encyclopedia of

ManageMent
 encyclopedia of

ManageMent
VOLUME ONE

EditOrs
K. Bradley Penuel | Matt statler | ryan Hagen
New York University New York University Columbia University
FOR INFORMATION: Copyright © 2013 by SAGE Publications, Inc.
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Library of Congress Cataloging-in-Publication Data
SAGE Publications Ltd.
1 Oliver’s Yard
Encyclopedia of crisis management / editors, K. Bradley
55 City Road
Penuel, Matt Statler, Ryan Hagen.
London EC1Y 1SP
v. cm.
United Kingdom
Includes bibliographical references and index.
ISBN 978-1-4522-2612-5 (cloth)
SAGE Publications Asia-Pacific Pte. Ltd. 1. Emergency management--Encyclopedias. 2. Crisis
3 Church Street management--Encyclopedias. 3. Disaster relief--Encyclo-
#10-04 Samsung Hub pedias. I. Penuel, K. Bradley. II. Statler, Matthew. III. Hagen,
Singapore 049483 Ryan.
HV551.2.E68 2013
363.34’803--dc23
2012038585
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Indexer: J S Editorial 13 14 15 16 17 10 9 8 7 6 5 4 3 2 1
 Contents
Volume 1
List of Articles vii
Reader’s Guide xiii
About the Editors xviii
List of Contributors xix
Introduction xxv

Articles
A 1 F 391
B 27 G 433
C 91 H 441
D 223 I 485
E 305

Volume 2
List of Articles vii

Articles
J 557 R 789
L 561 S 849
M 585 T 927
N 643 U 961
O 687 V 969
P 709 W 987
Q 783 Y 1009

Glossary 1011
Resource Guide 1023
Appendix: United Nations Development Programme 2010 Annual Report 1031
Index 1081
Photo Credits 1136
 List of Articles

A Bureaucracy
Agency Notification and Mobilization Business Continuity Management
Air Traffic Control Business Continuity Planning
Air Travel Business Continuity Planning Life Cycle
All-Hazards Business Impact Analysis
Alternate Site, Corporate Business Resumption Planning
American Society for Industrial Security (ASIS)
SPC.1-2009 C
Arms Control Cabinet Office, UK
Auditing Carrying Capacity
Avalanches and Landslides Cascading Crisis
Catastrophe, Definition of
B Catholic Relief Services
Backup Facility Centers for Disease Control and Prevention (CDC)
Backup Media Chaos Theory
Backup Strategy Chemical Risk
Bankruptcy, Corporate Chemical Weapons
Biological Engineering Risk Chief Security Officer
Biological Weapons Cholera
Blame, Politics of Civil Protection
Blizzards Civil War
Border Disputes Civilian Protection, Post-Conflict
Bounded Rationality Classification of Systems
Brain Drain Climate Change Adaptation
Bridges Cluster
BS 25999 Cognitive Novelty, Engaging in
Budget Crisis Cold Site
Buildings Collaboration
Bureau for Crisis Prevention and Recovery, UN Command and Control
(UNDP–BCPR) Commodity Shortages

vii
viii List of Articles

Contingency Planning Disaster Risk Reduction

Contingent Coordination Disruption of Organizations
Continual Improvement Doctors Without Borders
Continuity of Government Documentation
Cooperative for Assistance and Relief Everywhere Downtime
(CARE) Drought
Coordination Drug Resistance
Coping Capacity and Response Capability
Cosmology Episode E
Coupling Early Warning Systems
Credibility Earthquakes
Crisis, Definition of Ebola Virus
Crisis Communications Electronic Media
Crisis Information Management Systems Electronic Vaulting
Crisis Management, Emerging Trends in Electronics Waste
Crisis Simulations EM-DAT
Critical Applications Emergency, Definition of
Critical Business Functions Emergency Alert Systems
Critical Infrastructure Emergency Management, Principles of
Criticality Assessment Emergency Management Agencies, City
Cyber Crime and County
Cyber Security Emergency Management System
Cyber Warfare Emergency Manager
Emergency Medical Care
D Emergency Medicine
Damage Assessment Emergency Operations Center
Damage Containment Emergency Public Information
Dams, Levees, and Seawalls Emergency Responders
Data Mirroring Emergency Support Functions
Data Recovery Environment Programme, UN (UNEP)
Debriefing Environmental Contamination
Debris Management Epidemics
Debt Crisis Ethnic Cleansing
Decision Making Evacuation
Decision Making, Theories of Exercises
Decision Making Under Stress
Decision Stream F
Decision Support Tools Failed States
Dedicated Site Failover
Deforestation Famine
Denial-of-Service Attack Federal Bureau of Investigation (FBI)
Department of Homeland Security (DHS) Federal Emergency Management Agency (FEMA)
Disaster, Definition of Financial Risk Management in Higher Education
Disaster Assessment Fink’s Crisis Life Cycle
Disaster Declaration Fires
Disaster Declaration Officer Floods
Disaster Drills Food and Agriculture Organization of the United
Disaster Recovery Nations (FAO)
Disaster Recovery Life Cycle Food Security
Disaster Recovery Plan Test Cycle Foreign Policy Crises
 List of Articles ix

Fraud Interregional Crime and Justice Research

Freshwater Demands and Shortages Institute, UN (UNICRI)
Fusion Center Interstate War
Invasive Species
G
Global Food Crisis J
Global Warming Journaling
Groupthink
L
H Land Mines
Hazard, Definition of Legal Liability
Hazard Mitigation Living Modified Organisms
Hazard Vulnerability Analysis Logistics
Hazardous Materials Looting
Hazardous Waste Disposal Losses, Quantitative Versus Qualitative
Health and Medical Response Scenarios
Heat Waves M
High Reliability Organization Theory Malaria
Hijackings Manufacturing Risks
Historical Analogies, Use of Marine Shipping
HIV/AIDS Epidemic Marine Travel
Hospital Emergency Room Mass Care
Hostage Taking and Negotiation Mass Fatality Management
Human Trafficking Mass Media
Hurricanes, Typhoons, and Cyclones Maximum Acceptable Outage
Measles
I Mental Illness
Immigration Mental Models
Impact, Definition of Methods, Qualitative
Impact Analysis Methods, Quantitative
Improvised Explosive Devices Minimum Business Continuity Objective
Improvising Mining
Incident Action Plans Mirroring
Incident Management Missiles
Incident Response Mitroff’s Five Stages of Crisis Management
Incidents Versus Crises Mobile Recovery Site
Income Inequality and Labor Unrest Multiple Disaster Problem
Infectious Disease Mutual Aid and Assistance
Infestations, Parasite
Influenza N
Information Asymmetry Nanotechnology
Information Vacuums NatCatSERVICE (Munich Re)
Insurance National Fire Protection Association (NFPA)
Interdependence 1600, 2007, and 2010
International Children’s Fund, UN (UNICEF) National Incident Management System (NIMS)
International Organization for Standardization National Oceanic and Atmospheric
(ISO) 31000 Administration (NOAA)
International Strategy for Disaster Reduction, National Preparedness Goal
UN (UNISDR) National Response Framework
Interoperability Network for Good
x List of Articles

News Media Q
Noncommunicable Diseases Quarantine
Nongovernmental Organizations
Nonlinearity R
Normal Accident Theory Reciprocal Agreement
Normalization of Deviance Reciprocal Site
Nuclear and Radiological Weapons Recovery
Nuclear Proliferation Recovery Time Objective
Nuclear Risk Red Cross and Red Crescent
Red Tide
O Refugees and Forced Migration
Office for the Coordination of Humanitarian Reinsurance
Affairs (OCHA), UN Religious Violence
Operational Plans Reputational Risk
Operational Readiness Residual Risk
Organizational Failure Resiliency
Overfishing Resource Collapse
Overgrazing Resource Management
Overpopulation Response
Ozone Layer Depletion Response Team
Revolution
P Riots
Pandemics Risk Analysis
Panic, Nature and Conditions of Risk Assessment
Paradigm Blindness Risk Society
Paul G. Allen Foundation Emergency Relief Risk Treatment
Program Routine Emergencies Versus True Crises
Peacekeeping
Perimeter Control S
Petrochemical Risk Sabotage
Policy Setting Safety Policies
Political and Organizational Leadership Salvation Army
Post-Traumatic Stress Disorder Scapegoating
Poverty Scenario Planning
Practical Drift Search and Rescue
Pre-Crisis Training and Planning Severe Acute Respiratory Syndrome (SARS)
Pre-Impact Planning Process Sewage Spill
Preparedness Shelter-in-Place
Prevention Sigma (Swiss Re)
Product Defects and Recalls Simulations
Product Tampering Situational Analysis
Protection Smallpox
Protest Smog
Public Awareness and Education Social Distancing
Public Health Surveillance Social Media
Public Image Spaceflight
Public Relations Spokesperson, Designating and Utilizing
Public Safety Canada Stafford Act
Publicly Available Specification Stakeholders
(PAS) 200 State Emergency Management Agencies
 List of Articles xi

Stock Market Crises United Way

Strategic Plans U.S. Geological Survey (USGS)
Strengths, Weaknesses, Opportunities, and
Threats (SWOT) Analysis V
Strikes Vaccinations
Structural Secrecy Vital Records
Suicide Bombings Volcanic Eruptions
Supply Chain Volunteer Coordination
Surge Capacity, Hospitals Vulnerability
Sustainability Vulnerable Populations

T W
Terrorism War Crimes
Threat Detection Warm Site
Tornadoes and Severe Thunderstorms Warning
Training Weapons Trafficking
Transportation Security Whistle Blowers
Transportation Systems, Vulnerability Wildfire
Trauma Worker Error
Triage World Health Organization (WHO), UN
Trigger Events World Water Relief
Tsunamis
Tuberculosis Y
Y2K Bug
U
Uncertainty
UNICEF. See International Children’s Fund,
UN (UNICEF)
 Reader’s Guide

Agencies, United Nations Categories of Crises:

Bureau for Crisis Prevention and Recovery, UN Engineering and Technological
(UNDP/BCPR) Air Traffic Control
Environment Programme, UN (UNEP) Air Travel
Food and Agriculture Organization of the Biological Engineering Risk
United Nations (FAO) Bridges
International Children’s Fund, UN Buildings
(UNICEF) Chemical Risk
International Strategy for Disaster Reduction, Cyber Crime
UN (UNISDR) Cyber Security
Interregional Crime and Justice Research Cyber Warfare
Institute, UN (UNICRI) Dams, Levees, and Seawalls
Office for the Coordination of Humanitarian Electronics Waste
Affairs (OCHA), UN Environmental Contamination
World Health Organization (WHO), UN Hazardous Materials
Hazardous Waste Disposal
Improvised Explosive Devices
Agencies, U.S. Manufacturing Risks
Centers for Disease Control and Prevention (CDC) Marine Shipping
Department of Homeland Security (DHS) Marine Travel
Emergency Management Agencies, City Mining
and County Nanotechnology
Federal Bureau of Investigation (FBI) Nuclear Risks
Federal Emergency Management Agency (FEMA) Ozone Layer Depletion
National Oceanic and Atmospheric Petrochemical Risk
Administration (NOAA) Sewage Spill
State Emergency Management Agencies Smog
U.S. Geological Survey (USGS) Spaceflight

xiii
xiv Reader’s Guide

Transportation Systems, Vulnerability Civil War

Y2K Bug Ethnic Cleansing
Failed States
Categories of Crises: Foreign Policy Crises
Financial and Business Genocide
Bankruptcy, Corporate Hijackings
Budget Crisis Hostage Taking and Negotiation
Commodity Shortages Human Trafficking
Debt Crisis Interstate War
Denial-of-Service Attack Land Mines
Fraud Missiles
Global Food Crisis Nuclear and Radiological
Income Inequality and Labor Unrest Weapons
Looting Nuclear Proliferation
Poverty Peacekeeping
Product Defects and Recalls Protest
Product Tampering Religious Violence
Sabotage Revolution
Stock Market Crises Riots
Strikes Suicide Bombings
Terrorism
Categories of Crises: Natural Disasters Transportation Security
Avalanches and Landslides War Crimes
Blizzards Weapons Trafficking
Deforestation
Drought Categories of Crises:
Earthquakes Population and Demographics
Fires Brain Drain
Floods Carrying Capacity
Global Warming Famine
Heat Waves Food Security
Hurricanes, Typhoons, and Freshwater Demands and Shortages
Cyclones Immigration
Invasive Species Overpopulation
Overfishing Refugees and Forced Migration
Overgrazing Vulnerable Populations
Red Tide
Resource Collapse Disaster Information Databases
Tornadoes and Severe Thunderstorms EM-DAT
Tsunamis NatCatSERVICE (Munich Re)
Volcanic Eruptions Sigma (Swiss Re)
Wildfire
Nongovernmental Organizations
Categories of Crises: Politics, International Catholic Relief Services
Relations, and Civil Violence Cooperative for Assistance and Relief Everywhere
Arms Control (CARE)
Biological Weapons Doctors Without Borders
Border Disputes Network for Good
Cabinet Office, UK Paul G. Allen Foundation Emergency Relief
Chemical Weapons Program
 Reader’s Guide xv

Red Cross and Red Crescent Situational Analysis

Salvation Army Stafford Act
United Way Sustainability
World Water Relief Threat Detection

Risk Management Standards Theory, Issues, and Techniques: Corporate

American Society for Industrial Security (ASIS) Alternate Site, Corporate
SPC.1-2009 Application Failover
BS 25999 Auditing
International Organization for Standardization Backup Facility
(ISO) 31000 Backup Media
National Fire Protection Association (NFPA) Backup Strategy
1600, 2007, and 2010 Business Continuity Management
Publicly Available Specification Business Continuity Planning
(PAS) 200 Business Continuity Planning Life Cycle
Business Impact Analysis
Theory, Issues, and Techniques: Civil Business Resumption Planning
Agency Notification and Mobilization Classification of Systems
Civil Protection Cluster
Civilian Protection, Post-Conflict Cold Site
Contingency Planning Continual Improvement
Continuity of Government Critical Applications
Crisis Information Management Systems Critical Business Functions
Debris Management Criticality Assessment
Decision Making Data Mirroring
Decision Support Tools Data Recovery
Disaster Assessment Dedicated Site
Disaster Declaration Disaster Declaration Officer
Disaster Risk Reduction Disaster Recovery
Documentation Disaster Recovery Life Cycle
Emergency Alert Systems Disaster Recovery Plan Test Cycle
Emergency Management System Downtime
Emergency Manager Electronic Vaulting
Emergency Support Functions Failover
Financial Risk Management in Higher Education Fink’s Crisis Life Cycle
Hazard Mitigation Impact Analysis
Incident Action Plans Incident Management
Laws, Regulations, and Authorities Incident Response
National Incident Management System (NIMS) Insurance
National Preparedness Goal Journaling
National Response Framework Losses, Quantitative Versus Qualitative
Operational Plans Maximum Acceptable Outage
Operational Readiness Minimum Business Continuity Objective
Perimeter Control Mirroring
Policy Setting Mitroff’s Five Stages of Crisis Management
Political and Organizational Leadership Mobile Recovery Site
Preparedness Reciprocal Agreement
Prevention Reciprocal Site
Protection Recovery Time Objective
Search and Rescue Reinsurance
xvi Reader’s Guide

Reputational Risk Legal Liability

Response Team Logistics
Strengths, Weaknesses, Opportunities, and Mass Care
Threat (SWOT) Analysis Mass Fatality Management
Supply Chain Mass Media
Vital Records Mental Models
Warm Site Methods, Qualitative
Methods, Quantitative
Theory, Issues, and Techniques: General Multiple Disaster Problem
All-Hazards News Media
Cascading Crisis Nongovernmental Organizations
Catastrophe, Definition of Nonlinearity
Climate Change Adaptation Panic, Nature and Conditions of
Collaboration Pre-Crisis Training and Planning
Command and Control Pre-Impact Planning Process
Contingent Coordination Public Awareness and Education
Coordination Public Image
Coping Capacity and Response Capability Public Relations
Credibility Recovery
Crisis, Definition of Residual Risk
Crisis Communications Resiliency
Crisis Management, Emerging Trends in Resource Management
Crisis Simulations Response
Critical Infrastructure Risk Analysis
Damage Assessment Risk Assessment
Damage Containment Risk Treatment
Debriefing Routine Emergencies Versus
Decision Making Under Stress True Crises
Disaster, Definition of Safety Policies
Disaster Drills Scapegoating
Disruption of Organizations Scenario Planning
Early Warning Systems Shelter-in-Place
Electronic Media Simulations
Emergency, Definition of Social Media
Emergency Management, Principles of Spokesperson, Designating and Utilizing
Emergency Medical Care Stakeholders
Emergency Operations Center Strategic Plans
Emergency Public Information Training
Emergency Responders Trauma
Evacuation Trigger Events
Exercises Uncertainty
Fusion Center Volunteer Coordination
Hazard, Definition of Vulnerability
Hazard Vulnerability Analysis Warning
Historical Analogies, Use of Whistle Blowers
Impact, Definition of Worker Error
Improvising
Incidents Versus Crises Theory, Issues, and Techniques: Public Health
Interdependence Cholera
Interoperability Drug Resistance
 Reader’s Guide xvii

Ebola Virus Tuberculosis

Emergency Medicine Vaccinations
Epidemics
Health and Medical Response Scenarios Theory, Issues, and Techniques:
HIV/AIDS Epidemic Social Sciences
Hospital Emergency Room Blame, Politics of
Infectious Disease Bounded Rationality
Infestations, Parasite Bureaucracy
Influenza Chaos Theory
Living Modified Organisms Cognitive Novelty, Engaging in
Malaria Cosmology Episode
Measles Coupling
Mental Illness Decision Making, Theories of
Noncommunicable Diseases Decision Stream
Pandemics Groupthink
Post-Traumatic Stress Disorder High Reliability Organization Theory
Public Health Surveillance Information Asymmetry
Public Safety Canada Information Vacuums
Quarantine Normal Accident Theory
Severe Acute Respiratory Syndrome Normalization of Deviance
(SARS) Organizational Failure
Smallpox Paradigm Blindness
Social Distancing Practical Drift
Surge Capacity, Hospitals Risk Society
Triage Structural Secrecy
 About the Editors

