earth and Life Studies NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES THE NATIONAL ACADEMIES PRESS Washington, D.C. www.nap.edu
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Building Community Disaster Resilience Through Private–Public Collaboration THE NATIONAL ACADEMIES PRESS 500 Fifth Street, N.W. Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. This study was supported by the U.S. Department of Homeland Security under Award No. HSHQDC-08-C-00176. Any opinions, findings, and conclusions or recommendations contained in this document are those of the authors and do not necessarily reflect the views of the agencies that provided support for the project. Mention of trade names, commercial products, or organizations does not constitute their endorsement by the sponsoring agencies. International Standard Book Number-13: 978-0-309-16263-0 International Standard Book Number-10: 0-309-16263-7 Cover: Cover design by Francesca Moghari Additional copies of this report are available from the National Academies Press, 500 Fifth Street, N.W., Lockbox 285, Washington, DC 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet http://www.nap.edu. Copyright 2011 by the National Academy of Sciences. All rights reserved. Printed in the United States of America.
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Building Community Disaster Resilience Through Private–Public Collaboration THE NATIONAL ACADEMIES Advisers to the Nation on Science, Engineering, and Medicine The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. www.national-academies.org
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Building Community Disaster Resilience Through Private–Public Collaboration COMMITTEE ON PRIVATE–PUBLIC SECTOR COLLABORATION TO ENHANCE COMMUNITY DISASTER RESILIENCE WILLIAM H. HOOKE, Chair, American Meteorological Society, Washington, DC ARRIETTA CHAKOS, Urban Resilience Policy, Berkeley, California ANN-MARGARET ESNARD, Florida Atlantic University, Fort Lauderdale JOHN R. HARRALD, Virginia Polytechnic Institute and State University, Alexandria LYNNE KIDDER, Center for Excellence in Disaster Management and Humanitarian Assistance, Washington, DC MICHAEL T. LESNICK, Meridian Institute, Washington, DC INÉS PEARCE, Pearce Global Partners, Inc., Los Angeles, California RANDOLPH H. ROWEL, Morgan State University, Baltimore, Maryland KATHLEEN J. TIERNEY, University of Colorado, Boulder BRENT H. WOODWORTH, Los Angeles Emergency Preparedness Foundation, California National Research Council Staff SAMMANTHA L. MAGSINO, Study Director (from July 2009) CAETLIN M. OFIESH, Study Director (until July 2009) COURTNEY R. GIBBS, Program Associate JASON R. ORTEGO, Research Associate (from November 2009) NICHOLAS D. ROGERS, Research Associate (until November 2009) TONYA E. FONG YEE, Senior Program Assistant (until September 2010)
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Building Community Disaster Resilience Through Private–Public Collaboration GEOGRAPHICAL SCIENCES COMMITTEE WILLIAM L. GRAF, Chair, University of South Carolina, Columbia WILLIAM E. EASTERLING III, Pennsylvania State University, University Park CAROL P. HARDEN, University of Tennessee, Knoxville JOHN A. KELMELIS, Pennsylvania State University, University Park AMY L. LUERS, Google, Inc., Mountain View, California GLEN M. MACDONALD, University of California at Los Angeles PATRICIA MCDOWELL, University of Oregon, Eugene SUSANNE C. MOSER, Susanne Moser Research & Consulting, Santa Cruz, California THOMAS M. PARRIS, ISciences, LLC, Burlington, Vermont DAVID R. RAIN, George Washington University, Washington, DC KAREN C. SETO, Yale University, New Haven National Research Council Staff MARK D. LANGE, Associate Program Officer JASON R. ORTEGO, Research Associate CHANDA IJAMES, Program Assistant
