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TR NEWS 311 SEPTEMBER–OCTOBER 2017 5 Photo: Jocelyn Augustino, FEMA - Soon after the terrorist attacks September of is Program Manager for Preparedness and is Program Manager for Emergency Response Systems, Applied Physics Laboratory, Johns Laurel, Maryland.Hopkins University, Knatz is Professor Engineering, University of and of Practice of Policy Southern California, Los Angeles, and a member of the Committee. Anderson is Senior ProgramTRB Executive and International Policy, Officer for , Relations, TRB, National Academies of Sciences, D.C. Engineering, and Medicine, Washington, civil made each Act 1950 of state’s defense officeprimarily responsiblefor coordinat ing with its federal counterpart to share information civilon defense. By the1980s, the stateof role civil defense had expanded to address all . States formed officesof to handle recovery. and response for increased responsibility the Stevens Institute of is Research Professor, Wakeman and Chair of the TRB New Jersey, Hoboken, Technology, Systems Resilience Section. Contestabile Transportation - - - ). 1 uman exposure to extreme weather events and events weather to extreme exposure uman to the global effects of man-made devastation 2005 through 2015, disas is on the rise. From The United NationsProgram Development has porary concepts. Before states the War, did not have officesof emergency management.Federal The attributed the increasing levels of risk to poor governance combined with substantial popu lation growth. Extreme weather phenomena—such as higher temperatures intense or precipitation, ,flooding—are or projected to increase the numbers people risk. of at The and development application good of resilience governancecan reduce the risks from . Evolution of Approaches Emergency management, state security, , and infrastructure protection are contem ters had an impact on more than 1.5 billion people, causing more than 700,000 deaths, 1.4 million injuries, and the destruction of 23 million homes ( H ) Hurricane

Photo above: disasters. collapse that has shaped the way agencies now prepare for natural ( Katrina in 2005 resulted in a critical infrastructure THOMAS WAKEMAN, JOHN CONTESTABILE, GERALDINE KNATZ, AND WILLIAM B. ANDERSON KNATZ, GERALDINE JOHN CONTESTABILE, THOMAS WAKEMAN, Challenges in Challenges in Disaster Governance and Resilience Governance 6 TR NEWS 311 SEPTEMBER–OCTOBER 2017 . during, andafter evacuation crisesbefore, local agenciescreated federal, state,and coordination among A lackofstrategic Harry S.Truman in1950. organized byPresident Administration, Federal CivilDefense Administrator ofthe ( Millard Caldwell center ) wasthefirst gency Support Functions as part of the National Inci National of the part as Functions Support gency Emer developed therefore the Agency Management impulsive. be to tended they because problematic, but proved challenged were not only of governance processes the and ership lead strategic of applications The needs. public the meet to but failed activities, security and evacuation hoc ad an by followed measures, pre-emergency deployed response Katrina The ineffectual. was ters disas major to responses of the coordination the that 2005, however, revealed in Katrina Hurricane to reaction governmental The security. homeland address to functions 11, 2001, incorporated states The White House and the Federal Emergency Emergency Federal the and House White The

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F A S : P a d lori f o rchives tate hoto coordination are essential for increasing security and and security for increasing essential are coordination and planning multijurisdictional and Regional ture? infrastruc associated and services for critical ments require meet communities’ services and programs that so coordinating and planning agencies are How Unifying Activities gency. emer any from back for bouncing lifeline—essential sector—a infrastructure acritical as transportation identify typically Communities systems. structure infra and of social function and structure on the impacts far-reaching has Transportation state. the within management emergency transportation to ing relat matters role for all the have usually DOTs state agency; federal alead as designated was event are as yet conceptual. yet conceptual. as are event the after performance strengthen to and groups, stakeholder varied highly manage to quickly, tions disrup from recover to for and prepare to decisions best the for making Strategies disruptions. after and before making decision and governance resilience resilience. coordination with related state agencies ( agencies state related with coordination facilitate to and agencies federal to roles leadership delegate to was goal The System. dent Management The U.S. Department of Transportation (DOT) (DOT) of Transportation U.S.The Department A general framework is emerging for community for community emerging is framework A general 2 ). ).