K. Bradley Penuel is the Director of the Center for Stern School of Business. Previously, Statler
Catastrophe Preparedness and Response (CCPR) served NYU’s Center for Catastrophe Prepared-
at New York University (NYU) where he also ness and Response as the director of research,
serves as the assistant vice president for Health and as associate director of the International
Initiatives. Additionally, in response to the recent Center for Enterprise Preparedness. He worked
major storm events that have effected New York as director of research and as a research fellow
State, Mr. Penuel was appointed co-chair (along at the Imagination Lab Foundation in Lausanne,
with Admiral Thad Allen) by Governor Andrew Switzerland, following several years as a manage-
Cuomo of the NYS Respond Commission to ment consultant in New York City. His research
improve New York State’s emergency prepared- has been published in journals such as Leader-
ness and response capabilities and strengthen the ship, the Journal of Business Ethics, and Long
state’s infrastructure to withstand natural disas- Range Planning, and he is the co-editor of the
ters. Previously, while with Chemonics Interna- Encyclopedia of Disaster Relief (with K. Bradley
tional in Washington, D.C., Mr. Penuel consulted Penuel) and Learning From the Global Financial
on initiatives for the U.S. Agency for International Crisis: Creatively, Reliably, Sustainably (with
Development (USAID) and the World Bank. He Paul Shrivastava).
has also served as an environmental engineer for
Gresham, Smith and Partners, in Nashville, Ten- Ryan Hagen is a Paul F. Lazarsfeld doctoral fel-
nessee. Mr. Penuel received a B.S. in civil engi- low in the Department of Sociology at Columbia
neering from Auburn University and a Master’s University, where his research interests focus on
degree in urban planning from New York Uni- the organizational perception and management
versity’s Wagner School of Public Service. He is of catastrophic risk. He has served as a research
also the co-editor of the Encyclopedia of Disaster associate for New York University’s Center for
Relief (2010, with Dr. Matthew Statler). Catastrophe Preparedness and Response, and
worked as a journalist, with articles appearing
Matt Statler is the Richman Family Director of in Slate and the New York Times. He received
Business Ethics and Social Impact Programming his B.A. in English and American literature from
and clinical assistant professor of management New York University. Born and raised in Wauwa-
and organizations at New York University (NYU) tosa, Wisconsin, he now lives in New York City.

xviii
 List of Contributors

Kadir Akyuz James Brooks

Independent Scholar Rensselaer Polytechnic Institute
Ryan Alaniz Douglas Allen Brown
Cal Poly State University Arkansas State University
Bob Alexander Lisa M. Brown
Independent Scholar University of South Florida
David Alexander Vivienne Brunsden
Global Risk Forum, Davos Nottingham Trent University
David J. Alexander Jennifer A. Burke
George Mason University Strayer University
Alex Altshuler Bekir Cakar
Ben-Gurion University of Independent Scholar
the Negev Lucien G. Canton
Raphael M. Barishansky Independent Scholar
Prince George County (MD) Health Paolo Cavaliere
Department Independent Scholar
John H. Barnhill David Cawthon
Independent Scholar Center for Toxicology and
John Barnshaw Environmental Health
University of South Florida Yung-Fang Chen
Mohammed Salah Basha Coventry University
Bircham International University Michael Chu
Magdalena Bielenia-Grajewska United Nations
University of Gdansk, Poland Sara Estes Cohen
and SISSA, Italy Independent Scholar
Kevin Borden John B. Coles
Independent Scholar State University of New York, Buffalo
Sarah Boslaugh Irfan Demir
Kennesaw State University Independent Scholar

xix
xx List of Contributors

Emily Dicken Chris Gregg

University of Victoria East Tennessee State University
Malte Doehne John R. Griffin
Zeppelin University Embry Riddle Aeronautical
Diane L. Douglas University
Independent Scholar Nicole Alison Gross
Emma E. H. Doyle Independent Scholar
Joint Centre for Disaster Research Idris Guclu
Julie Drolet Independent Scholar
Thompson Rivers University Surya Parkash Gupta
Jeffrey Dzajkowski National Institute of Disaster Management,
University of Pennyslvania Delhi
Michelle Ellis Christine Hagar
University of South Florida San Jose State University
Abdurrahim Emhan Ryan Hagen
Dicle University Columbia University
Christopher Todd Emrich Ziqiang Han
Hazards and Vulnerability Research University of Delaware
Institute Tammy Hatfield
Saeid Eslamian Lindsey Wilson College
IUT/Princeton Benjamin Hebblethwaite
Denis Fischbacher-Smith University of Florida
University of Glasgow Jason A. Helfer
Stephen C. Fortier Knox College
George Washington University Pattijean Hooper
Zeno Franco Independent Scholar
Medical College of Wisconsin Sergio Hoyos
George R. Franks, Jr. NOAA-CREST/City University
Stephen F. Austin State University of New York
A. Alex Fullick Wan-Ting Huang
Independent Scholar Taiwan Centers for Disease Control
Justin Fusaro Andrew Hund
New York University Umea University
Vener Garayev Augustine Osamor Ifelebuegu
Gediz University Coventry University
Carolina Garcia Brian David Jacobs
Independent Scholar Staffordshire University
Richard Gifford Erike Hayes James
Independent Scholar University of Virginia
Dawn R. Gilpin Sarb Johal
Arizona State University Massey University
Marc Glasser David M. Johnston
University of Nevada, Las Vegas Joint Centre for Disaster Research
Genevieve Goatcher Sebastian Jülich
Nottingham Trent University Swiss Federal Institute of Technology
Kay Collett Goss Zurich
University of Nevada, Las Vegas, Julie Kachgal
ITU, University of Ulster Walt Disney Company
Dana M. Greene Bandana Kar
University of North Carolina University of Southern Mississippi
 List of Contributors xxi

Hasan Karaca Alyssa Grace Millner

Independent Scholar King College
Maryam Karimi Prafulla Kumar Mishra
NOAA-CREST, City University International Rescue Committee,
of New York Somalia
Želimir M. Kešetovic Jamie D. Mitchem
University of Belgrade Gainesville State College
Reza Khanbilvardi Manoranjan Mohanty
NOAA-CREST/City University University of the South Pacific
of New York Maureen Mooney
Bill Kte’pi Massey University
Independent Scholar Tony Moore
Bahadir Kucukuysal Institute of Civil Protection and
Independent Scholar Emergency Management
Kenneth A. Lachlan Mitchell L. Moss
University of Massachusetts, New York University
Boston Fernando Nardi
Allen Yu-Hung Lai University for Foreigners of
National University of Singapore Perugia
William R. Lang Rouzbeh Nazari
Independent Scholar City University of New York
Lynn Letukas Elisa Nichols
University of Wisconsin-La Crosse Independent Scholar
Xialing Lin Martin Nthakomwa
Western Michigao University Coventry University
Donald MacMillan Lauren Ohl-Trlica
Yale New Haven Hospital University of California, Los Angeles
Shayesteh Mahani Nilgün Okay
NOAA-CREST/City University Istanbul Technical University
of New York M. Pilar Opazo
Jeffrey Shaun Majors Columbia University
Pepperdine University School of Law Christine Owen
Dan Ioan Manastireanu University of Tasmania
Titu Maiorescu University Michael J. Palenchar
Hal Marchand University of Tennessee,
Western Illinois University Knoxville
Vivian Marinelli Konstantinos Papazoglou
Independent Scholar New York University
Christopher E. Marrion Alexandros Paraskevas
Independent Scholar Oxford Brookes University
Robert McCreight Douglas Paton
George Washington University University of Tasmania
Steven McCullar Emrah Pehlivan
St. Cloud State University Independent Scholar
Patrick Mcilwee Edmondo Perrone
Business Continuity Institute World Food Program
JJ McIntyre Cher N. Peterson
University of Central Arkansas Independent Scholar
David Mendonça Tom Phelan
Rensselaer Polytechnic Institute Independent Scholar
xxii List of Contributors

Zhila Pooyan Richard K. Snow

International Institute of Earthquake Embry-Riddle Aeronautical
Engineering and Seismology University
Thomas E. Poulin Stephen Spates
Capella University University of Tennessee
Ross Prizzia Patric R. Spence
University of Hawaii, University of Kentucky
West Oahu Christina Spoons
Nenad Putnik Ashford University
University of Belgrade Kristin L. Stevens
Carson Y. Qing New York University Langone
New York University Medical Center
Muhammad Tauhidur Rahman Mark Stevens
King Fahd University of Petroleum University of British Columbia
and Minerals Lambertus Struik
Paul Patrick Rega Natural Resources Canada
University of Toledo Aswin Subanthore
Anaïs Rességuier Oklahoma State University
Oxford University Andrew Tarter
Scott Richmond University of Florida
Wayne State University Hidayet Tasdoven
Negeen Rivani University of Central Florida
Pepperdine University Arzu Taylan
Tabatha L. Roberts Selçuk University
Western Michigan University Ken B. Taylor
Darío Rodríquez New Orleans Baptist Theological
Diego Portales University Seminary
Bahadir Sahin Michael Tedrow
Independent Scholar Independent Scholar
Dalton Sawyer Bruce A. Thompson
University of North Carolina Health Joint Task Force National Capital
Care System Region Medical
Stephen T. Schroth Ashley Tremble
Knox College Western Michigan University
Andreas Schwarz Marcella Bush Trevino
Ilmenau University of Technology Barry University
Timothy L. Sellnow Jennifer Trivedi
University of Kentucky University of Iowa
Xiaojun Shan Sinan Ulkemen
State University of New York, University of North Texas
Buffalo Shari R. Veil
Joyce Shaw University of Kentucky
University of Southern Mississippi Lucia Velotti
Gulf Coast Research Laboratory University of Delaware
Nishamarie Bose Sherry Jason Windawi
University of Maryland School of Law Independent Scholar
Center for Health and Homeland Security Serdar Yildiz
Mary Snow Independent Scholar
Embry-Riddle Aeronautical Lilia Yumaguolva
University University of British Columbia
 List of Contributors xxiii

Paul Yung Jun Zhuang

Independent Scholar State University of New York, Buffalo
Qiujie Zhang Rae Zimmerman
Beijing Academy of Science and Technology New York University
 Introduction

Whenever systems break down unexpectedly, cri- As of this writing, the most prominent high-
ses can arise. If the initial breakdown is not man- stakes challenges currently include the financial
aged effectively, crises can spread over space and and economic crisis that originated in the real
time to threaten not only the effective function but estate market in the United States in 2008, con-
also the existence of the system itself. In this sense, tinues to have dramatic impacts in the Eurozone,
“crisis management” involves planning for, coping and has recently snared JPMorganChase in scan-
with, and recovering from the impacts of unex- dal; the political crises associated with the Arab
pected events. As the scope, scale, and complexity Spring, including most recently the tragic civil
of the systems that organize contemporary society unrest in Syria; and the looming ecological crisis
increase, crisis management becomes increasingly associated with climate change, which amplified
critical in order to sustain everyday life. the damage done to coastal cities and towns in
Crisis management is relatively young, having the northeastern United States by recent weather
emerged as a field of practice and a field of aca- events, typified by Hurricane Sandy.
demic research in the late 1980s following a succes- Effective action in response to crisis situations
sion of high-profile and deadly system breakdowns such as these requires art as well as science. Per-
(including the Bhopal gas leak, the nuclear acci- haps the most iconic image of the scientific man-
dent in Chernobyl, the explosion of the Challenger agement of crisis is the control center with digital
space shuttle, and the Exxon Valdez oil spill). screens along the walls displaying maps, graphs,
More recently, the crises associated with events as and charts, with analysts sitting at computer termi-
diverse as rogue traders, disease outbreaks, com- nals and commanding officers barking out orders.
puter malfunctions, and terrorist attacks have led Such settings do exist, and they depend on a variety
to the establishment of variety of subdisciplines, of networks and embedded technological systems,
including business continuity management, disas- including everything from the information-gath-
ter recovery, operational risk management, and ering and surveillance systems that feed data into
enterprise risk management. In all of these cases, the system, to the IT infrastructures that provide a
and in everyday personal situations, crises are platform for those systems, to the dashboard-style
“associated with urgent, high-stakes challenges in decision support systems that enable leaders to
which the outcomes can vary widely … [depend- make individual and collective decisions.
ing] on the actions taken by those involved,” as In addition to these concepts and resources,
stated in the Encyclopedia of Leadership. creativity and imagination are required in order

xxv
xxvi Introduction

to deal with unexpected events. Within large busi- “drivers of vulnerability that tightly weave inter-
nesses, the military, and civil defense organiza- connections between commercial supply chains,
tions, it has become standard practice to include technological systems and investment vehicles
artists, writers, and other creative professionals in underlying the global economy,” and that “unan-
scenario planning and war-gaming exercises for ticipated events such as natural disasters, failures
the purely tactical reason that they are able to view in key technical systems or malicious attacks could
systems holistically, imagine alternative causal disrupt these complex systems and produce shocks
chains, and thereby identify previously unseen that propagate around the world.” Furthermore,
sources of vulnerability as well as resilience. the report argues that “knowledge management
In order to describe and understand why some tools, modeling and data arrays” are making it
systems—and indeed, some people—appear more easier to anticipate and respond to these new cas-
resilient to unexpected events than others, schol- cading risks.
ars draw on a range of academic disciplines. Com- There have been attempts to manage global
puter scientists are developing ever more robust risk first hand, including efforts through the
network architecture and backup systems. Nat- Global Risk Network (GRN), a project that
ural scientists are working to better understand emerged out of recommendations in the 9/11
Earth systems to mitigate natural hazards. Social Commission Report and which ultimately found
scientists are developing new ways to model risk a home through New York University’s Center
and to understand how and why social systems for Catastrophe Preparedness and Response and
break down in ways that lead to crises, as well as International Center for Enterprise Preparedness.
how to avoid these breakdowns or mitigate their The GRN now meets regularly, bringing together
consequences. Business management disciplines crisis managers from global companies, nongov-
have formalized new approaches to maintaining ernmental organizations, and governments from
operational continuity in the face of disruptions, around the world to build trusted networks and
whether they affect a single enterprise or threaten address shared risks.
an entire industry sector, city, or region. Ultimately, we see the distinction between nat-
Within this context, the concept of “global risk ural disasters and social crisis blurring. Within
management” signals a recognition that some the last decade, there have been at least two cases
potential crises can be addressed only through during which significant natural disasters have
engagement across the boundaries of individual cascaded into crises within different social and
firms or industrial sectors, and across the divides organizational systems. Hurricane Katrina in
between governments and the private sector. To 2005 left the city of New Orleans with a local
this end, in 2006, the World Economic Forum government crippled by a shrunken tax base and
(WEF) began issuing an annual Global Risk substantial infrastructural damage from which
Report, outlining potential sources of common the city has yet to fully recover. The storm and
risk. For example, the WEF’s 2007 report high- its aftermath also triggered crises in the coordi-
lighted 23 global risks arranged in five catego- nation between the Louisiana state government
ries: economic (e.g., “oil price shock,” “excessive and various U.S. federal agencies. In 2011, the
indebtedness,” etc.), environmental (e.g., climate Tohoku earthquake and tsunami that devastated
change or natural disasters), geopolitical (e.g., northeast Japan also triggered a nuclear crisis at
international terrorism), societal (e.g., pandem- the stricken Fukushima power station, which led
ics or “liability regimes”) and technological (e.g., to a crisis of confidence in the leadership of the
failure of “critical information infrastructure,” Japanese government. The radiological accident
and nanotechnology). In 2011, the Organisation also wounded the reputation of TEPCO, the com-
for Economic Co-operation and Development pany that operated the Fukushima plant, and led
(OECD) released its Future Global Shocks report, to a previously unthinkable shutdown of all of the
addressing the risk of extreme events that produce country’s nuclear reactors.
continent spanning disruptions. The authors note To some extent, the factors that contributed to
that, especially in the wake of the 2008 financial these crises were well, if not also widely, known.
crisis, risk management has come to focus on And yet, key actors were surprised by how these
 Introduction xxvii