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Building Community Disaster Resilience Through Private–Public Collaboration BOARD ON EARTH SCIENCES AND RESOURCES CORALE L. BRIERLEY, Chair, Brierley Consultancy, LLC, Highlands Ranch, Colorado KEITH C. CLARKE, University of California, Santa Barbara DAVID J. COWEN, University of South Carolina, Columbia WILLIAM E. DIETRICH, University of California, Berkeley ROGER M. DOWNS, Pennsylvania State University, University Park JEFF DOZIER, University of California, Santa Barbara KATHERINE H. FREEMAN, Pennsylvania State University, University Park WILLIAM L. GRAF, University of South Carolina, Columbia RUSSELL J. HEMLEY, Carnegie Institution of Washington, Washington, DC MURRAY W. HITZMAN, Colorado School of Mines, Golden EDWARD KAVAZANJIAN, JR., Arizona State University, Tempe LOUISE H. KELLOGG, University of California, Davis ROBERT B. MCMASTER, University of Minnesota, Minneapolis CLAUDIA INÉS MORA, Los Alamos National Laboratory, New Mexico BRIJ M. MOUDGIL, University of Florida, Gainesville CLAYTON R. NICHOLS, Department of Energy, Idaho Operations Office (Retired), Ocean Park, Washington JOAQUIN RUIZ, University of Arizona, Tucson PETER M. SHEARER, University of California, San Diego REGINAL SPILLER, Frontera Resources Corporation (Retired), Houston, Texas RUSSELL E. STANDS-OVER-BULL, Anadarko Petroleum Corporation, Denver, Colorado TERRY C. WALLACE, JR., Los Alamos National Laboratory, New Mexico HERMAN B. ZIMMERMAN, National Science Foundation (Retired), Portland, Oregon National Research Council Staff ANTHONY R. DE SOUZA, Director ELIZABETH A. EIDE, Senior Program Officer DAVID A. FEARY, Senior Program Officer ANNE M. LINN, Senior Program Officer SAMMANTHA L. MAGSINO, Program Officer MARK D. LANGE, Associate Program Officer
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Building Community Disaster Resilience Through Private–Public Collaboration LEA A. SHANLEY, Postdoctoral Fellow JENNIFER T. ESTEP, Financial and Administrative Associate NICHOLAS D. ROGERS, Financial and Research Associate COURTNEY R. GIBBS, Program Associate JASON R. ORTEGO, Research Associate ERIC J. EDKIN, Senior Program Assistant CHANDA IJAMES, Program Assistant
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Building Community Disaster Resilience Through Private–Public Collaboration This report is dedicated to the memory of Frank Reddish, a long-time leader in natural disaster and recovery. Through years of committed and focused effort, Mr. Reddish made Miami-Dade County and the state of Florida a safer and more resilient place to live. His work drew attention and had impact both locally and nationwide. He contributed powerfully to this committee’s information-gathering workshop, held September 9–10, 2009, and his work will continue to have a positive impact for years to come.
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Building Community Disaster Resilience Through Private–Public Collaboration Preface Recent national and international experience with natural and human-caused disasters highlights several realities. First, the planet on which we live—the planet on which we aspire to forge careers, establish marriages and families, grow economies, and seek peace and security—provides frequent and often unpredictable extreme events. Severe heat waves, cold snaps, and cycles of flood and drought determine what we call climate. Movement in the Earth’s crust is manifested by earthquakes and volcanic eruptions. Environmental degradation, habitat loss, and reduction in biodiversity can occur incrementally but also through sudden devastation, such as through wildfire or an oil spill. Second, extremes often trigger disruptions of communities that persist after the event that exceed a community’s ability to recover on its own. These disasters are as much the result of human decisions as of nature. Land use, building codes, the engineering of critical infrastructure, distribution of wealth and poverty, and many other social decisions and actions shape the impacts of extremes and subsequent recovery. Third, resilience to disasters is built at the community level. No community is immune to disasters, and no community is an island unto itself. The emerging role of critical infrastructure, just-in-time manufacturing, and the globalization of the economy means that all individuals and communities are interdependent. Fourth, responsibility for building community resilience cannot rest with the public sector alone. In the United States, the public sector represents just ten percent of the workforce. The other ninety percent resides in the private sector—ranging from small, individually owned businesses to national and global enterprises—and in a range of nongovernmental bodies and faith-based organizations. Operation and maintenance of many community assets, including critical infrastructure, remain in private hands. All sectors must collaborate to build community-level disaster resilience.