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A M E F , B M : P e d on m aha arty hoto TR NEWS 311 SEPTEMBER–OCTOBER 2017 7

Photo: Maryland GovPics, Flickr Maryland’s Emergency Maryland’s Management Agency coordinated critical services to aid recovery after Superstorm Sandy in 2012. The Seattle Interstate Highway in 1963. The Interstate system and other federal investments in infrastructure have bolstered private-sector investments. The coordination of public-sector authorities to

In the following discussion, the term governance refers to decision making and cooperation, whether by government or by private-sector stakeholders. What Is Resilience? arePeople the Individuals core a community. of often entity, or a sociopolitical or entity, entity such as a community, tribe, family. or Governancecomprises the rules, norms, and actions that each governing body applies to produce, sustain, and regulate decisions. leverage broader and public- private-sector resources the for greater good is another form governance. of

A M S : P rchives al p unici eattle hoto ------kuber ). ). 4 5–7 derives from the Greek ). 3 governance The governance process centers a governing on These decisions are important both physical for Governance therefore, today, is necessarily not More than a century economistslater, and polit This view opened opportunities federal for The early framers the of federal U.S. govern These issues have made resilience a popular o, to steer. When to associated steer. o, with good—or public asa business organization or establishedas legal a body, whether the body, organization is geopoliticala entity such as a nation–state, a corporation such nity, regional, national, and international affairs is equally critical to consider in the governance of and risk reduction ( as buildings, roads, and power generation—that organizationsthe need for operation their of enter prises and activities. The social fabric commu of infrastructure and societal for resilience. Infrastruc ture decisions and their implementation provide the basic physical structures and facilities—such or environment. In contrast, governance pertains to decision making within the context organiza of tional guidelines and processes. a whollya government activity. A government is a formal body invested with the authority to make decisions in given a political system, jurisdiction, new meaning, which embraces the “policies, pro cesses, and rules decision for making”( ical scientists have redefinedgovernance somewhat, and institutions such as the , the Bank,World and business have disseminated the ways, airports, and seaports. Federal investments in infrastructure the for good public have incentivized private-sector investment. arate capacities” ( advances ininfrastructure, such as building high of governmentof is the for to do community people of whatever they need to have cannot but done, at do all,cannot or so well themselves for do in their sep because almost anything the government wanted to be could do categorized as general welfare. Abraham legitimateLincoln limited object the term: “…[T]he ment disagreedment the on definitiongeneralof welfare. According to Alexander Hamilton, the term was an open invitation to unlimited federal governance, the “general welfare” cited in the Constitution— U.S. the purpose and definitiongovernanceof evolves with the needs the of people. What Is Governance? The word ná resilience by unifyinggovernment, community, and individual activities. and pressing for fieldresearch. Applied research is needed to addressthe processes governance of and 8 TR NEWS 311 SEPTEMBER–OCTOBER 2017 after HurricaneHarvey. in Rockport,Texas, soon downed electricallines utility technicianstofix partnered withlocal Management Agency The FederalEmergency 2017. Harvey inSeptember Texas, afterHurricane operations inHouston, search andrescue members toconduct joined community State andlocalagencies critical functions. In poorly governed communities, communities, governed poorly In functions. critical of recovery. period the extend and disruption prolong the will that breakdown social experience however, can people ( chaos surrounding the with coping and to adapting and recover, to one another helping shock, major ( of adversity” face the in “adaptation as resilience describes Help Center Association’s Psychological American The agility. and resourcefulness on their and event of the severity on the depending or days, hours within condition pre-event a near to recover can 9 ). Without the continuity of governance processes, processes, of governance ). continuity the Without Disruptive events can cripple infrastructure and and infrastructure cripple can events Disruptive a after active be can humans words, other In 8

). ).

, F , M C : P lickr f or d ar her p hristo hoto ture resilience and recovery ( recovery and resilience ture infrastruc for physical particularly sectors, private the public and the both in resilience and governance exploring are way under studies Several . for plans of government or continuity COOP pared pre have also governments State government. eral fed the within for continuity capability overlapping integrated, an require Policy. directives These tinuity Con National 20, the and Directive Presidential rity 51, Secu Homeland Directive Presidential Security National under (COOP) plans of operations tinuity con prepared has government federal The industry. in and government in occurs for resilience Planning Factors inRecovery region. or community the within means resilience what and resilient be to needs what for determining crucial is making decision role The of in people munities. events” ( adverse to adapt successfully more and from, to, recover for, respond plan absorb, and prepare to ability the is resilience national and community, “Individual, Council, Research National the to ing Accord or disaster. any from back bouncing or withstanding mean to understood commonly is Resilience connotation. its in shift a undergoing makers. decision the of tions inten best the foiling and decisions stalling often environment, the decision-making influences tively nega events disruptive from stemming chaos the Both definitions consider individuals andcom individuals consider definitions Both is resilience governance, term to the Similar 10 ). ). 11, 12 11, ). ).