systems suffered from crisis, and they were forced techniques—presented in civil, corporate, general,
to take unplanned actions in hopes of reducing public health, and social sciences contexts. In all,
their negative impacts. some 352 articles explore crisis management in
The 2008 financial crisis provides an excellent an A-to-Z format, from “Agency Notification
illustration of how the breakdown of one system and Mobilization” to the “Y2K Bug.”
can precipitate a crisis that spreads over time and The two volumes should serve practitioners,
throughout other interdependent systems. If a sin- scholars, and students as a reference, source-
gle event could be assigned causal precedence, it book, and gateway into the constellation of
would perhaps be at the level of Lehman Brothers’ resources, theories, and practices that make up
risk management system. Their model—like the contemporary crisis management. It should addi-
models used by many other investment firms at the tionally serve to inform journalists about the
time—did not adequately hedge the risks associ- material conditions and theoretical assumptions
ated with mortgage-backed securities, and so when that underpin crises, so that as events unfold, the
other market participants began to retreat, the media may more accurately inform and usefully
firm was in too deep, overly leveraged, and with- guide the public.
out recourse. At a basic, ethical level, this event Crisis managers face a paradox—in the words
could be framed as a breakdown of trust between of Swiss playwright Friedrich Dürrenmatt, “The
counterparties. It also represents a crisis of gover- more human beings proceed by plan, the more
nance and oversight, both in terms of the banks’ effectively they may be hit by accident.” To
own boards of directors and in terms of govern- some degree, this paradox may be generic to the
ment regulation of the financial markets; a crisis of human condition because anytime people seek to
professionalism, involving mortgage brokers who secure their own well-being through mastery of
knowingly duped and defrauded clients; and an the environment, their intentions may be frus-
identity crisis within business schools, questioning trated by fate and the limits of their knowledge,
the meaning and purpose of business education. and because this frustration has emotional as
Given the complex and dynamic nature of the well as material consequences. However, as soci-
field, we seek in this Encyclopedia of Crisis Man- ologist Ulrich Beck has pointed out, the paradox
agement to provide an overview of how the prac- has intensified within our contemporary society
tices and the concepts associated with crisis man- because “the social production of wealth is sys-
agement are currently evolving. In this editorial tematically accompanied by the social produc-
endeavor, we have presented coverage of 15 cat- tion of risks.” In this light, as modern society has
egories of articles. These articles include descrip- created wealth and opportunity for the citizens
tions of agencies within the United Nations and of the world to a greater extent than ever before,
the federal and U.S. state governments, explana- it has become increasingly fragile and susceptible
tions of crises in the engineering and technologi- to crisis.
cal sectors, financial and business groups, and We present this volume with the hope that it
natural disasters. We also delve into the crises of may help reduce the economic costs, environmen-
politics, international relations, and civil violence, tal damages, and human suffering associated with
as well as population and demographics. Disas- the crises that can arise whenever unexpected
ter information databases are covered as well events disrupt our organized world.
as major nongovernmental organizations, such
as religious groups, the United Way, Red Cross/ K. Bradley Penuel
Red Crescent, and the Paul G. Allen Founda- Matt Statler
tion. Risk management standards are included, Ryan Hagen
and also numerous articles on theory, issues, and Editors
 A
Agency Notification participate in “drills” that enable them to keep
their rescue and recovery skills as honed as pos-
and Mobilization sible. In the event that a natural or technologi-
cal disaster occurs, emergency plans and agencies
Disasters and crises become defining events in need to be mobilized smoothly and effectively, so
a hazard cycle that is marked by four tempo- as to bring the greatest aid to the largest num-
ral stages: mitigation, preparedness, response, ber of people within the shortest amount of time.
and recovery. As such, primary agencies (e.g., With that said, emergency response plans are put
law enforcement, medical, armed forces, city into place to mitigate the direct effects of what-
planners, governmental, contractors) strive to ever the emergency entails by responding to the
“decrease vulnerability to major disaster by tak- immediate needs of the disaster victims.
ing measures to reduce casualties and exposure Because of the possibility of the occurrence of
to damage and disruption or that provide passive disasters of unprecedented size and destructive-
protection during disaster impact.” In this way, ness, it is necessary that each state create an emer-
mitigation strategies aim toward reducing hazard gency management agency that is charged with
exposures and developing emergency response authorizing emergency management programs, to
plans in the event of major disaster or crisis. In give the governor the power to declare a state of
order for effective emergency agency response emergency, should the need arise, and to coordi-
to be effective, therefore, individual social units nate varying offices during a state of emergency to
must be well versed in different forms of proac- channel appropriate aid to the areas most in need.
tive response that is sensitive to the community The state-level emergency management agency is
in which the emergency plan is developed. Sim- also charged with coordinating volunteer efforts
ply put, Kathleen Tierney maintains that organi- (e.g., Red Cross or humanitarian aid) and shall
zational preparedness includes developing emer- remain effectively the “go to” arena for entities
gency response plans; training employees to act wishing to assist in the event of disaster and after
proactively and response personnel on what to which time that a state governor has declared a
do in an emergency situation; acquiring needed state of emergency.
equipment, supplies, and materials; and conduct- When emergency agencies (police, fire, emer-
ing drills and exercises. Further, it is imperative gency medical services, National Guard, armed
that members of emergency response agencies forces, etc.) are mobilized, the primary emphasis

1
2 Agency Notification and Mobilization

In order to streamline joint-rescue efforts, an ice rescue instructor from the U.S. Coast Guard Station in Cleveland Harbor, Ohio, provides
instructions to Cleveland Fire Department personnel during ice-rescue training on February 3, 2010. Primary agencies strive to reduce
their vulnerability to major disasters by enhancing their organizational preparedness, which includes developing emergency response
plans, training employees and response personnel, and conducting drills and exercises to sharpen their rescue and recovery skills.

of their actions, according to Tierney, must be to Returning to the issue of organizational effec-
work to “reduce casualties, damage and disrup- tiveness, it is clear that local, state, and federal
tion, and to respond to the immediate needs of agencies must have a plan in place that governs
disaster victims.” Mobilizing response agencies at the way in which individual agencies will coor-
the local, state, and governmental levels requires an dinate with other entities to ensure the safety
ability to evaluate and neutralize potential threats, of communities at risk. More specifically, it is
sending out necessary warnings to vulnerable pop- important for emergency plans to be drawn out
ulations regarding specific hazards in and around so that the degree of emergency/crisis is known
the disaster zone, evacuating populations requir- and requisite response teams are able to jump
ing such, conducting search and rescue operations into action when presented with specific criti-
for victims of disasters, administering medical care, cal issues and problems. As such, local, state,
and providing emergency shelter and food until the and federal governments have been charged by
situation is neutralized. Further, once the imme- the Federal Emergency Management Agency
diacy of the crisis has passed, emergency response (FEMA), under the U.S. Department of Home-
agencies work to repair, rebuild, and reconstruct land Security (DHS), with developing specific
(if possible) damaged property, in an attempt to levels of response, including which teams will
remove populations displaced by crisis and disaster respond to specific types of threats, as well as
from temporary shelters back to their permanent the types of action deemed to be appropriate
residences as quickly, and as efficiently as possible. responses given the threat at hand.
 Agency Notification and Mobilization 3

Local, state, and federal emergency planners crisis but may seek support from other agencies
have identified four levels of response for emer- to assist with crisis recovery.
gency entities:
Level 4 is invoked in response to the most
Level 1 indicates routine operations. Occurring extreme life-threatening and/or property-dam-
and forecasted events present little, if any, threat. aging event. Examples include a river flood, sea
Events are monitored and managed successfully storm surge, or tsunami that displaces residents
by the appropriate agency, but additional emer- and damages structures; or a woodland fire that
gency agencies are not required to respond. requires evacuation and sheltering of residents;
or occurrence of a damaging earthquake. At this
Level 2 indicates a “heightened sense of aware- level, the situation is so dire that it cannot be
ness.” Occurring or forecasted events include a handled exclusively at the local level. Instead,
potential or present threat, for example, weather Level 4 crises require significant mobilization
or river watch/warning, volcano status changes, of emergency resources from multiple levels of
multiple wildfires, extended search and rescue, or government. During these sorts of extreme emer-
a law enforcement action. “Events exceed rou- gency events, significant interagency cooperation
tine, but responsible offices are able to manage is a must, and it is achieved through a statewide
with additional support from commonly used disaster declaration by the governor. Once again,
sources,” according to the definition of the Alaska at this level, primary crisis response is developed,
Division of Homeland Security and Emergency coordinated, and mitigated by the Department
Management. At this level, the Department of of Homeland Security and FEMA. However, in
Homeland Security and emergency managers may the event that the crisis at hand exceeds what
develop search and rescue teams, and may also the state and local governments can provide,
call upon local emergency planners to “mobilize the governor of the affected state(s) may file a
additional staff, as well as to continue to evalu- request for a Presidential Disaster Declaration.
ate” the critical issues at play during the incident. In so doing, and if the president does declare a
It is important to note, here, that at this level, specific area as a disaster zone, this action mobi-
local, state, and federal emergency managers, act- lizes federal aid resources and funds to be admin-
ing under the rubric of the Department of Home- istered by FEMA.
land Security, maintain the primary responsibility
for managing the integrity of the disaster zone, At the local and state levels, therefore, specific
together with the management with the situation. criteria are referenced in such a way as to deter-
mine the level of preparedness and potential for
Level 3 indicates that an “actual event has crisis in a given region. This analysis includes, but
occurred or may be imminent,” for example: river is not limited to, the following issues affecting enti-
flooding disrupts public transportation, extended ties that may find themselves in a disaster zone:
search and rescue requires interagency support,
a wild land fire requires evacuation and shelter • Actual or forecasted weather events that
planning, or a raised Homeland Security threat may cause significant impacts on citizens
level. At this level, a local emergency operations and their property.
center is opened, and elected leadership (state • “Occurring or predicted geologic events
governors, the president of the United States, etc.) that can cause impacts to people, property
may declare a disaster area, so as to release fed- and transportation systems [Normally
eral funds (administered through FEMA) to assist these will be volcanic eruptions or increases
with the immediacy of displacement following a in seismicity. Earthquakes could change
major emergency. When mobilized at this level, preparedness levels, however that will
local, state, and federal agencies work together to normally occur after the event]” (state of
manage the local crisis. At the mobilization of a Alaska definition).
Level 3 crisis, the Department of Homeland Secu- • Wildfire activity throughout the state that
rity maintains the primary jurisdiction over the impacts other agencies.
4 Air Traffic Control

• Availability of emergency response and following Hurricane Katrina involving the break-
recovery resources in the state. down in getting aid to those who were trapped in
• Major events occurring in communities that the Lower Ninth Ward of New Orleans and in the
may impact their response capabilities (such shelters of last resort (the Superdome and Conven-
as power failures, water and sewer system tion Center), social media sources (Facebook and
disruptions, fires). Twitter) have also taken hold as key social institu-
tions available to mobilize resources in the event
In sum, agency notification and mobiliza- of significant disaster or crisis. As the crisis ema-
tion remain linked to the type of crisis being nating from Hurricane Katrina has made excep-
experienced, the breadth of resources needed to tionally clear, not only do local, state, and federal
combat the crisis, and how widespread and far- entities play a role in the mobilization of resources
reaching the critical issues are, vis-à-vis the types (and only do so when notified by official state per-
of resources available to combat them on a local, sonnel), but social media also play a pivotal role in
state, and/or federal level. Further, one additional bringing aid to victims of crisis and disaster.
component must be considered when evaluat-
ing issues of agency notification and mobiliza- Dana M. Greene
tion, namely, the role of social media (Facebook, University of North Carolina
Twitter, Foursquare, Google Plus, etc.) not only
in creating fast and easy access to victim/missing See Also: Crisis Communications; Disaster
persons lists but also in serving as a central point Declaration; Federal Emergency Management Agency
through which volunteer agencies and groups can (FEMA); Social Media.
mobilize their resources and network with oth-
ers in a quick and easy-to-use platform. Further, Further Readings
social media work to bring communities together Illinois General Assembly. “Illinois Compiled
quickly and enable an important volunteer plat- Statutes.” http://www.ilga.gov/legislation/ilcs/ilcs3
form for the mobilization of resources in addition .asp?ActID=368&ChapterID=5 (Accessed June
to those resources that are brought in by local, 2012).
state, and federal governments. This is especially State of Alaska Division of Homeland Security and
important when conventional forms of commu- Emergency Management. “Ready Alaska.” http://
nication break down, as was the case with the ready.alaska.gov/community_services/secclevels
two-way radios during the 9/11 terrorist attacks, .htm (Accessed June 2012).
and during Hurricane Katrina, when volunteers Tierney, Kathleen J., Michael K. Lindell, and Ronald
formed the Cajun Army—a group of volunteer W. Perry. Facing the Unexpected: Disaster
boat owners who organized themselves and then Preparedness and Response in the United States.
braved the waters in the Lower Ninth Ward of Washington, DC: John Henry Press, 2001.
New Orleans to rescue people from their roof-
tops and from the toxic flood waters. As such,
while the conventional forms of networking and
drawing upon local, state, and federal resources
are important, indeed, these efforts are often aug- Air Traffic Control
mented by the mobilization of the masses, who, if
they have resources available to them, often jump Because a crisis is considered to be an unexpected
into the fray to assist conventional aid workers, event of catastrophic proportions, air traffic con-
often with extremely positive results. trol would seem to be an occupation with an
Issues relating to agency notification and mobi- extremely high potential for such occurrences. It
lization are complex, as communication among is true that the potential exists. However, almost
and between local, state, and federal agencies every action an air traffic controller takes works
can often be mired in red tape. However, recog- toward preventing the development of a crisis
nizing that significant changes have been made situation. In the event of a crisis that exceeds
since the well-documented debacle immediately the mental or physical ability of the controller to
 Air Traffic Control 5

actually control, such as a catastrophic mechani- During their training time the controllers are
cal failure of an aircraft, it is the controllers’ job to exposed to as many types of emergencies as pos-
protect the remaining aircraft under their control sible through the use of simulation. This helps in
from becoming involved. Because of the nature the development of a fine-tuned response that is
of the work, air traffic controllers must remain mostly human reflex. Early response to a crisis
completely focused on their traffic picture. Con- often means attempting to make decisions about
trollers cannot be distracted simply because the how to handle the situation while under stress
likelihood or potential for an emergency aircraft and while lacking key—and often vital—pieces of
exists. When it does happen, the controllers must information. The first thing controllers are trained
exercise their training, judgment, and experience to do is to acquire enough information to enable
to manage the situation to the best of their ability. the controller to provide the required air traffic
control services. Next, the controller complies
Training to Prepare with the desires of the pilot and assists with the
Regardless of the profession, the most effective emergency to the maximum extent possible while
way to prepare for the management of a crisis is keeping all other air traffic clear of the situation.
training. To be most effective, the training should
be of the highest possible fidelity. The military The Crisis
forces call it “training as you fight.” The con- There are certain characteristics that can be asso-
ditions should be as realistic as possible. This ciated with any crisis. First, there must be a threat
is important in order to elicit the same level of of catastrophic proportions. Second is the ele-
emotions and response that an individual would ment of surprise. Third is a short decision time
experience under real-time emergency or crisis in which to attempt implementation of a manage-
conditions. This provides an individual with the ment effort. If one were to question any air traffic
optimum conditions to develop the skills required controller for an example of such a situation that
to make the decisions and to take the actions to met all the criteria, without a doubt the unani-
head off or to mitigate the effects of such an event. mous response would be September 11, 2001.
Air traffic controllers begin early with the train- Even though they were not aware of it at the
ing process. The vast majority of controllers are time, air traffic controllers were the first ones to
graduates of Air Traffic–Collegiate Training Initia- know there was a potential problem developing.
tive (AT–CTI) schools. These are colleges and uni- Shortly after American Airlines Flight 11 departed
versities selected by the Federal Aviation Adminis- Boston, the Air Route Traffic Control Center
tration (FAA) to provide training to undergraduate (ARTCC) watched the aircraft as it proceeded
students attending these institutions. The training off its route. The aircraft had gone “radio silent”
includes classroom lectures, laboratory simula- and stopped obeying instructions. Next, the tran-
tions, and assessments of their performance. sponder went off. (The transponder provides
Upon graduation, the students are hired by the controllers with vital information, such as the
FAA and attend the Air Traffic Control Academy aircraft’s altitude and ground speed.) Although
in Oklahoma City, Oklahoma. There the new this is unusual, this same kind of situation could
employees receive additional training by the FAA be expected if an aircraft were experiencing some
to prepare them for the type of air traffic control type of an emergency and attempting to return
facility to which they will be assigned. to the departure airport. Controllers continued to
Once they graduate from the academy, the con- attempt to reestablish communications with the
trollers arrive at their facility of assignment and plane and did what their training and experience
begin the most extensive portion of their training. told them to do—get other traffic out of the way.
The actual facility training can take up to several When the second, third, and finally the fourth
years, depending on the complexity and air traffic aircraft began to ignore instructions, the entire
volume of the facility. Of course, the busier facili- picture changed. This was not just unusual, this
ties require a much longer training period before was impossible. By this time, everyone knew that
the controller is fully certified to work traffic on a crisis was unfolding and efforts to manage it
his/her own without the assistance of a trainer. had already begun. The military had been alerted
6 Air Travel

and had scrambled fighter jets to intercept the Gesell, L. Air Traffic Control: An Invitation to a
hijacked flights from a base over 150 flying miles Career. Chandler, AZ: Coast Aire Publications,
from New York. 1990.
Kirwan, B., M. Rodgers, and D. Schafer. Human
Managing the Crisis Factors Impacts in Air Traffic Management.
As the terrorists used the hijacked aircraft to inflict Burlington, VT: Ashgate, 2005.
maximum physiological and psychological impact
on the American public, the FAA gave a command
that had not been heard in the history of air traffic
control: Everyone lands, no one takes off.
At the time the FAA made the decision to clear Air Travel
the skies, there were nearly 4,000 planes in the air
over the United States. The air traffic controllers Crises in air travel have occurred since humans
responded to the crisis armed with their ability and took to the air. Safety concerns related to unstable
experience. They buckled down and did their jobs weather conditions, structural safety of planes,
just as they had been trained to do. However, this and inadequate pilot training were associated
time the job was of a magnitude never before expe- with early air crashes. With the exception of a few
rienced. Hundreds of thousands of people found notable accidents, air travel is the safest mode of
themselves in destinations totally unfamiliar to mass transportation available. However, current
them. Small airports were stretched to their limits threats associated with air travel are most likely a
as they faced the challenge of attempting to park result of terrorism, environmental events, or com-
the grounded flights as they arrived in what seemed municable disease.
to be never-ceasing numbers. And then it was
done. Remarkably, the nation’s air traffic control- Terrorism and Air Travel
lers had landed every plane in the nation’s airspace Commercial aircraft safety came to a crisis on
in less than three hours, without a single accident. September 11, 2001, when four commercial
A crisis management plan had, for the most part, aircraft were commandeered in flight. One was
been developed and implemented on the spur of deliberately crashed into the Pentagon, the center
the moment and had been historically successful. of U.S. military operations in Arlington, Virginia.
These air traffic controllers did not arrive at Two other airplanes were crashed into the Twin
their assigned facilities on the morning of Sep- Towers of the World Trade Center in New York
tember 11 with a crisis management plan on their City. A fourth airliner failed to accomplish its
minds or even considering that a crisis might mission—believed to be a deliberate crash into a
occur. That is the way it is every day. Controllers high-profile target in Washington, D.C.; instead,
sit down and do the job with the assurance that the plane was crashed into a field in a rural village
if an emergency or crisis arises, they possess the in western Pennsylvania. Cell phone communica-
skills, ability, judgment, and training to manage tions between passengers and family members
the situation within the limits of their control. during the flight revealed that some of the pas-
sengers attempted to wrest control of the plane
John R. Griffin away from the hijackers and their efforts may
Embry–Riddle Aeronautical University have averted a fourth successful terrorist attack
on a U.S. population center. None of the pas-
See Also: Air Travel; Decision Stream; Hijackings; sengers or terrorists survived the crash. The four
Routine Emergencies Versus True Crises; Terrorism; airliners were not hijacked (taken over) for the
Training; Trigger Events. purpose of demanding money, release of political
prisoners, or demands to be flown to safe havens
Further Readings outside the United States. Instead, the takeover
Eisfeldt, H., M. Heil, and D. Broach. Staffing of the airplanes was done with the intention of
the ATM System: The Selection of Air Traffic using them and their jet fuel loads as deadly ter-
Controllers. Burlington, VT: Ashgate, 2002. rorist weapons.
 Air Travel 7