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Building Community Disaster Resilience Through Private–Public Collaboration This report addresses these realities. It surveys what we know about effective private–public collaboration and how it may enhance community disaster resilience. It delineates areas where resilience-focused collaboration could benefit with more knowledge, and it lays out a comprehensive research agenda. However, the members of this committee note that in the face of rapid social change and technological advancement, our understanding of resilience–focused private-public sector collaboration is nascent. This report should be considered an initial exploration of a developing subject—not the final, definitive word. William Hooke, Chair August 2010
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Building Community Disaster Resilience Through Private–Public Collaboration Acknowledgments In response to a request by the Department of Homeland Security (DHS), the National Research Council formed an ad hoc committee to assess the current state of the art in private–public sector collaboration dedicated to strengthening community disaster resilience, to identify gaps in knowledge and practice, and to recommend research areas that could be targeted for research investment by the Human Factors Division of the Department of Homeland Security. The committee’s charge included organizing a two-day workshop to explore relevant issues and inform the study committee’s final recommendations. The workshop was held September 9-10, 2009, in Arlington, Virginia, and engaged a group of approximately 60 participants representing, from different regions of the country, individuals from the private and public sectors and from the research community. The committee thanks those individuals for their contributions. This report has been reviewed in draft form by persons chosen for their diverse perspectives and technical expertise in accordance with procedures approved by the National Research Council’s Report Review Committee. The purposes of this review are to provide candid and critical comments that will assist the institution in making the published report as sound as possible and to ensure that the report meets institutional standards of objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following for their participation in the review of this report: Ann Patton, Ann Patton Company, LLC, Tulsa, Oklahoma Carl Maida, University of California at Los Angeles Daniel Fagbuyi, The George Washington University, Washington, DC Peter C. Hitt, U.S. Trust Bank of America Private Wealth Management, Baltimore, Maryland Robert Kates, Independent Scholar, Trenton, Maine
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Building Community Disaster Resilience Through Private–Public Collaboration Ron Carlee, International City/County Management Association, Washington, DC Claudia Albano, City of Oakland, California Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse, nor did they see, the final draft of the report before its release. The review of this report was overseen by Ellis Stanley, Dewberry, LLC. Appointed by the Division on Earth and Life Studies, he was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the National Research Council.
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Building Community Disaster Resilience Through Private–Public Collaboration Contents SUMMARY 1 1 INTRODUCTION 11 Statement of Task, 12 What is Resilience? 13 Community as More Than Jurisdiction, 14 To What Must We Be Resilient? 15 Disaster-Management Policy, 24 Collaboration for Resilience, 27 The Committee’s Approach to Its Task, 28 Report Organization, 30 References, 30 2 A CONCEPTUAL FRAMEWORK FOR RESILIENCE-FOCUSED PRIVATE–PUBLIC COLLABORATIVE NETWORKS 35 Basic Principles that Shape the Conceptual Frame, 36 Principles for Successful Resilience-Focused Collaboration, 43 The Conceptual Model, 48 References, 54 3 GUIDELINES FOR COMMUNITY-BASED PRIVATE–PUBLIC COLLABORATION 57 Engaging at the Community Level, 58 Structure and Process in Resilience-Related Activities, 66 Building and Operating Collaborative Partnerships, 69 Creating an Environment for Change, 80 References, 82
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Building Community Disaster Resilience Through Private–Public Collaboration 4 CHALLENGES TO SUSTAINABLE RESILIENCE-FOCUSED COLLABORATION 85 Increasing Capacity and Access of the Vulnerable, 86 Perceptions of Risk and Uncertainty, 87 Scales of Collaboration, 88 Diverging Interests, 89 Trust Among Collaborators, 91 Information Sharing, 92 Spanning Boundaries, 93 Fragmentation, Inconsistencies, and Lack of Coordination, 95 Developing Metrics, 99 References, 100 5 RESEARCH OPPORTUNITIES 103 Business-Sector Motivators, 104 Integrating Nongovernmental Organizations, 105 Changing Emergency-Management Culture, 105 Building Social Capital, 106 Learning Through Support of Collaboration, 107 A Repository of Information, 109 Final Thoughts, 110 References, 110 APPENDIXES A Committee Biographies 115 B Committee Meeting Agendas 121