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W F F , B A : P e f li d il d an ish a d lori ristol very hoto TR NEWS 311 SEPTEMBER–OCTOBER 2017 9 Direct Relief provides food and water to neighbors affected by Superstorm Sandy. Social capital—including physical and emotional support in times of disaster—is a key factor in community resilience. The St. Petersburg The St. Petersburg Management Emergency for team prepares in Hurricane Irma September 2017. Resilience planning at initiatives take place all levels of government. - - ). An Organi ). 17 ). ). These social). ties 16 9

The United Nations Development Program

P together aftertogether disruptive a ( event defines disaster riskgovernance “the as way in which authorities,public civil servants, media, private sec and civiltor, society the at community, national and regional levels manage cooperate…to and reduce disaster-and climate-related risks” ( sation Economic for Co-operation and Development /F R D : tation, response, and recovery ( among who people knew and trusted another one emerged as a key factor in supporting restoration andrecovery. Researchers in other locations also have that found social capital can a community hold hoto lickr f elie irect ------). 14 ). 12 ). Better understanding). is needed how about ). The Association). Neighborhoods of and Hous The National Institute Standards of and Technol In general, most research has focused physical on Human factorsalso are crucial in successful

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York City’s communities City’s York enabled successful adap (15 ing Development, that found Inc., after Superstorm strongSandy, social networks within many New of Building Social Capital In the context disasters of and emergencies, social capitalhelps determine resiliencecommunity’s a hazards, to restore vital services, and to build back after disruptive events ( munities can improve the management specific of disasterrisks and reduce the impacts hazards. of The prioritizingresiliency of measures can improve com a ability munity’s to manage responses to prevailing ogy (NIST), part the of Department U.S. Commerce, of has investigated community and social resilience ( NIST has that found collaborative planning in com cess maps the at individual and community levels for both the and public the private sectors. ( decisions are structured, made, and implemented before, during, and after disruptions, including pro infrastructure, and many government agencies have spent heavily to protect facilities and operations, with little regard the for associated social resilience factors in focusing the on best means to ensure stabilityemployee and business continuity during disruptive events. recovery. Private-sector companies that depend on chains,supply example, for have considered human

C : P , F , P S f ityo hoto lickr ete t TABLE 1 Disaster Characteristics Characteristic Lower Range Lower Midrange Upper Midrange Upper Range Temporal Predictable or planned Emerging Rapid onset Abrupt Spatial Local or community Regional National International Intensity Low High Severe Catastrophic

(OECD) study found that innovative risk governance u The pre-event phase is relatively stable. can create resilience in the built environment and u The disruption itself is chaotic, with property among stakeholders (18). damage and potential loss of life. But what is innovative or good governance that u Recovery is a period of rebuilding, but the increases resilience to disruptive events, and how physical environment—as well as the governance should it be exercised? The OECD study identified environment—is likely to be unstable and unreliable several measures that can aid governments in boost- for many stakeholders. ing resilience—for example, inclusiveness, trust, u The postevent phase returns to normalcy, cooperation, and sharing. These measures build although productivity may be lower for a period. social capital. What then is the best way to incorporate the con- Improved governance for resilience requires an cept of social capital and its development into the understanding of these phases for each disaster. formal governance processes that communities and other levels of government already have established? Governance Characteristics Governance frameworks can pose an obstacle to Disaster Characteristics resilience. For example, governance and resilience Understanding the scale and character of a disaster is at a seaport must function at the front line of sea a first step in determining an appropriate framework level rise and global . Private terminal for governance; a disaster’s characteristics define its operators may focus on preparedness for the next distinctive threats (see Table 1, above). Governance major or security event; in contrast, the port may operate within a single organization, community, authority has broader and longer-term goals, such as multilayered agency, or nation or at an international adaptation to climate change. level. The combination of disaster and governance Adaptation to climate change is not the same as necessitates consideration of each circumstance to preparing for the next major storm event but involves develop the proper approach to governance. long-term strategies and long-term investments not A disruptive event proceeds through four phases: likely to provide the terminal operator with an pre-event, disruption, recovery, and postevent (see immediate return. The terminal operator’s vision Figure 1, below). of long-term resiliency seldom extends beyond the remaining years on the lease.