In the aftermath of the 2001 attacks, airline Environmental Crises and Air Travel
passengers have recognized the risk of losing their Sustained volcanic activity in Iceland spewed
lives in suicide bomber attacks. Passengers have ash into the atmosphere during May 2010. Deci-
responded with increased vigilance and readiness sions on halting flight activities in ash-impacted
to actively take down terrorists and disturbed indi- areas were made by European governments, and
viduals who threaten aircraft and passenger safety. 1,000 flights were canceled. The International
Travelers aboard a December 22, 2001, flight Air Transport Association (IATA), an aviation
from Paris to Miami reported the smell of smoke, industry group, called for action to improve deci-
and a struggle ensued between the cabin crew and sion making on when and where grounding of
a male passenger who was later identified as a planes should be made in the event of future vol-
terrorist. Passengers quickly came to the aid of canic eruptions; the agency called for improved
the cabin crew and restrained the individual with research to evaluate flight safety conditions in
improvised handcuffs and the administration of a ash-laden atmospheres and reported that the
sedative. The plane was diverted by U.S. authori- European states had failed to take swift action
ties and safely landed. in the face of the volcanic ash crisis. The IATA
In a separate incident, on December 25, 2009, called for common policies, such as existing poli-
a male terrorist aboard a flight to Detroit, Michi- cies for flying in hazardous weather conditions,
gan, from Amsterdam, the Netherlands, was to be applied to determine safe flight routes when
observed trying to detonate an explosive device in confronted with volcanic ash threats. Unlike in
his underwear. Passengers rapidly responded on Europe, in the United States the Federal Aviation
hearing firecracker-like sounds, smelling smoke, Administration (FAA) provides detailed informa-
and seeing flashing lights. The passengers and tion on ash levels and no-fly zones that is made
crew members restrained the would-be bomber, available to the aviation industry.
and the aircraft arrived safely without injury or
loss of life. Communicable Disease Threats to Air Travel
Airline passengers aboard a January 6, 2011, Communicable diseases such as influenzas—
flight from Oslo, Norway, to Istanbul, Turkey, including H1N1 (referred to as avian or bird
thwarted a hijacking attempt by wrestling the flu), H1N1/09 (commonly called swine flu), and
would-be hijacker to the floor of the plane. One severe acute respiratory syndrome (SARS)—are
passenger secured the use of a fire extinguisher examples of highly contagious viruses that can be
and fired it like a gun, aiming it at the hijacker’s transmitted from animal to animal or from one
face. No serious injuries occurred, and the crew person to another. Other forms of communicable
and passengers were safely landed. diseases include cholera, tuberculosis (TB), small-
With the urging and assistance of flight crew pox, plague, yellow fever, diphtheria, and viral
members, passengers forcibly restrained the cap- hemorrhagic fever. Public health agencies such as
tain of a March 27, 2012, JetBlue flight between the Centers for Disease Control and Prevention
New York City and Las Vegas, Nevada, who dis- (CDC) in the United States and the internation-
played severely disturbed behavior by racing up ally based World Health Organization (WHO)
and down the aisle of the plane. The plane landed are authorized to identify individuals who pose
in Amarillo, Texas, where the disturbed captain communicable disease threats to the public. In
was taken into custody. No injuries were reported. the United States, the CDC, under the auspices
The accounts of passengers taking successful of the federal Department of Health and Human
life-saving actions to protect themselves in flight Services, may prohibit individuals suspected of
are examples of heightened awareness and behav- having a communicable disease from entering
iors learned from the tragedy of the 2001 terrorist the country. Isolation and, infrequently, quaran-
attacks and the subsequent successful outcomes tine measures may be taken to protect the public
of passenger takedowns of terrorists reported in from exposure. The confined space and limited air
the media. Moreover, airborne collaborations transfer in the pressurized atmospheres of airplane
between flight crews and passengers have resulted cabins increases the danger of spreading commu-
in swift actions against terrorists. nicable diseases in close quarters, not only to the
8 All-Hazards

passengers and crew, but also to the unsuspect-

ing public when communicable disease carriers
All-Hazards
arrive at their destinations, blend into the general A hazard is a dynamic phenomenon that threatens
population, and become difficult to track by pub- people and their possessions, assets, and activi-
lic health agencies. The International Cooperative ties with injury, damage, destruction, or curtail-
Arrangement (ICAO) for the Prevention of Spread ment. Broadly, there are four kinds of hazards:
of Communicable Disease through Air Travel natural (e.g., floods, earthquakes), technological
(CAPSCA) is an international agreement between (e.g., transportation crashes, toxic spills), social
governments, public health agencies, and the avia- (e.g., riots, crowd crushes), and intentional (e.g.,
tion industry to combat the transboundary spread acts of terrorism, hostage taking). The simplest
of communicable diseases through air travel and manifestations of hazards are those that involve
air cargo transport. CAPSCA serves as a com- a single agent (for example, an earthquake) act-
munication vehicle for nations to more effectively ing upon a simple situation of vulnerability (for
work together to address communicable disease instance, houses that may be damaged). How-
crises involving air travel. A critical function of ever, it is increasingly recognized that hazards can
CAPSCA is to help countries adhere to WHO strike in complex ways. For example, a “natech”
International Health Regulations governing com- hazard is a combination of a natural and a tech-
municable disease transmission. nological agent. One of the largest events of this
kind was the Tohoku earthquake and tsunami of
Hal Marchand March 11, 2011, in eastern Japan that led to a
Western Illinois University major radioactive release from the Fukushima
nuclear power plant.
See Also: Biological Weapons; Centers for Disease The intersection between hazards can take dif-
Control and Prevention (CDC); Cholera; Ebola Virus; ferent forms. A reservoir dam, for example, may
Epidemics; Hijackings; Pandemics; Quarantine; be subject to the following risks: flooding (inade-
Sabotage; Severe Acute Respiratory Syndrome quate spillway design), seismic activity (structural
(SARS); Smallpox; Suicide Bombings; Terrorism; damage, dislevelment because of tectonic uplift
Tuberculosis; Volcanic Eruptions; World Health or subsidence), sudden landslides or avalanches
Organization (WHO), UN. that cause water waves, sedimentation that
reduces reservoir capacity, or merely structural
Further Readings failure. This, then, is a multihazard situation in
Cooperative Arrangement for the Prevention of the which naturally generated extreme events inter-
Spread of Communicable Disease Through Air act with the dam, an anthropogenic construction.
Travel. http://www.capsca.org (Accessed May An alternative scenario is one in which there are
2012). cascades of hazard impacts. In one instance, an
Howard, R. D. and J. F. Forest. Weapons of Mass earthquake damaged a factory that contained a
Destruction and Terrorism. New York: McGraw- tank full of sulfuric acid: the tank ruptured and
Hill, 2008. spilled its contents into the local river. The first
International Civil Aviation Organization. “ICAO consequence was the structural damage, the sec-
Moves Quickly to Create Task Force to Deal With ond was the need for a toxic spill cleanup opera-
Volcanic Ash.” http://www.icao.int/Newsroom tion, and the third was an alarm about possible
/Pages/icao-moves-quickly-to-create-task-force-to corrosion of bridge abutments and acidification
-deal-with-volcanic-ash.aspx (Accessed June 2012). of groundwater supplies.
Kellman, B. Bioviolence: Preventing Biological Terror
and Crime. Cambridge: Cambridge University Complex and Cascading Hazards
Press, 2007. In complex and cascading hazard situations,
9/11 Commission. Final Report of the National the principal or triggering event is not necessar-
Commission on Terrorist Attacks Upon the United ily the dominant one in terms of the gravity of
States. Authorized Edition. New York: W. W. consequences. For instance, damage to buildings
Norton, 2004. and structures may result directly from dynamic
 All-Hazards 9

acceleration of the ground during an earthquake. facilitated the ability to combine geographical rep-
However, in areas where lenses and strata of satu- resentations of hazards in order to show how dif-
rated sand are common surficial geological forma- ferent locations are generally at risk. In particular,
tion, liquefaction damage may be more serious. the overlay facility of a geographic information
Moreover, major earthquakes commonly cause system (GIS) enables hazard maps to be compared
thousands of landslides. In areas with urbanized, in order to calculate the hazardousness of place.
unstable slopes, landslide damage may be more Microzonation can be defined as the identifica-
serious than the direct results of the shaking. This tion of separate areas that have different potentials
was the case in the 1976 Guatemala City earth- for specific hazard effects. Because the zones need
quake, which severely damaged housing on can- to be distinguished from one another, they are usu-
yon sides that were heavily affected by seismic ally separated by thresholds, for example, in the
landslide activity. force of the mapped phenomenon in relation to
its ability to cause damage. Microzonation map-
All-Hazards Zonation ping and analysis needs to be conducted at a scale
The concept of the “hazardousness of place” has that can be applied to individual buildings or short
been vigorously promoted since the 1960s. At that stretches of road, or at least small groups of struc-
time it was already common to compile detailed tures, so that remedial and protection work can be
maps of single hazards and their probable effects carried out on the basis of the hazard information.
(for example, landslide susceptibility maps). By the The simplest form of microzonation is the
1990s, advances in spatial depiction had greatly single-hazard, single-purpose kind. For example,

A Center for Domestic Preparedness (CDP) team carries a simulated victim through the decontamination process during an exercise
at their headquarters in Anniston, Alabama, on August 4, 2011. Responding to all-hazards, mass-casualty events is a core principle
of CDP training. In the 1990s, the U.S. Federal Emergency Management Agency developed the “all-hazards” emergency plan, a set of
operating procedures and directions for action that could be adapted to a wide variety of different threats.
10 All-Hazards

snow avalanche hazard can be mapped in detail quality of data: Even a fully microzoned area can
for the purposes of determining potential loss depict only known hazards, and specifically, those
of life or damage to buildings. However, many whose magnitude and frequency can be measured
places are threatened by more than one hazard, in spatial terms. This may require long periods of
or they can be subject to complex or cascad- observation. Nonetheless, combining microzona-
ing hazards. This very significantly complicates tion maps with scenarios of hazard impacts can
microzonation but greatly increases its explana- provide a firm basis for planning risk reduction
tory power. Moreover, there are different rea- and emergency response measures.
sons for conducting microzonation surveys, and
therefore the fullest development of the technique All-Hazards Planning
involves multiple hazards (and hazard interac- In the 1990s the U.S. Federal Emergency Manage-
tions) for multiple purposes. This is the approach ment Agency (FEMA) developed the concept of
that most closely depicts the “hazardousness of the modern “all-hazards” emergency plan. This
place.” One limitation stems from the range and could include chapters on specific hazards, nor-
mally those of greatest importance in the area
covered by the plan, but its core would be a set
of standard operating procedures and directions
for action that could be adapted to a wide variety
Case Studies in the Lack
of different threats, including those that manifest
of All-Hazards Planning
themselves in complex or cascading ways.
In the past, emergency plans have been written Hazards that are frequent or of high magnitude
in order to define procedures for responding and that are known to affect a particular area at
to single hazards. This has had an unfortunate recurrence intervals of less than half a century
consequence: if the area in question suffers should receive specific treatment in an emergency
from a different form of impact, the plan must plan. The level of detail with which the plan treats
either be spontaneously adapted to the situation them will be a function of the precision and depth
as it evolves or be abandoned. For instance, on with which they are assessed. The response to
September 11, 2001, the District of Columbia those hazards that are unexpected and cannot be
had to cope with the effects of the terrorist predicted or adequately assessed should be gov-
attack on the Pentagon and ensuing disruption erned by standard, generic procedures. Hence the
as people tried to leave the city en masse, using all-hazards plan needs to be adaptable to a range
a plan that had been developed for managing of threats, from those that are very well known
the possible effects of the so-called millennium and on which there is a considerable amount of
bug, the hypothesized malfunction of computer information to those that are highly unusual or
systems on January 1, 2000. This resulted in improbable—but not impossible.
management that was less than optimal. In the United States, FEMA encourages plan-
In another example, for many years the city ners to use an all-hazards framework. National
of Florence, Italy, had an emergency plan that management structures are specifically designed
was written in response to urban flood hazard, to accommodate this. The National Incident
because the largest and most devastating disaster Management System (NIMS) provides a means
that the city ever had cope with in modern times of implementing on-site incident command for
was the flood of November 3–4, 1966. Although all kinds of hazard, crisis, and response. The
relatively minor flooding did occur in the 1990s National Response Framework (NRF) specifies
and 2000s in Florence, the city had to cope with flexible, scalable, and adaptable response struc-
a terrorist bomb attack in 2003, a fatal crash tures for managing national emergencies. The
at the local airport in 1998, and major snow underlying aim is to manage emergencies effec-
disruption in 2010. In none of these cases could tively and efficiently, whatever their cause and
a plan to deal with flooding be regarded as an consequences. Finally, organizations such as the
adequate source of direction. Citizen Corps Council (CCC) have an all-hazards
role in providing nongovernmental local response
 All-Hazards 11

to different threats in conjunction with govern- that was not foreseen. Once again, detailed proce-
mental authorities at various levels. This whole dures can be worked out for common and antici-
setup is beset by significant obstacles in that some pated hazards, while generic ones must be used
laws, norms, and regulations are not compatible for unpredictable events.
between federal, state, and local levels. Moreover, In synthesis, it has become generally accepted
there are “gray areas” in which it remains to be practice to adopt the all-hazards approach when
determined which level of government should planning for and managing emergency responses.
take responsibility for certain actions, such as This must involve tackling the full range of
search and rescue. This further complicates a situ- known hazards, using scenario modeling to con-
ation that already has many intricacies. strain uncertainties to manageable levels. It must
involve designing generic procedures to cope with
Multidimensional Emergency Management hazards that are too rare or improbable to be
One of the biggest challenges of modern emer- foreseen and on which no data from past impacts
gency management is to be able to make effec- exist. Finally, it requires careful attention to the
tive decisions in environments characterized not interaction between hazards, including cascades
merely by large amounts of data but also by a of effects, as the consequences of one impact trig-
huge breadth of types of information. In advo- ger other hazards and other effects. The complex-
cating advanced knowledge management tech- ity of such situations requires emergency planners
niques, Dag Von Lubitz et al. noted the following: and managers to use modern tools, such as GIS
“In the ultra complex setting of mega-disasters, and knowledge management systems.
decision-makers must process vast amounts of
multidisciplinary, often poorly organized, dispa- David Alexander
rate data and information and convert it into rel- Global Risk Forum, Davos
evant and usable knowledge.”
The multilayered response to cascading or com- See Also: Cascading Crisis; Emergency Management,
plex hazard events may require response from as Principles of; Federal Emergency Management
many as 35 different professions and disciplines. Agency (FEMA); Hazard, Definition of; Nuclear Risk.
Hence, a further challenge is to provide a com-
mon language and culture capable of integrating Further Readings
disciplinary perspectives and promoting interop- Burton, Lloyd. “The Constitutional Roots of
erability. Half the problem of responding to a cri- All-Hazards Policy, Management, and Law.”
sis is not a question of knowing how to do one’s Journal of Homeland Security and Emergency
own job but one of appreciating and understand- Management, v.5 (2008).
ing the actions of other responders, especially Drabczyk, Anne L. “Ready, Set, Go: Recruitment,
those in fields different from one’s own. Training, Coordination, and Retention Values for
A further challenge is to be able to extrapolate All-Hazard Partnerships.” Journal of Homeland
events and to anticipate unusual consequences Security and Emergency Management, v.4 (2007).
in order to be prepared to manage them well. In Federal Emergency Management Agency (FEMA).
order to do this, the interaction between hazards Producing Emergency Plans: A Guide to All-
needs to be studied attentively, as do the rami- Hazard Emergency Operations Planning for
fications of societal impact. Areas of the latter State, Territorial, Local, and Tribal Governments.
that are commonly neglected in emergency plan- Washington, DC: FEMA, 2008.
ning include the care of inmates in prisons dur- Sikich, Geary W. It Can’t Happen Here: All Hazards
ing threatening disasters, veterinary emergency Crisis Management Planning. Tulsa, OK: PennWell
response, and cultural heritage planning. Regard- Books, 1993.
ing the last of these, the fragility and irreplace- Von Lubitz, Dag K. J. E., James E. Beakley, and
ability of many cultural artifacts makes it impera- Frédéric Patricelli. “‘All Hazards Approach’ to
tive to adopt an all-hazards approach to planning. Disaster Management: The Role of Information
One cannot allow the heritage to be fully protected and Knowledge Management, Boyd’s OODA Loop,
against one hazard but then destroyed by another and Network-Centricity.” Disasters, v.32 (2008).
12 Alternate Site, Corporate