Pre-event Disruption Recovery Phase Postevent

Some Lost System Productivity Disruption Output

FIGURE 1 Resilience curve. TR NEWS 311 SEPTEMBER–OCTOBER 2017 Time 10 To mitigate future

n g ineers risks in Ocean E o f

City, Maryland, the U.S. or p s Army Corps of Engineers C

r m y constructed a sea wall A after Superstorm Sandy. U . S : hoto P

The port governance model must be integral to The challenge in creating supportive governance the effective implementation of a portwide resilience frameworks is to address long-term adaptive strate- The Texas National plan. Resilience planning within the seaport sec- gies proactively to improve resilience instead of wait- Guard works with tor requires a thorough understanding of the moti- ing until a that forces decision makers to react. regional governments vations and goals of all the organizations involved General models for governance to achieve resilience and local agencies to and of the limitations of the port governance model. are still in development but should incorporate the speed recovery from The ports that become the most resilient will have characteristics of good or proper governance—such Hurricane Harvey. addressed the governance challenges directly, partic- as disaster preparedness, resilience planning, coop- Supportive governance frameworks must address ularly in the context of lease agreements. eration, and consensus building at the individual strategies proactively and The governance and resilience environment of a and organizational levels (19). These characteristics coordinate community coastal community and a neighboring base, enable individuals to react quickly and decisively authorities and other for example, must deal with the consequences of sea when faced with a disaster (9). groups like the military. level rise. Community leaders may focus on mitigat- ing the consequences of the next major storm, such uar d as local flooding, and the military may have broader G

goals, such as mission assurance. ational N The military engineering division may address exas T the risks by designing a sea wall to water lev- , TR NEWS 311 SEPTEMBER–OCTOBER 2017 ruitt els. Community leaders, however, may want to mit- P i m T igate the risk of by installing a new drainage : hoto system to redirect flood waters away from housing— P this is not the same as adapting to sea level rise with a sea wall. Nevertheless, both entities are spending resources to address the same regional disaster risk. Typically a military base does not make decisions about mission assurance and resilience with con- sideration of the supporting community, nor does the community consult with the military base on community issues. If the community and military formed a regional governance body, how would risk reduction decisions be made? 11 12 TR NEWS 311 SEPTEMBER–OCTOBER 2017

Photo: Metropolitan Transit Authority Sandy. damaged bySuperstorm service andrepairtracks to allowpartialtrain toanewlocation Authority movessubway The NewYork CityTransit 4. 3. 2. 1. References resilience. and nance approaches aboutto andgover effective efficient answers advance to and questions address to needed is research on world populations, impacts potential resilience. community build to private-sector and for public- lines guide and processes governance desirable identify could Research events. after and during, before, apply to organizations for private levels—and nity commu or state, regional, the for governments—at models organizational and processes sion-making needed.is capital social which to extent the would help inform research but additional communities, of impacted resilience the enhancing in critical is capital social that indicates evidence Considerable affected. are who people of the recovery and reaction the but also responses governmental and protection structure infra not only addresses governance resilience Good Areas forResearch As concerns increase about disaster risks and their their and risks about disaster increase concerns As deci into insights provide can also research More Business Dictionary edu/sites/lincoln/fragment-on-government-july-1-1854/. 103, July 1, 1854. Ranking Lincoln, sources. D.C. https://www.fema.gov/incident-command-system-re System Federal Emergency Management Agency Incident Command ter-risk-governance.html. page/crisis-prevention-and-recovery/strengthening-disas York, 2015. www.undp.org/content/undp/en/home/library During the HFA Implementation Period UnitedNationsDevelopmentProgramSupport Governance: Galperin, A.,andE.Wilkinson. . U.S.DepartmentofHomelandSecurity, Washington, A. Fragment of Government: Lincoln’sA. FragmentofGovernment: Writings, . WebFinance, Inc.,2016.www.business http://housedivided.dickinson. Strengthening Disaster Risk Strengthening DisasterRisk , 2005–2015. New , 2005–2015.New ------10. 9. 8. 7. 6. 5. 14. 11. 19. 18. 17. 16. 15. 13. 12.

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