Alternate Site, Corporate Alternate sites may also be secured in the

form of reciprocal agreements or memorandums
An alternate site refers to a physical location that of understanding (MOUs) for the utilization of
employees may work from in the event that their space for the needed connected infrastructure and
primary workplace is damaged or destroyed. employee accommodations should the need arise.
Mobile work solutions are strategies that
Needs of Different Corporate Groups could be used in the event that a physical work-
Alternate sites need to be considered for specific place is unavailable. Telecommuting can allow
groups in the corporate environment. One is an employees to work from home when given the
identified alternate site for a crisis management appropriate technology in advance to do so.
team to convene, such as a backup emergency Some employees will be able to continue essen-
operations center (EOC) or command center. tial work flows if given access to e-mail, software
A second is an identified site for specific busi- programs, and company networks from their
ness units for emergency relocation. Another is a home computers.
backup site for a company’s data center. A backup site should be considered when a
A backup EOC or command center should be company’s business is dependent on a sophisti-
situated away from the primary location. Con- cated technology infrastructure. This focuses on
siderations for a location should include environ- information technology (IT) and other machinery-
mental concerns (i.e., population density, urban- related systems that drive a company. If possible,
ization) and local hazards (flood zones, fault alternate sites should be built to offer 24/7 backup
lines, etc.). It should be in an area not likely to protection and automatic migration of data when
be impacted when the primary location might be the primary system becomes disrupted.
impacted. Distance should be a consideration but
may vary based on need. Types of Alternate Sites
Each business unit within a company should There are three types of alternate sites: a cold site,
have a strategy for where its work can be con- a warm site, or a hot site. The differences between
tinued in the event that its office space is inacces- the types are determined by the costs and efforts
sible. In large companies, other company-owned required to implement each.
facilities should be considered. Additional office A cold site is an identified space that does not
space in proximity to the affected site may be able contain any resources or equipment needed for
to host essential employees and assist in continu- business operations. Equipment and resources
ing essential processes and operations. must be installed in such a location after the dis-
In the absence of other company facilities ruption has occurred and needs have been identi-
in close proximity, alternate worksites can be fied. This requires the most time to set up dur-
arranged through private vendors. Hotels and ing a crisis and is common with general business
vacant buildings may be utilized to accommo- functions. This is traditionally viewed as the most
date personnel and necessary office equipment. cost-efficient approach. However, the cost of pur-
Portable structures, such as trailers, should be chasing equipment during a crisis and on short
considered as well. A frequent concern with this notice may be higher than in normal times. It may
approach is vendors overcommitting. If contract- also be more difficult to obtain—and in some
ing such services, note in the agreement whether cases impossible to obtain—under emergency
the vendor is allowed to contract with more than conditions.
one company for a given site or facility. The inten- A warm site is an identified space that contains
tions of the vendor are reasonable, as it is not partial resources or equipment needed for busi-
likely that all businesses using their services will ness operations, such as desks, chairs, telephones,
need to do so at the same time. Having many cli- and computers. This requires less time to set up
ents means they can offer the protection at a more during a crisis than a cold site and may also be
affordable rate. However, in a large-scale incident useful for many of the general business functions.
that affects many businesses, it is likely that these A hot site is an identified space that has the
services will be overcommitted. resources and equipment to allow for a complete
 American Society for Industrial Security (ASIS) SPC.1-2009 13

continuation of a business function. Equipment

and resources are maintained as if the site was
American Society for
the primary location. Hot sites vary in size and Industrial Security (ASIS)
capability based on the need of the business. This
requires minimal time to set up and can be justi- SPC.1-2009
fied when downtime of the business function is
detrimental to the overall business. This is seen The ASIS International SPC.1-2009 standard,
with specialized business functions. A big and Organizational Resilience: Security, Prepared-
often-overlooked advantage of a hot site is its ness, and Continuity Management Systems—
ability to be used every day for training purposes Requirements With Guidance for Use, has been
or as extra work space. adopted by the U.S. Department of Homeland
Security (DHS) Private Sector Preparedness (PS-
Business Continuity Planning Prep) program. The PS-Prep program is designed
The identification of an alternate site is part of to improve the preparedness of organizations
the business continuity planning process and through conformance to established preparedness
should be done early in the development of the standards and best practices. ASIS International
emergency plan. The alternate site should pro- SPC.1-2009 provides a cost-effective approach to
vide for the continuing of key business func- managing risks of disruption by providing a bal-
tions as identified in the Business Impact Analy- anced framework for the minimization of both the
sis (BIA). For the most part, each business unit likelihood and consequences of disruptive events.
within a company should be responsible for
identifying its own alternate site strategy ver- ASIS International
sus the company as a whole. This way the indi- The American Society for Industrial Security
vidual needs and concerns of each business unit (ASIS) was founded in 1955 and officially changed
will be addressed appropriately in the business its name to ASIS International in 2002. ASIS Inter-
continuity plan. national is a professional security nonprofit orga-
nization with over 37,000 members and 200 local
Julie Kachgal chapters worldwide. ASIS represents the interests
Walt Disney Company of the security management profession in such
areas as business, media, government, and pub-
See Also: Backup Facility; Business Continuity lic entities. Additionally, ASIS offers professional
Planning; Business Resumption Planning; Cold security educational materials and programs, cer-
Site; Data Recovery; Disaster Recovery; Downtime; tifications, workshops, and conferences. Approxi-
Reciprocal Agreement; Warm Site. mately 20,000 security professionals from around
the world attend the ASIS Annual Seminar and
Further Readings Exhibits conference.
American Society for Industrial Security International. In the public, private, and nonprofit sectors,
Business Continuity Guideline: A Practical security management responsibilities often include
Approach for Emergency Preparedness, Crisis risk management, crisis management, business
Management and Disaster Recovery. Alexandria, continuity, and preventing or mitigating other
VA: U.S. Chamber of Commerce, 2005. organizational threats. In support of these high-
Disaster Recovery Journal. “Alternate Sites.” http:// level responsibilities, ASIS developed the organi-
www.drj.com/drworld/content/alternate.htm zational resilience ASIS SPC.1 American National
(Accessed July 2012). Standard, which is one of three standards adopted
Erickson, Paul A. Emergency Response Planning for by the PS-Prep program, as discussed below.
Corporate and Municipal Managers. Amsterdam:
Elsevier/Butterworth-Heinemann, 2006. Private Sector Preparedness (PS-Prep)
Fagel, Michael J. Principles of Emergency In 2007, the U.S. Congress directed the DHS to
Management and Emergency Operations Centers establish and implement the voluntary private sec-
(EOC). Boca Raton, FL: CRC Press, 2011. tor preparedness accreditation and certification
14 American Society for Industrial Security (ASIS) SPC.1-2009

program. As a result of this directive, the PS-Prep by organizations to facilitate resilience and pre-
program is designed to improve the preparedness paredness as well as to seek certification recog-
of organizations through conformance to estab- nized by PS-Prep. The standard can be integrated
lished preparedness standards and best practices. with quality, safety, environmental, informational
PS-Prep enables organizations to implement the security, risk, and other management systems
necessary steps for instituting and maintaining a within an organization. SPC.1-2009 is designed
comprehensive management system addressing to be flexible and scalable, to adapt to an ever-
business continuity, organizational resilience, and changing environment.
emergency and disaster management. Addition- The standard is applicable to all sizes and
ally, DHS provides recognition for those entities types of organizations (private, nonprofit, public,
that certify to the adopted preparedness standards. domestic, multinational, etc.), creating a balanced
PS-Prep is a voluntary program, primarily serv- strategy for both likelihood and consequence
ing as a resource for private and nonprofit entities reduction for incident prevention and manage-
interested in instituting a comprehensive business ment based on the process approach, which
continuity management system. Incorporating emphasizes the importance of the following:
three industry standards, PS-Prep offers orga-
nizations the opportunity to develop and main- • Understanding the organization’s risk,
tain certification to U.S. nationally recognized security, preparedness, response, continuity,
approaches to resilience and preparedness. A core and recovery requirements
function of ASIS International is to promote orga- • Establishing a policy and objectives to
nizational preparedness. ASIS International, in manage risk
line with PS-Prep program objectives, developed • Implementing and operating controls for
the ASIS International ASIS SPC.1-2009. managing organization’s risk in the context
The three DHS-adopted PS-Prep standards are of the organization’s mission
(1) ASIS International’s Organizational Resilience: • Monitoring and reviewing the performance
Security, Preparedness, and Continuity Manage- and effectiveness of the organizational
ment Systems—Requirements With Guidance resilience management system
for Use (also known as ASIS SPC.1—American • Continual improvement based on objective
National Standard and ASIS International SPC.1- measurement
2009); (2) the British Standards Institution’s BS
25999 (Part 1 and 2); and (3) the National Fire SPC.1-2009 adopts the plan-do-check-act
Protection Association‘s NFPA 1600, Standard (PDCA) model, which is applied to structure the
on Disaster/Emergency Management and Busi- organizational resilience management system
ness Continuity Programs. processes as identified in the following:

ASIS International SPC.1-2009 • Plan: Establishes management system

The ASIS International SPC.1-2009, also known policy (includes a policy statement
as the ASIS Organizational Resilience Standard, demonstrating management commitment),
helps an organization design a system to reduce objectives, processes, and procedures
the likelihood and minimize the consequences relevant to managing risk and improving
of disruptive events. The standard provides a security, incident preparedness, response,
framework for organizations to assess the risks continuity, and recovery to deliver results
of disruptive events (emergencies, crises, disas- in accordance with an organization’s
ters); to develop a proactive strategy for preven- overall policies and objectives based on risk
tion, response, and recovery; to establish per- assessment and impact analysis.
formance criteria; and to evaluate opportunities • Do: Addresses implementation and
for improvement. The standard guides entities operation of the management system policy,
to implement an organizational resilience man- controls, process, and procedures.
agement system based on specific organizational • Check: Assesses and measures process
and stakeholder needs. SPC.1-2009 can be used performance against management system
 Arms Control 15

policy, objectives, and practical experience Time Objective; Resiliency; Response; Risk; Risk
and reports results to management for Analysis; Scenario Planning; Strategic Plans; Supply
review. Chain; Trigger Events; Vulnerability.
• Act: Take corrective and preventive
actions, based on the results of the internal Further Readings
management system audit and review, American National Standards Institute. “About ANSI
to achieve continual improvement of the Overview.” (2012). http://www.ansi.org/about_ansi
management system. /overview/overview.aspx?menuid=1 (Accessed
March 2012).
SPC.1-2009 is approved by the American ASIS International. “About ASIS.” (2012). http://
National Standards Institute (ANSI) and based on www.asisonline.org/about/history/index.xml
the International Organization for Standardiza- (Accessed March 2012).
tion (ISO) management system standard model. ASIS International. “Frequently Asked Questions.”
The standard integrates plans for managing the (2012). http://www.asisonline.org/about/faqs.xml
risks of disruptive events into their enterprise- (Accessed March 2012).
wide risk management programs, consistent with ASIS International. Organizational Resilience: Security,
the ISO 31000, Risk Management, Principles, Preparedness, and Continuity Management
and Guidelines. Further, SPC.1-2009 leverages Systems—Requirements With Guidance for
existing investment in other ISO management Use: ASIS SPC.1 American National Standard.
systems to include the following, in order to Alexandria, VA: ASIS International, 2009.
improve security, preparedness, and continuity British Standards Institution. BS 25999-1:2006,
performance: British Standard, Business Continuity
Management—Part 1: Code of Practice. London:
• ISO 9001, Quality Management Systems BSI, 2006.
• ISO 14001, Environmental Management British Standards Institution. BS 25999-2:2007, British
Systems Standard, Business Continuity Management—Part
• ISO 27001, Information Security 2: Specification. London: BSI, 2007.
Management Systems International Organization for Standardization.
• ISO 28000, Specification for Security “About ISO.” (2012). http://www.iso.org/iso
Management Systems for the Supply Chain /about.htm (Accessed March 2012).
National Fire Protection Association. NFPA 1600,
Conclusion Standard on Disaster/Emergency Management
The standard provides a comprehensive manage- and Business Continuity Programs. Quincy, MA:
ment system approach including security, pre- NFPA, 2010.
paredness, response, mitigation, business/opera- U.S. Federal Emergency Management Agency.
tional continuity, and recovery for disruptive “About PS-Prep.” (2012). http://www.fema.gov/
incidents facilitating organizational resilience. privatesector/preparedness/about.shtm (Accessed
March 2012).
Marc Glasser
University of Nevada, Las Vegas

See Also: BS 25999; Business Continuity

Management; Business Continuity Planning; Business Arms Control
Impact Analysis; Business Resumption Planning;
Contingency Planning; Contingent Coordination; In the post–World War II era (1947–87), arms
Department of Homeland Security (DHS); Federal control was largely a function of superpower
Emergency Management Agency (FEMA); National rivalry between the United States and the Soviet
Fire Protection Association (NFPA) 1600, 2007, and Union as the respective nuclear arsenals, deliv-
2010; Pre-Crisis Training and Planning; Pre-Impact ery vehicles, advanced missiles, bombers, and
Planning Process; Preparedness; Prevention; Recovery nuclear attack submarines made nuclear war
16 Arms Control

and mutual assured destruction a real possibil- tried to formalize earlier agreements; however,
ity. Until efforts were made by the two nations Italy and France refused to agree to an extension
to reduce their nuclear capabilities, there had of the treaty and Japan withdrew in 1935. The
been very limited efforts in the United Nations 1925 Geneva Protocol, which now has some 130
framework for arms reductions among those parties, prohibited the use of asphyxiating and
advanced states with a fairly robust military. The poisonous gases and bacteriological weapons in
UN Conference on Disarmament was designed to international conflicts, though it did not apply to
deal with arms control issues affecting developed internal or civil wars. Ironically, many countries
nations in areas as diverse as land mines, outer retained the right to use such weapons in a retal-
space, fissile material, and the development of iatory strike, and some attempted to limit first-
advanced weaponry. strike prohibitions altogether.
Arms control generally came to be understood By comparison, the major arms control trea-
in terms of its primary principles, which included ties that obligated the United States and the Soviet
(1) verifiable and parallel reductions in strategic Union to balanced nuclear reductions included
arms, (2) measures to build confidence between the following:
states over further arms developments and
research, (3) net reductions in certain weapons • START I (1991): The United States, Russia,
systems deemed to be “destabilizing” to a region and the former Soviet republics agree
of the world, and (4) commitment to a verifiable to limit major nuclear weaponry. The
treaty that obliges the parties to engage in bal- agreement became effective in 1994, to be
anced reductions of nonstrategic systems over a implemented by December 2001. The major
period of time, which often includes provisions limitations include the following:
for on-site inspection and external review and »» 1,600 deployed intercontinental
verification of these reductions. Against this back- ballistic missiles (ICBMs), submarine-
drop was the ambiguous yet firm right each sov- launched ballistic missiles (SLBMs),
ereign nation retained under the United Nations and heavy bombers for each side
(UN) charter to defend itself against attack while »» 6,000 warheads, of which no more
simultaneously pledging itself to efforts that pro- than 4,900 may be on ICBMs and
mote global security while reducing the distribu- SLBMs
tion and growth of global arms. • START II (1993): The United States,
Russia, and the former Soviet republics
History of Arms Control enter into an agreement to further limit
Historically, one of the first such efforts was the nuclear weapons. Basically, the warhead
1899 Hague Convention, which tried but failed limit was reduced to 3,500, of which
to limit armaments to a great degree, while other no more than 1,750 could be SLBMs.
subsequent Hague conferences addressed issues of The U.S. Senate ratified this agreement
arbitration and principles and treaties of warfare. in January 1996, but Russia has made
For instance, early Hague conventions approved ratification contingent on U.S. acceptance
prohibitions on the use of asphyxiating gases of subsequently negotiated agreements
and the use of expanding bullets (dumdums) and that extended the deadline and that made
discharges of projectiles or explosives from bal- the Soviet republics parties to the Anti-
loons. However, reflecting a perennial problem Ballistic Missile (ABM) Treaty. Ratification
with such treaties where compliance is seldom was further delayed because of the U.S.
achieved, none of these agreements was observed intention to withdraw from the ABM
during World War I. One significant effort fol- Treaty. In May 2002, Russia and the
lowing World War I from 1921 to 1922 was the United States negotiated a new treaty that,
Washington Conference, which aimed to reach like START II, reduces nuclear arsenals
disarmament, arms limitation, and arms control by about two-thirds. This new treaty
agreements designed to halt the global naval arms must now be ratified by Congress and the
race. In 1930, the London Naval Conference Russian Duma.
 Arms Control 17

• ABM Treaty (1972): The United States to this agreement except India, Pakistan,
and the Soviet Union agree not to develop Cuba, and Israel.
extensive missile defense systems. The • Comprehensive Nuclear Test Ban Treaty
United States has maintained that testing (1996): This treaty is negotiated under the
and development of ABM systems is within auspices of the United Nations and prohibits
the scope of this agreement. In 2002, the any nuclear explosion whether for weapons
George W. Bush administration formally or peaceful purposes and includes a system
announced that the United States would be for monitoring adherence to the ban. The
withdrawing from this treaty. treaty does not become effective unless
ratified by the five acknowledged nuclear
Along with these bilateral treaties there were weapon states and the three threshold states
several multilateral treaties that obligated at least of India, Pakistan, and Israel. The U.S.
35 nations, and sometimes many more, to reduc- Senate has not ratified this treaty.
tions in their respective armaments while also
pledging to stem and control the further distri- There are other treaties, such as the Land Mines
bution and proliferation of certain weapons sys- Treaty, to which many states agreed, and the Bio-
tems. They include the following: logical and Toxic Weapons Convention of 1972,
which is far from being complete, and yet ongo-
• Chemical Weapons Convention (1993): ing negotiations have kept global attention on
A multinational agreement to eliminate these subjects as nations wrestle with the existing
production and storage of chemical and emerging array of weapons systems. There is
weapons. Only a very few countries have no treaty that circumscribes international missile
not signed and ratified this agreement. development, nor is there a treaty that compre-
There is an international inspection hensively addresses advanced weapons systems;
organization to ensure compliance. The however, the desire for most UN nations to bring
United States has encountered some a variety of weapons systems under some form of
technological difficulties in destroying some treaty coverage and control remains very strong.
of its stockpile, while Russia has faced
economic obstacles in meeting destruction Why Arms Control?
deadlines. Incentives for states to enter into such treaties
• Conventional Armed Forces in Europe are the political and presumed economic advan-
Treaty (1990, modified in 1999): This tages of reducing arms and promoting confidence
treaty places legally binding national through mutual visits and efforts to contain pro-
ceilings on the conventional armed forces liferation of arms considered to be destabilizing.
of every country party to it and has special Another dimension to this is the irony of sovereign
restrictions on forces in flank regions. It states pursuing weapons programs they believe
also contains conflict resolution procedures simply enhance their own defensive options and
for member states. The adapted treaty will strengthen their security posture. When India and
not enter into force until all 30 signing Pakistan pursued nuclear weaponry, their actions
states ratify the agreement. took place outside the NPT and were couched in
• Nuclear Non-Proliferation Treaty (NPT; terms of the need to bolster national security. In
1968): The five nuclear weapon states the same vein, both North Korea and Iran have
(Russia, United States, United Kingdom, embarked on a similar course of action, relying on
France, and China) agree not to transfer the ambiguous elements of the NPT to maximize
nuclear weapons, other nuclear explosive peaceful nuclear research that has the innate poten-
devices, or their technology to any non– tial for conversion to weaponization purposes.
nuclear weapon state. The non–nuclear Key issues remain as obstacles to further treaty
weapon states agree not to acquire or work on global arms reductions that include the
produce nuclear weapons or nuclear technical and operational challenges of build-
explosive devices. All nations are parties ing robust verification systems, finding equitable
18 Arms Control

and enforceable definitions of “noncompliance” sincerely to a more widespread and global move
with treaty provisions, and agreeing on mea- toward wider arms reductions and controls.
sures designed to compel states into compliance. With advances in weapons technology and the
Then there is the question of balanced and par- competitive climate for strategic advantage con-
allel reductions in existing arms systems, while tinuing in the absence of total global disarmament,
weapons systems modernization and technologies the incentive for many states to acquire robust
continue in largely unrestricted domains. There weapons systems to increase their own security,
is also the question of proliferation, arms sales, build deterrence, and demonstrate the power
illicit arms trafficking, and the frequent practice of their armaments is unlikely to cease. Instead,
of reverse engineering of rival weapons systems pressures for gradual disarmament must be cat-
by states that used espionage to acquire weapons egorized in terms of two major areas of interest:
they need to defeat or replicate. (1) strategic systems involving nuclear forces, mis-
No easy answers exist for the steady and verifi- siles, chemical-biological weapons, advanced laser
able reductions of arms considered to be destabiliz- and robotic platforms, versus (2) lesser weapons
ing, such as advanced fighters, attack submarines, systems such as aircraft, submarines, tanks, artil-
intermediate-range ballistic missiles, and acoustic- lery, and land mines that can be approached in dif-
and laser-based weapons that convey a distinct tac- ferent arms control venues. As a result, avenues
tical or strategic advantage to their owners. The for arms control will likely remain inside the UN
pressure to acquire an advanced weapons systems system for lesser armaments within the annual
array that has genuine deterrent power and thereby Conference on Disarmament and those special
discourages attacks because of the retaliatory and unique bilateral and multilateral treaties that
capabilities of possessing states remains one of the address more strategic systems containing destabi-
most difficult challenges facing those committed lizing weapons.
The right of sovereign states under the UN
Charter to embark on legitimate self-defense
activities is ambiguous enough to persuade any
state to pursue a dynamic and strategic capabil-
ity sufficient to establish a deterrent against exter-
nally based attack. This includes missile defense,
robust naval and air forces, armies infused with
high-technology weapons, and acquisition of
strike weapons that possess strategically devas-
tating power. However, as we know, many states
have avoided this bottomless pit of progressively
lethal weapons systems growth, instead relying
on alliances, neutrality, or other effective nonmili-
tary means to protect their sovereignty.

Future of Arms Control

As new weapons systems emerge and states exhibit
advantages arising from these new systems that
convey deterrent power and strategic invincibility,
the momentum toward further arms control efforts
will likely be confined to well-known and control-
lable weapons systems. Some states will not have
the resources or technology to stay abreast of newly
These Vela satellites were deployed in support of the Limited developed weapons systems, while others will push
Test Ban Treaty of 1963 and carried sensors designed at Los ahead despite painful trade-offs elsewhere in their
Alamos and Sandia National Laboratories to detect nuclear own economies, as North Korea did. Even states
explosions in the atmosphere and in space. that embark on strategic missile defense systems
 Auditing 19

are not immune to pressures to share this protec- of the areas of safety, security, and emergency
tive technology or curb development of such sys- preparedness for compliance with requirements
tems inside an arms control treaty. Missile defense, both internal and external. Crisis management,
airborne lasers, acoustic wave energy weapons, as a subset of safety, security, and emergency pre-
and other modern systems are often seen as insur- paredness, can reap many benefits from a rigor-
mountable national defenses creating fortress-like ous and regular auditing program to establish
states that will consistently resist the opportunity the state of preparedness and the effectiveness
to restrict or control these systems through con- of procedures, policies, programs, and processes
ventional arms control measures or treaties. and to provide corrective action where noncom-
pliances or deficiencies are noted so that remedial
Robert McCreight measures may be put into place prior to failure in
George Washington University implementation.

See Also: Biological Weapons; Chemical Weapons; Purpose of Audits

Land Mines; Missiles; Nuclear and Radiological Auditing is part of preparedness. Clearly, preven-
Weapons; Nuclear Proliferation. tion is the highest form of crisis management, and
auditing to ensure that preventive measures are in
Further Readings place, as well as responsive measures, is a primary
Arms Control Association. “Issue Briefs.” http://www concern in assuring that any organization, juris-
.armscontrol.org/issuebriefs (Accessed August diction, or agency is as well prepared for crisis as
2012). possible.
Cooper, Neil and David Mutimer. “Arms Control Audits can be performed to meet external
for the 21st Century: Controlling the Means of requirements for assessment, or they can be an
Violence, Contemporary Security Policy.” (2011). internal process designed to measure an agency’s
http://dx.doi.org/10.1080/13523260.2011.556820 ability to meet its own requirements for prepared-
(Accessed March 2012). ness and recovery. Sometimes both external and
Lumpe, L., ed., and UN Institute on Disarmament internal audits are mutually required, with the
Research. Small Arms Control: Old Weapons, external audit assessing the efficacy of the internal
New Issues. Aldershot, UK: Ashgate, 1999. audit as a measure of quality assurance.
Nuclear Arms Control—Background and Issues.
Washington, DC: National Academy of Sciences, Management Audits
1985. There are several different approaches that may
OXFAM. “Controlling Arms: Understanding the be adopted for the purpose of auditing plans, pro-
Issues.” http://www.oxfam.org.nz/what-we-do grams, and procedures for crisis management.
/issues/control-arms/understanding-the (Accessed Compliance audits measure the implementation
March 2012). of written manuals, procedures, and work instruc-
Woolf, Amy. “Strategic Arms Control After tions, and this is most certainly an effective method
START—Issues and Options.” Washington, DC: of measuring preparedness and response in crisis
Congressional Research Service, 2010. management. However, management audits make
additional analyses of the agency’s documents,
processes, and activities to focus on results. This
is a process that evaluates not just the existence
of procedures, programs, and processes but also
Auditing the effectiveness and suitability of these controls
(in this case, to address adverse events that will
Auditing may be defined as the systematic evalu- result in crises that can reasonably be foreseen to
ation of a system, function, task, or organization occur for the agency, organization, or jurisdic-
according to established and measurable stan- tion). It may include reviews and evaluation of
dards and criteria. Accepted industry practices for methodology and approach. Management audits
business continuity have long included auditing are compliance audits that additionally employ
20 Auditing

cause-and-effect analysis. Their evaluation meth- An effective audit program also addresses other
odology provides the opportunity to identify haz- issues of concern to the agency, jurisdiction, or
ards or failures that occur in chains of events, not organization, including promotion of efficiency in
simply in one step of the process. For this reason, operation, eliminating redundancies and duplica-
it is a more effective approach to auditing for criti- tion of effort, effectiveness in management and
cal processes, including crisis management. supervision, and the awareness and understand-
The outcome to be considered is the ability to ing of crisis management among all partners.
manage adverse events and to recover in an effec- Some audit findings may result in recommenda-
tive and efficient manner. The auditor(s) should tions for improvement rather than corrective
ensure that careful review of processes and pro- action for noncompliance.
tocols is performed to ensure that the interrela-
tionships can be adequately explored through the Areas to be Audited
audit process. General areas of inquiry for crisis management
include the following:
Systems Approach
It is well established that effective management of • Policy and plans: concept of operations,
crises is an interdependent process; many agencies, continuity of operations, continuity of
departments, and organizations work together to government, emergency operations, crisis
maximize response and recovery, and in essence, management, or other plans as required by
the discrete organizations become a system dur- statute or other requirement
ing crisis management. Auditing of preparedness • Planning process: communications,
for crises must take into account and evaluate the coordination, redundancy, resources,
interactions between these critical partners. Inter- methodology (including post-incident
departmental and interagency communications briefing and analysis), and documentation
protocols are critical elements of preparedness • Communications: protocols, procedures,
and should be well documented and exercised as unified command, public information, and
well as included in the audit process. documentation
• Procedures: preparedness, operations, and
Auditing Principles recovery
The basic goals of a crisis management audit pro- • Training: protocols, procedures, and
gram are as follows: documentation
• Documentation: as-built drawings,
• Assess compliance with all regulatory schematics, maps, etc.
compliance and internal requirements • Special operations: hazardous materials,
• Assess outcomes of programs, processes, institutional operations (such as schools,
and procedures, with emphasis on hospitals and care facilities, and prisons),
addressing known areas of difficulty or utilities, equipment and personnel
complex interactions requiring special staging, access and security, information
treatment technology, evacuations, shelter
• Ensure that all identifiable hazards operations, weapons of mass destruction
are documented and addressed in an (WMDs), pandemics, and other areas as
appropriate manner appropriate
• Ensure that appropriate corrective action • Reporting: statutory, internal, and
for any areas of noncompliance or for external (to include after action, grant/
hazards/adverse outcomes identified reimbursement, etc.)
in the audit process are developed and
implemented appropriately Depending on the particular threats and vul-
• Ensure that the audit program is robust, nerabilities of the organization or function to be
well managed, fully implemented, and addressed, additional areas of inquiry may be
documented appropriately appropriate.
 Auditing 21

Audit Process • Auditor qualifications and training

An audit cycle begins with notification to the • Audit schedule and cycle (e.g., annual,
audited department or function. Documentation biennial)
pertaining to all requirements, standards, and • Audit reporting requirements
guidelines should be requested and reviewed, and • Review and revision cycle for audit
a checklist of all requirements developed. A pre- program documentation
audit briefing may be held with the area to be • Other items as required by the program
audited to introduce the auditor(s) and the key objectives
stakeholders, to explain the audit process, to col-
lect documentation, and to address questions and There are a number of audit methodologies
concerns of the participants. that may be used as models. The International
An audit interview is held with the key stake- Organization for Standardization (ISO) pub-
holders, and the checklist is reviewed to deter- lishes a baseline quality management methodol-
mine compliance with all standards, guidelines, ogy (ISO 9001:2008) as well as an international
and requirements. Supplemental documentation auditing standard (19011:2011), as do a number
may be requested to establish compliance. Field of other national and international organiza-
verifications to observe preparedness activities tions, including the American Society for Qual-
and resources may also be appropriate. ity, RABQSA, and private businesses specializing
Once compliance and noncompliance have in crisis management. The National Fire Protec-
been established though the interview and docu- tion Association publishes an excellent standard
mentation review, the auditor(s) should deliver a for Emergency Management and Business Con-
preliminary report of these findings to the audited tinuity (NFPA 1600), which includes a standard-
area. A corrective action plan is developed by the ized checklist for auditing Continuity of Opera-
audited area to bring any noncompliances into tions Plans and other emergency management
compliance. The auditor(s) may need to provide plans, processes, and procedures. It is an excellent
support to assist the departments in developing resource for crisis management auditing.
the corrective action plan. In addition, any rec-
ommended improvements can be addressed in the Auditors
corrective action plan as well. In order to perform effective audits, auditors must
Finally, the auditors may also provide assis- have both training and knowledge in the field to
tance in the implementation phase to assist the be audited as well as in auditing itself. Training in
audited area in developing documentation, imple- auditing is available from the organizations listed
menting programs, and further assessing the cor- in the previous paragraph or through continuing
rective actions for suitability and effectiveness. education and private emergency management
When the cycle is repeated, assessment of previ- consulting companies.
ous areas of noncompliance will involve efficacy If possible, audits should be conducted by a
of corrective actions. team of auditors who have training and knowl-
edge in the areas to be audited. A team approach
Audit Program brings more experience and expertise to the pro-
A proper audit program must be well documented ceedings and thus provides a greater benefit for
and consistently administered. The components the organization being audited. The audit team
of the audit program that must be documented should have a clear leader, who will organize and
are the following: guide the audit process.

• History, purpose, goals, and objectives e-Audits

• Audit oversight and authority Developments in information technology and
• Audit philosophy and methodology assurance have made possible the practice of elec-
• Audit procedures and supporting tronic auditing, which can be defined as an audit
documents (e.g., checklists, document in which electronic means are used to collect audit
request lists) evidence. Methods can be developed for constant
22 Avalanches and Landslides

real-time monitoring of electronic information Similar disasters also affect developed countries
and processes related to crisis management and such as Japan, where approximately 3,000 people
emergency preparedness, and systems can provide have been killed by landslides over the last cen-
notifications when anomalies occur. tury. Most landslides have occurred in Asia; how-
There are clear benefits to using e-audits, ever, the costly landslide damages have occurred
including increased efficiency, reduction of audit in Europe (Table 1). Landslides and avalanches
errors, and introduction of real-time monitoring are the most destructive disasters in developing
to enhance audit methodology. countries, particularly those with high population
growth, intensive land use and deforestation, and
Elisa Nichols construction and mining activities. Central Amer-
Independent Scholar ica, northwestern South America, the Caucasus
region, the Himalayan belt, Taiwan, the Philip-
See Also: National Fire Protection Association pines, Indonesia, Italy, and Japan are among the
(NFPA) 1600, 2007, and 2010; Preparedness. landslide hazard hot spots.

Further Readings Mass Wasting Hazards

Bernstein, Jonathan. Manager’s Guide to Crisis Landslides are external geologic processes called
Management. New York: McGraw-Hill, 2007. “mass wasting.” Major causes of mass wasting
International Organization for Standardization (ISO). are the downslope movement of rock under the
ISO 9001:2008—Quality Management Systems— force of gravity, slope angle, weakness in the
Requirements. ISO, 2008. structure and composition of rock (weathering),
International Organization for Standardization. storms or heavy rain for periods of time, snow
ISO 19011:2011—Guidelines for Auditing melting, human activities on slope, erosion of
Management Systems. Geneva: International slope toe, deforestation loading or dredging, con-
Organization for Standardization, 2011. struction of roads, and mining.
Messier, W. F., Jr. Auditing and Assurance Services: If the mass moves along a curved surface of
A Systematic Approach. 3rd ed. New York: rupture, the movement is called slump. Usually,
McGraw-Hill/Irwin, 2003. slumped material does not travel fast nor very far.
National Fire Protection Association. NFPA If the material involved in rapid downslope move-
Standard 1600: Standard on Disaster/Emergency ment is a large amount of water-saturated flow,
Management and Business Continuity Programs. the event has a disastrous effect on people and
Quincy, MA: NFPA, 2010. property. During the extremely fast mass move-
Russell, J. P. “Remote Control.” Quality Progress ment, called an avalanche, rock debris along with
(January 2011). ice and snow can move downslope at speeds of
Turoff, Murray, et al. “Assuring Homeland Security: 200 kilometers (125 miles) per hour, causing a
Continuous Monitoring, Control and Assurance of destructive event. Rock slides occur when blocks
Emergency Preparedness.” Journal of Information of bedrock break loose and slide downslope. Such
Technology Theory and Application, v.6/3 (2004). events are among the fastest and most destruc-
tive mass movements. Rock slides tend to be most
active during the spring, when heavy rains and
melting snow are greatest.
Earthquakes also often trigger rockslides. The
Avalanches and Landslides 1811 earthquake at New Madrid in Missouri
caused landslides in the area of more than 13,000
In the El Niño storms of early 1998, the U.S. Geo- square kilometers (5,000 square miles) along the
logical Survey (USGS) documented approximately Mississippi River valley. In terms of property
$150 million in losses from 300 landslides that damage, the most devastating effects of the 1964
occurred in the California area. The 2006 land- Alaska earthquake were landslides in Anchorage,
slide in the Philippines caused about 200 deaths, some 130 kilometers (80 miles) from the center
and about 1,000 people disappeared in the debris. of the quake. The earthquake triggered landslides
 Avalanches and Landslides 23

of various types and dimensions, causing exten- perhaps triggered by earthquake activity. In 1929,
sive damage to settlements, farmlands, and infra- off the coast of Newfoundland, seismic activity
structures. In addition to killing people outright, had caused multiple breaks and the breakage of
they can also have an extremely serious impact 13 transatlantic telephone and telegraph cables.
in terms of hampering rescue operations. Land- The avalanche of sediment raced downslope with
slide activity can cause damage to communication a speed approaching 80 kilometers (50 miles) per
and power networks, and the increased amount hour on the steep slopes, snapping the cables in
of sediment production and movement can also its path.
cause many problems. Submarine slides are common and very effi-
Mudflow is a rapid type of mass movement cient mechanisms of sediment transfer from the
that is most characteristic of canyons in semi- shelf and upper slope to deep-sea basins. They
arid mountainous regions that usually have little can occur on very gentle slopes, and they have the
or no vegetation and involves a water-saturated potential for triggering a tsunami. For instance,
debris flow during a large, heavy rain. The rapidly steep submarine scarps (15 degrees) of the Mar-
moving dense mudflow can push and carry large mara Sea, marked with deep basins bounding with
boulders, trees, and even houses long distances. continuous sediment transportation via subma-
The hot materials from the volcano cause rapid rine canyons, carry a high risk associated with a
melting of great amounts of snow. Such satu- large-scale slope failure to generate tsunamis and
rated debris flow was also triggered by the volca- severe damage along the coastal area of Istanbul.
nic activity of Mount St. Helens in 1980. “Earth The tsunami generated by the earthquake-trig-
flows” occur in humid areas as a result of exces- gered Grand Banks slide in 1929 killed 27 people
sive rainfall. Earth flows are quite viscous. They in Newfoundland. The 15-meter-high tsunami
generally flow more slowly for a short distance that killed more than 2,000 people in Papua New
downslope, unlike mudflows. Guinea in 1998 was also a result of an earthquake-
“Creep” is a type of mass movement that triggered huge submarine slide. The enormity of
involves the gradual downhill movement of soil the Storegga slide, which took place 8,200 years
and may be initiated if the ground becomes satu- ago, makes it one of the largest submarine slides
rated with water. Although the movement is slow, along the coasts of Norway, Scotland, and the
its effects are easily recognized. Creep causes Faeroe Islands. Large submarine slides may again
fences and poles to tilt, and tree trunks are often generate tsunamis with the potential for severe
bent with the movement. damage along coastlines, where oil production
The steep, narrow continental margins are from offshore fields is ongoing in the Norwegian
also highly affected by slope failure processes. margin, Gulf of Mexico, offshore Brazil, the Cas-
Downslope movements of dense mass movement pian Sea, and west Africa. Another example is the
eroding and transporting materials with high land failure along the shelf edge at the Nice airport
speed along the continental slope and rise are in 1976. Nuclear power plants are often located

Table 1 Landslide damages between 1903 and 2006

Number of Damage,
events Killed Homeless Affected Total affected $ (000s)
Africa 23 745 7,936 11,748 19,740
Americas 144 20,651 186,752 4,480,037 4,671,598 1,226,927
Asia 244 17,554 3,784,351 2,389,151 6,177,032 1,477,893
Europe 80 17,349 8,810 41,281 50,822 2,157,389
Oceania 16 541 8,000 2,963 11,015 2,466

Source: EM-DAT.
24 Avalanches and Landslides

Figure 1 North American public avalanche hazard scale

Source: Canadian Avalanche Association.

in such coastal areas. Depending on the volume hazard, to identify infrastructure that may be
of deposits, submarine landslides can generate tsu- at risk, and to measure real-time precipitations
nami waves that can affect an entire basin. aided by radar data. Warnings are broadcasts
through the Advanced Weather Interactive Pro-
Hazard Mapping and Monitoring cessing System (AWIPS) to local emergency man-
Movements such as rockslides and “rock ava- agers and the media.
lanches” are the most catastrophic events of mass Landslides do not only kill people; they can
wasting. Since these events kill thousands, there is also have an extremely serious impact in terms
a need for intensive sustainable mitigation mea- of hampering rescue operations and the deliv-
surements, so that, through more effective and ery of assistance and can cause long-term dam-
timely warnings, monitoring, forecasting, and age to communication and power networks. The
better risk reduction, lives can be saved. increased amount of sediment production and
The Disaster Relief Act of 1974 delegates to movement can also cause many structural and
the USGS the responsibility to map both flow nonstructural problems.
source areas and existing landslides and to issue It is also common that landslides do not occur
disaster warnings for landslides and other geo- as one singular event but may be induced by
logic catastrophes within the scope of this Local earthquakes and volcanic eruptions. Furthermore,
Hazard Mitigation Plan. The USGS has tradi- landslides can also trigger other disasters such as
tionally focused its landslide hazards research floods, debris floods, and tsunamis. Therefore,
in specific geographic areas, such as the Pacific mitigation of other disasters related to landslides
Northwest or southern California. The USGS should also be integrated into the local/national
and its partner, the National Weather Service, slope master plan.
developed debris flow warning systems. The The key factors in a comprehensive and inte-
USGS has committed to assess the potential for grated disaster management system are hazard and
 Avalanches and Landslides 25

vulnerability identification, risk assessment, and Further Readings

risk mitigation. Generation of “landslide maps” Briand, Frederic, ed. “CIESM Workshop Monographs
is a core component of risk reduction initiatives No 42: Marine Geo-Hazards in the Mediterranean,
and of great significance for assessing the land- Nicosia, Cyprus, 2–5 February 2011.” http://www
slide risk in terms of pointing out past and cur- .ciesm.org/online/monographs/Nicosia.html
rent landslide occurrences, identifying expected (Accessed December 2011).
damage or losses by landslides, estimating land- EM-DAT: The OFDA/CRED International Disaster
slide frequency, and risk reduction programs. The Database. http://www.em-dat.net (Accessed
USGS produces basic types of landslide maps in December 2011).
California: landslide inventory maps, landslide IGOS. “IGOS Geohazards Theme Report.” (August
hazard maps, landslide risk maps, and landslide 2007). http://igosg.brgm.fr (Accessed December
zone maps. 2011).
The national slope master plan should provide Nadim, F., O. Kjekstad, P. Peduzzi, C. Herold, and
crisis management using risk assessment, risk C. Jaedicke. “Global Landslide and Avalanche
management, and risk communication (Figure 1), Hotspots.” Landslides, v.3/2 (2006).
with the appropriate standard operating, early Shaw, Rajib, Yukiko Takeuchi, and Badaoui Rouhban.
warning, evacuation, and rapid (post-disaster) “Education, Capacity Building and Public
information supply, and needs assessment pro- Awareness for Disaster Reduction.” In Landslides:
cedures to support relief and efforts at building Disaster Risk Reduction, K. Sassa and P. Canuti,
back better at the response stage. eds. Berlin Heidelberg: Springer-Verlag, 2009.
U.S. Geological Survey. “National Landslide Hazards
Nilgün Okay Mitigation Strategy: A Framework for Loss
Istanbul Technical University Reduction.” Circular 1244. Washington, DC: U.S.
Geological Survey, 2003.
See Also: Earthquakes; Floods; Risk Analysis; U.S. Geological Survey. “National Landslide Hazards
Tsunamis; U.S. Geological Survey (USGS); Volcanic Program (NLHP).” http://landslides.usgs.gov
Eruptions. (Accessed December 2011).
 B
Backup Facility There are three kinds of backup sites that can
be utilized by a team: a cold site, a warm site, and
A backup facility is used like a backup genera- a hot site.
tor when power is lost; it is something to turn to
when the primary source is no longer available Cold site: Simply put, this is an empty shell; it
or accessible. A backup facility is also known as cannot be used for anything until resources are
an alternate facility, alternate workspace/place, or acquired and set up (both information technology
emergency operations center (EOC). It is a loca- (IT) and end user items). There is no data here, no
tion that a corporation turns to when access to its IT, no resources of any sort. It is an empty space
primary site fails to provide critical systems and where organizations can go and begin to populate
services and is no longer accessible or available. and set it up for operations when the need arises.
It is activated only when a major crisis or disas- To use an analogy, a cold site is like an empty
ter prevents the business from continuing normal glass compared to a full glass of water.
operations. A backup site is key to a crisis man-
agement team (CMT) if it intends to restore and Warm site: This site may have some physical
recover systems and services. The backup facility equipment available, with some wiring in place.
can be used by technology teams or end users, or It could be limited in space for end user use, but
as a space for the CMT, as a command center. It there is a wait required while additional equip-
can also be any combination of these. ment is loaded and configured before it can be
It is used to reestablish core or critical systems utilized. One of the main components that differ-
and services so that the impact to clients, cus- entiate a warm site from a hot site is that data are
tomers, vendors, and suppliers is minimized and not available at a warm site. The warm site must
allows the corporation to get back to operations wait for data to be restored and, possibly, user
faster than if no alternate (backup) site were avail- workstations to be connected to a network before
able. For crisis management teams, a backup facil- any activities can commence. A warm site is like
ity provides the ability for other team members to a half-full glass of water compared to a full glass.
perform their restoration and recovery efforts in
the absence of the primary facility. If the primary Hot site: A hot site is identical to a primary site;
site becomes unavailable, then there is another it is ready to continue operations almost imme-
facility where workers can go: a contingency site. diately and often is set up to “fail over” without

27
28 Backup Media

any human intervention. It contains equipment The decision as to which kind of backup facil-
that has a duplicate set of data—copied at very ity is required is determined when internal impact
regular intervals—and systems (i.e., networks, assessments are completed; the resulting find-
servers, etc.) preconfigured to allow operations ings can have a positive or negative impact on
to continue. This site can house everything from the CMT. Not having a site to fall back to can
technology systems to end user desktops and mean that an organization can take too long to
desks. A hot site is like a full glass of water beside restore services, which may make partners—and
another full glass of water. the community—angry waiting for services to be
restored. A backup facility that already has some
All three of these backup site options can be functionality available to the CMT can enable it
broken down into two categories: internal sites to be operational sooner, which can only benefit
and external sites. those impacted by the disaster or crisis and in
need of core critical services.
Internal: An internal backup site is under the
direct management control of the corporation and A. Alex Fullick
can be used by the corporation for any purpose. Independent Scholar

External: An external backup facility is not under See Also: Disaster Recovery: Emergency Operations
the direct management control of the corpora- Center; Mobile Recovery Site; Recovery.
tion. Most notably, this is a facility operated by
a third-party vendor who has a contract signed Further Readings
by a corporate executive (or even members of the Elliott, Dominic, Ethne Swartz, and Brahim Herbane.
CMT) to provide cold, warm, or hot site services. Business Continuity Management. New York:
Routledge, 2010.
The decision to use a backup site comes from the Rittinghouse, John W., and James F. Ransome.
crisis management team at the time of disaster— Business Continuity and Disaster Recovery for
depending upon the impact—or after a triage dis- Infosec Managers. Amsterdam, Netherlands:
cussion (aka an impact assessment) has been per- Elsevier Digital, 2005.
formed. If the decision is made to move operations Schmidt, Klaus. High Availability and Disaster
to a backup facility, the CMT then ensures that Recovery. Frankfurt, Germany: Springer, 2006.
appropriate communications are disseminated,
including vendor, media, the general community/
public, supplier, and employee notifications.
A backup facility, either cold, warm, or hot
version, is necessary if a corporation or a commu- Backup Media
nity leader is to reestablish operations; without
any alternate site available, it is nearly impossible The purpose of backup media is to store informa-
to become operational after a disaster. tion for future restoration and use, much like a
For instance, if a hot or warm backup facility spare tire is a backup for a tire gone flat. Backup
is available to a corporation or community lead- media can take many forms, but the form used
ership when a disaster or crisis strikes, it is able needs to be suitable for the restoration process
to put into action restoration and recovery efforts and the restoration environment. Backup media
that will enable critical services to become available are important to the crisis management process in
sooner than if a site did not exist. If only a cold that having a way to restore the information that
site exists, it will take longer for services to become existed before the crisis can help the response to
available, as teams will be “starting from scratch.” and recovery from the crisis.
It also means that the CMT will be busy making
initial decisions on what to restore first and fore- First Steps
most, but these types of decisions have already been The first step in selecting backup media is to
made when a warm or hot site is first established. find backup media that can be used by existing
 Backup Media 29

equipment to perform the backup and also the memory stick that plugs into a portal on the PC
restore. The media should be readily available called a universal serial bus (USB). These memory
on the open market and not prohibitively costly sticks have no moving parts and are usually small,
to use. Media can be reusable, but if they are sometimes called “thumb drives” because of their
reused, they must only be reused per the manu- similarity to the size of a person’s thumb.
facturer’s reuse specifications and they should be
restored periodically to be sure they areworking Media Types and Storage
properly. The two different types of media, CDs and mem-
Most equipment capable of using information ory sticks, represent two major ways of storing
comes equipped with devices for “reading” new information. CDs and DVDs store information
information into the equipment, and sometimes optically, which means the information is read
those devices can also be used to “write” exist- and written using lasers in the CD/DVD drive. The
ing information out to the same type of media memory stick stores information magnetically or
that they are read from. Of course, sometimes the electronically. Each has its advantages and disad-
devices are “read only,” which means they can vantages. A CD is damaged by heat and ultravio-
only read and cannot write. let light or anything that would deform the plas-
Using personal computers (PCs) as an example, tic disc or inhibit light from passing through its
they usually come equipped with several ways to protective plastic outer layer. Memory sticks can
read information using different portals on the be damaged by a strong electrical charge like a
PC. Some devices on a typical PC include a com- power surge or a strong magnetic field or multiple
pact disc (CD) and a digital video disc (DVD). passes through high power X-rays in airport lug-
These have drawers that open to accept plastic gage screeners. Both media can survive water, but
reflective discs that spin around to be read, much the electronic media should be unplugged prior
like a record player or an old Victrola. Some CD to being exposed to water or they could short-
and DVD devices can also write to blank discs. circuit. Electronic media need to be dried out over
Unless the disc is rewritable, it cannot be writ- a longer period of time, while optical media can
ten to a second time. Another device is called a simply be cleaned and used.

In 2009, the National Oceanic and Atmospheric Administration (NOAA) completed implementation of its nine-year, $180 million
contract by installing the newest generation of IBM supercomputers (Stratus) and backups (Cirrus). The system and backup will allow
the NOAA to run more complex models to extend watch and warning lead times for severe weather. Housed at separate locations, the
perfectly symmetrical pairing allow Cirrus to take over in a matter of minutes in the event that Stratus fails.
30 Backup Media

The environment where the media will be the mass scanning and storage of small pictures of
used helps determine the type of media to use. If the documents that can be viewed with a special
the media will be exposed to heat and scratch- Microfiche reader that magnifies the images.
ing, then magnetic media should be used. If the
media are exposed to magnetic fields and poten- Magnetic tape: There is a more business-oriented
tial power surges or frequent X-rays, then optical medium called magnetic tape that uses strips of
media should be used. In some cases it may be a tape with a film that can be magnetized to hold
good idea to use both media. No matter which information. These tapes are subject to the same
media are used, it is always a good idea to back considerations as other magnetic media but in
up information periodically and keep at least addition, rough handling can damage the mecha-
one of those backups in a separate location from nism holding the tape and can even crinkle the
the others, often called an off-site location. For tape itself. Another device is an external hard disk
PCs, this off site can be a safety deposit box or drive that is much like the hard drive on a PC, but
a lockbox at a distant site. For business media, it is encased and plugs into a computer, usually
any vendor specializing in off-site storage can be via the USB plug.
contracted with to protect the media. It won’t do
much good to have backups if they are destroyed Media Attrition
with the original information. The following are As time passes, media can become outdated and
several different ways to back up and store media: may not be readable by newer media readers. As
time progresses and new backup media are devel-
Internet backup: Another way to provide protec- oped, serious consideration should be given to
tion for data is to use an Internet backup service converting existing backups to the newer media,
and back up information far away on media pro- as well as to using the new media for current
tected by the service provider. It does not really backups. Nothing could be worse than going to
matter which media the vendor uses because the get important information from older backups
information is stored far away from whatever and finding that there is no longer the capability
might destroy the original information. A new PC to read the older format or the older media. The
connected to the Internet can be used to restore retention of older backups and when they should
the lost information. be converted to newer technology or destroyed
always needs to be considered.
Read-only media: If computer viruses are of
concern, then read-only media should be used. Conclusion
Optical media can allow a backup to be written There are many forms of backup media that are
once but not allow anything else to write over the either optical or magnetic. The possible threats
information or to erase the information. Some to which media might be exposed should deter-
electronic storage can be locked so that nothing mine which medium are used, or if different types
can write to it until it is unlocked. of media should be used. Periodic backup on
the media of choice is required to ensure several
Noncomputer media: Backup media do not have versions of information just in case one medium
to be computer based. Papers can be backed up is destroyed or cannot be read properly. Older
by making copies and storing them off-site in a media backups need to monitored so that they
safety deposit box; or businesses, there are also can be destroyed or converted as newer media
off-site paper storage vendors who provide cli- replace older media. Some media backups should
mate-controlled, secure warehouses. Papers can be stored off-site to protect them from harm.
also be scanned as images or pictures and stored Planning for the proper backup media can help
electronically. Imaged papers do take up consider- crisis management speed recovery and get the
ably more storage space than just the information organization back into operation.
on the paper, so consideration should be given to
cost per page. An older form of storing papers William Lang
and images is called Microfiche; it is essentially Independent Scholar
 Backup Strategy 31

See Also: Backup Facility; Backup Strategy; Business recovery processes. Typically, the higher priority
Continuity Planning Life Cycle; Critical Business a function has, the more its absence will reduce
Functions; Data Recovery; Dedicated Site. revenue. Conversely, functions with a low prior-
ity typically do not garner much revenue or cost
Further Readings much to be without for extended periods of time.
Disaster Recovery Journal. “White Papers.” http:// Of course, when this information is presented, it
www.drj.com/white-papers.html (Accessed March is up to the highest-level decision makers to con-
2012). clude how much they are willing to spend on data
Rittinghouse, John W., and James F. Ransome. recovery to mitigate the identified losses. With an
Business Continuity and Disaster Recovery for approved spending threshold, the data recovery
Infosec Managers. Amsterdam: Elsevier Digital, processes can be determined. At times, the data
2005. cannot be recovered within the approved spend-
Thibodeau, Patrick. “U.S. Buys Weather ing threshold. If that happens, the decision makers
Supercomputer With Twin Backup: Forecasters Say must decide whether they want a longer recovery
Duplicate System Needed to Ensure Continuous time objective (RTO) and recovery point objec-
Uptime.” (September 8, 2009). http://www.com tive (RPO) to avoid the cost of data recovery or to
puterworld.com/s/article/9137728/U.S._buys provide additional spending to accomplish proper
_weather_supercomputer_with_twin_backup data recovery. Care should be taken when a func-
(Accessed August 2012). tion is deemed unnecessary, as most businesses
do not spend on unnecessary functions; they will
expect that function to eventually be recovered.

Recovery Objectives
Backup Strategy Recovery objectives include the recovery time
objective (RTO) and the recovery point objective
The purpose of a backup strategy is to create (RPO). The RTO is the length of time a function
and maintain the ability to recover data that are can operate without the data, and the RPO is how
required to perform one or more necessary func- old the data should be when they are recovered.
tions. Prior to designing a backup strategy, the Another determination is the RTO for each func-
functions must be prioritized, the required data tion; usually, the more important the function, the
identified, and the recovery objectives defined. shorter the RTO. Then the RPO is determined by
After these data requirements and recovery objec- understanding the maximum age of the data that
tives are defined, a backup strategy can be deter- must be recovered. Functions may not continue if
mined that will meet the recovery objectives. they must start again with recovered data that are
After the backup strategy has been approved and too old. The RPO also helps determine the backup
implemented, the processes are tested regularly and restoration processes that must be used. Typi-
to ensure they will work properly when needed. cally, the shorter the RTO and the RPO, the more
Crisis management processes invoke the recovery expensive data recovery will be. This is why the
processes that use the backup strategy. financials discovered in the BIA are important: to
provide a cost-to-loss comparison to solidify the
Business Impact Analysis spending threshold. With the entire set of require-
Necessary functions are identified using a busi- ments and objectives from the BIA and the spend-
ness impact analysis (BIA). The BIA lists the func- ing threshold, the backup strategy can be designed.
tions performed and prioritizes them in order of Again, longer RTOs and RPOs allow less expen-
most important to least important. Along with the sive backup strategies, while shorter RTOs and
BIA are financials that state the various costs of RPOs require more expensive backup strategies.
all functions not working. Quantifying how much
revenue will be lost or how much cost will be Designing a Backup Strategy: Backup Types
incurred while waiting for the data to be recovered The backup strategy must have the proper envi-
helps determine how much to spend on the data ronment meeting the spending threshold and the
32 Backup Strategy

RTOs and RPOs. There are many aspects of the then the log files are backed up to provide a way
backup environment that should be understood if to use the logs files to roll data changes forward or
someone fluent in technology will not be used to backward from the last full database backup.
assist in the design.
Data typically are stored in data records that Backup Environment
contain pieces of information such as name and The backup environment has several different
address. These data records are stored in data characteristics, networking connectivity to the
files that represent the current state of all the data backup environment (synchronous or asynchro-
they contain. The process is based at the record nous) and the backup format (character or block)
level. A record is read into a temporary area, that and backup engine (mirroring, replication, etc.).
record is changed, and that temporary record There are two types of networking for backups:
then replaces the record in the file. Databases are one is called synchronous and the other is asyn-
another way to store data. Typically a database chronous. Synchronous has a direct connection
works on parts of records called fields, making it to the backup environment to maintain constant
faster because only the field is changed, not the or synchronized communication that can involve
entire record. expensive network connections of high capacity.
Traditionally, there are two main backup types: Asynchronous consists of backed-up data that are
a full backup that copies everything and can be stored temporarily in an appliance and sent to a
used to recover everything, and incremental back- like backup-location appliance using a smaller
ups that are used between full backups to cap- capacity network that is less expensive. Backups
ture changed files. Full backups tend to take much take longer to reach their final destination, but
longer to perform than incremental backups, but they consume less network capacity.
incremental backups have only changed data There are two types of backup formats: either
from the last full backup, and each incremental block or character. Block formats take data in
backup must be recovered over the previous full larger chunks of data that take less time to pro-
backup to bring the data up to the latest incre- cess but hide the data inside from being used as
mental backup. This can lengthen recovery times a way to manage the backups. Character formats
because the full backup and then all the incremen- allow the use of each character to manage the
tal backups need to be recovered rather than just backups, but they take longer to process.
the latest full backup. In addition, if one incre- Following is a discussion of the different types
mental backup is damaged, all the subsequent of backup environment engines that can be used
incremental backups cannot be used. to design a backup strategy.
Another type of backup is an intermediate Mirroring sends a character for character mir-
backup. Intermediate backups are usually tempo- ror image of data synchronously to a backup
rary backups to protect data during updates. For location that can be either on-site or off-site. Mir-
example, at the beginning of the day a temporary roring is typically used to get large amounts of
backup is made, the daily work is completed, and, data backed up so that data can be used as if they
once the daily work is verified as being accurate, the were a direct copy, or mirror image, of the origi-
last intermediate backup is recycled. This allows nal data. Of course, the mirror image data are not
any mistakes or intentional malicious manipula- stored backwards, as if by a reflective mirror.
tion of data to be eliminated by taking the correct Replication sends data blocks synchronously,
information from the intermediate backup. usually off-site, directly to a storage device and
Databases provide similar backups. A change can also send data blocks asynchronously, usu-
is made to a field and that change is stored in a ally off-site, using some replication appliances for
log that shows the original data and what those intermediate storage of the blocks of data so they
data were changed to. This can be very power- can be transmitted off-site using a less expensive
ful because the logs can be used to select specific network connection.
changes to back out if something in the data is De-duplication sends only changed data blocks
wrong. Databases are typically backed up in a sim- either synchronously or asynchronously off-site
ilar manner. A database full backup is done and using de-duplication appliances to manage the
 Backup Strategy 33

data blocks. Since only changed data blocks are moving to the cloud to ensure the cloud vendor
transmitted, the amount of data is greatly reduced, has appropriate processes to meet security require-
saving transmission costs. ments for that particular industry. The physical
Taking a snapshot of a disk stops processing equipment must be protected, the software must
on the disk and sends a complete copy of the disk have security, the network must be secure, and the
synchronously to another storage device, usually vendor must have a process for breaches of secu-
at the same location. Rolling or continuous snap- rity; SAS70 certification is also important.
shots send data off-site asynchronously.
A long-standing backup strategy is magnetic Other Storage Terms
tape backup. Tape drives are attached to a server Some other useful means of data storage include
specifically designed to perform backups, and all online storage that is always synchronous and
the other servers run a small application called used by people in real time. Near-line storage
a “client” that allows each server to back up is usually synchronous and used in real-time as
through the backup server. The tapes are changed slower archival storage. Off-line storage is usu-
when they run out of room, and then the full tapes ally asynchronous and is done on tapes or other
are sent via mail or delivery vendor to an off-site media that cannot be accessed immediately. Off-
location. The off-site location is usually climate site storage is always asynchronous and takes
controlled so that humidity does not form water place on media that can be taken off-site for pro-
droplets on the tape. tection and recovery.
Encryption is an important consideration for
Storage as a Service a backup strategy. Encryption encodes the data
There are also vendors who provide Storage as a on the backup using a protected key so it can-
Service (SaaS), which eliminates the capital expense not be read by anyone else unless they have the
of equipment and allows purchase of storage based key. Without encryption, anyone with the same
on amount needed. Two of these services are called technology can read backups. Most financial and
dispersed storage and cloud storage. A business health care regulations call for the encryption of
with several locations can also buy the software all backups containing client and patient informa-
and hardware to be its own SaaS provider. tion. Encryption creates a safe harbor from litiga-
Dispersed storage is a single copy of the data tion. The saying is to encrypt everything.
stored across multiple locations in such a way as
to allow the reconstruction of one location’s data Backup Strategy Using Recovery Objectives
from data at the other locations. This limits the Very short RTOs and RPOs make it necessary to
duplication of data without sacrificing the abil- design a high availability (HA) environment where
ity to recover lost data. This environment is used data are used or stored in two or more geographi-
by many to protect production data and is really cally separate locations at the same time. HA envi-
not a traditional backup, because a full dupli- ronments allow any single location to be destroyed
cate of the data does not exist. Dispersed storage with little to no loss of data and time. Of course,
can be used to eliminate disaster backups, but it the people performing the function must also be
requires incremental backups to be very strong HA so the entire staff is not disabled with the sin-
in case data are corrupted by malicious intent or gle location, leaving no one to perform the critical
computer viruses, and it may not be possible to function. HA environments typically use strategies
recover from a full backup. such as SaaS, dispersed storage, and bunkers.
Cloud storage is normal storage provided over Short RTOs and RPOs provide some more
the Internet by technology companies that buy options in design. The HA could still be used if the
hardware and network capacity to provide stor- RTOs and RPOs are too short for other strategies.
age capacity for their customers. This fits into a There are backup processes called replication that
backup strategy in that data are not located in back up data from one location to another loca-
the primary workplace and so systems are safe tion called a “hot site,” with dedicated equipment
from any threat and are protected. Professional ready to be used. When the original location goes
data security experts should be consulted before down, the replicated data at the hot site can come
34 Backup Strategy

online in the amount of time it takes to bring the rate is 3 billion characters per minute and the data
systems up using the replicated data. Recovery to restore amounts to 300 billion characters, then
would happen in minutes to hours. the restore will take about 100 minutes. If the data
Medium RTOs and RPOs allow backup and transfer speed meets the RTOs and RPOs, then
recovery at more moderate expense. Knowing the design will work well for the recovery. When
the amount of data to be recovered helps as well. designing backup strategies for data recovery in
Many backup and recovery options have estimates the medium RTO and RPO range, a “warm site”
of backup and restore data transfer speeds. This could be used. A warm site is an alternate loca-
makes it possible to estimate the amount of time tion with equipment in several different states of
it will take to back up and also restore the data readiness. In many cases the fastest tape backup
during recovery. For example, if the data transfer and restore devices can be used to recover data,
enabling recovery in one or more days.
Longer RTOs and RPOs offer even more
choices. A “cold site” is an alternate location with
no powered-up equipment and is often an empty
Case Study: Health Care Industry Backup
shell of air-conditioned raised floor space. The use
A company that hosts computer software for of a cold site is the least expensive choice, other
health care clients with 24/7 operations had a than doing nothing, but again, it requires RTOs
backup strategy that allowed recovery of critical and RPOs of days or longer. The option of precon-
systems within 24 hours from tapes stored off- figured equipment shipped quickly to the cold site
site at a warm site. can provide an affordable recovery option. Here
The health care industry received new again, tape backup and restore is often used and
government mandates that required more even slower, less expensive devices can be obtained
stringent controls on health information and to hold data. Long RTOs and RPOs may allow
more consistent delivery of patient services like systems to be re-created from the installation
medications. As the clients requested additional media and either reentering data or starting fresh,
software products and more online real-time entering older data by hand as time permits.
access to these systems to meet the mandates,
there was a shift in the recovery requirements Bunkers
that also changed the backup requirements. One final option is to avoid losing data and also
The government health care mandates pushed avoid having the cost of equipment just for backup
the health care information onto computer and recovery. One choice that meets these criteria
systems from paper and, because the information is known as a bunker. Just as the U.S. military
was no longer on paper, the recovery objectives uses bunkers to protect assets, a business can use
were shortened to hours to avoid the problem of, a bunker to house its existing systems and data.
for example, not being able to deliver medications Because the bunker is impervious to all natural
because computers were down. hazards and most human-made hazards, there is
The business continuity life cycle (BCLC) only the need to purchase equipment used on a
was initiated to address the shortened recovery daily basis. No extra cost for backup equipment
objectives, and the results changed the backup for alternate site recovery is needed: no HA site,
strategy from tape backup and recovery at a no cold site, no warm site. The only drawback is
warm site to a warm site with asynchronous data that everyone must access the site through net-
replication. This backup strategy allowed data to work connections that may go down. But redun-
be sent to an alternate location with equipment dant connections and redundant network ven-
that could be started up and running within a dors coming into the bunker can enable a quick
few hours so that clients could provide critical switch­over to an alternate network vendor.
services such as medications while still meeting
government-mandated treatment of health care Backup Media
information. Some other things to consider are the different
forms of backup media. There are two major
 Bankruptcy, Corporate 35

types of backup media: optical and magnetic (elec- will work properly when needed. The processes
tronic). The possible environmental threats that resulting from the backup strategy are invoked
the backup media would be exposed to should from the crisis management process.
help determine which media are used. Optical
media tend to store data on reflective material in William Lang
a plastic substrate such as compact discs (CDs) Independent Scholar
and digital video discs (DVDs). These optical
media are susceptible to damage from scratches, See Also: Backup Facility; Backup Media; Business
heat, and ultraviolet rays from the sun over pro- Continuity Planning Life Cycle; Critical Business
longed exposure. Magnetic media such as tapes Functions; Data Recovery; Dedicated Site.
and external hard disk drives (HDD) are suscepti-
ble to electric surges and strong magnetic fields as Further Readings
well as string X-rays that may be found in airport Disaster Recovery Journal. “White Papers.” http://
baggage scanners. www.drj.com/white-papers.html (Accessed March
Older media backups need to be monitored so 2012).
that they can be destroyed or converted as newer Matthews, David R. Electronically Stored
media replace older media. Information: The Complete Guide to Management,
Some media backups need to be stored off- Understanding, Acquisition, Storage, Search, and
site to protect them from harm during disasters. Retrieval. Boca Raton, FL: Auerbach, 2012.
There are many off-site storage vendors who even Rittinghouse, John W. and James F. Ransome.
have climate-controlled storage rooms to prevent Business Continuity and Disaster Recovery for
condensation from forming within the media con- Infosec Managers. Amsterdam: Elsevier Digital,
tainers and damaging the media. 2005.

Exercising Backup and Recovery

After the backup strategy has been approved
and while it is being implemented, there should
be activities to develop periodic testing of the Bankruptcy, Corporate
backups to ensure those backups can actually be
recovered; this is commonly referred to as disas- Bankruptcy laws provide part of the legal context
ter recovery testing. Typically, disaster recovery in which businesses operate because they specify
tests are performed several times each year and how a failed business, or a business that cannot
the results used to enhance the recovery process. meet its financial obligations, will be treated in
court. Bankruptcy laws (which may include prin-
Conclusion ciples based in common law as well as statutes)
The purpose of a backup strategy is to create provide guidelines for courts to examine and
and maintain the ability to recover data that are weigh the claims of creditors, value the assets of
required to perform one or more necessary func- the business, direct how the assets will be distrib-
tions. Prior to designing a backup strategy, the uted among the creditors, and possibly cancel
functions must be prioritized, the required data some of the debts. Bankruptcy laws vary consid-
identified, and recovery objectives defined. After erably from one country to the next, reflecting the
these data requirements and recovery objectives differing attitudes different societies hold toward
are defined, a backup strategy can be determined bankruptcy and related issues such as the rela-
that will meet the recovery objectives. The strat- tive importance of promoting risk-taking versus
egy should design the backup (and recovery) envi- prudence.
ronment based on the RPOs and RTOs and the Bankruptcy laws are essential to the function-
cost threshold identified by decision makers, as ing of a modern business environment because
well as the proper backup media. After the backup they establish rules that set the framework within
strategy has been approved and implemented, which loans are offered and accepted and thus
the processes are tested regularly to ensure they promote credit and business growth. Ideally,
36 Bankruptcy, Corporate

bankruptcy laws recognize the claims of both the American creditors preference over English credi-
debtors and the creditors and treat everyone fairly. tors, or giving preference to creditors within the
When a business venture goes bad, the bankruptcy state where the bankruptcy was filed, as opposed
laws allow those involved in a failed enterprise to to creditors from other states.
make a new start and see that whatever assets are The federal Bankruptcy Act of 1898 included
available for distribution are shared fairly among several major reforms: it contained provisions to
the creditors. In the context of crisis management, restructure debt, it allowed states to decide which
understanding the process of bankruptcy is criti- of a bankrupt’s assets were exempt from distri-
cally important, as it is a form of regulatory risk. bution, and it provided for equitable distribution
For example, if a company is forced into bank- of the bankrupt’s assets to creditors. This law set
ruptcy as part of a crisis, and it is not up to date the context for bankruptcy in the United States
on how to follow the law, it is in a position to for the next century and made the prospect of fil-
make the situation worse, potentially losing more ing bankruptcy much more attractive: most bank-
money to fines, unprotected assets, and the like. ruptcies in the United States before 1898 were
Attitudes toward bankruptcy have changed involuntary (initiated by the creditors), but since
over time and vary across societies. In ancient 1898 most business bankruptcies have been vol-
Greece, indebted persons and their families were untary (initiated by the debtor).
sometimes forced into debt servitude, working Current U.S. bankruptcy law is based on the
with no pay until their debts were paid off. In Bankruptcy Reform Act of 1978 and is codified
the Middle Ages, debtors in some countries were in Title 11 of the U.S. Code. Title 11 allows for
maimed, publicly flogged, or imprisoned; these six types of bankruptcy, and these types of bank-
practices were focused on deterring bankruptcy, ruptcy are often referred to by the chapters of the
which was seen as a kind of fraud, rather than code in which they are described. The most com-
on enabling the debtor to discharge the debt. mon types of bankruptcy are Chapter 7 (liquida-
In addition, debt was commonly viewed as the tion) and Chapter 11 (reorganization); Chapter
responsibility of an individual, even if it was a 9 refers to municipality bankruptcy, Chapter 12
business that went bankrupt. However, today the to bankruptcy for family farmers or family fisher-
bankruptcy laws in many countries, including the men, Chapter 13 to individual debt adjustment,
United States, also recognize the value of allowing and Chapter 15 (added in 2005) to bankruptcies
a bankrupt person or company to make a “fresh involving more than one country.
start” after a business failure and thus have made
the consequences of a bankruptcy less severe for Current Bankruptcy Law in the United States
the debtor. Today, bankruptcy in the United States is gov-
erned by federal law, and bankruptcy cases can
U.S. History of Bankruptcy Law only be filed in federal courts; state courts have
In colonial America, bankruptcy laws were influ- no jurisdiction over bankruptcy, although they
enced by English law and provided severe pun- may differ in matters such as which assets of a
ishments for bankruptcy, up to and including bankrupt company or person are exempt from
death. To settle debts, all of the assets owned liquidation. There are 90 bankruptcy courts in
by the debtor could be seized by the court and the United States, with at least one in each state.
liquidated, including the tools the debtor used The most common type of bankruptcy is Chap-
to make a living, thus making it very difficult ter 7 bankruptcy, also called liquidation. Under
for a bankrupt person to get back on his feet Chapter 7, the court appoints a trustee who takes
again; if the debtor tried to conceal assets dur- over the debtor’s assets (with certain exemptions
ing the bankruptcy process, he could be executed. for essential property), reduces them to cash, and
American bankruptcy law continued to be heav- distributes the cash to the creditors. Companies
ily influenced by English law into the 19th cen- filing for bankruptcy under Chapter 7 go com-
tury, although different states were allowed to pletely out of business, and usually individuals
have different laws, resulting in some provisions holding shares of the company’s stock lose their
that seem eccentric to modern eyes, such as giving entire investment.
 Bankruptcy, Corporate 37

The former Enron complex on 1400 Smith Street in Houston, Texas, which Chevron took ownership of and occupied in 2011. On the
morning of October 26, 2001, Enron workers arrived to find the surrounding avenues blocked and cordoned off by police because of
an overnight terror threat. It was a false alarm, but the real crisis was already in progress inside: as an enormous accounting scandal
unraveled, Enron’s stock prices quickly collapsed, resulting in fraud convictions, destroyed reputations, and bankruptcy.

Most businesses filing for bankruptcy in the all the creditors. Normally, secured creditors, such
United States do so under Chapter 11, also called as banks, have first priority. Unsecured creditors,
reorganization. Chapter 11 allows a business to such as suppliers and bondholders, are the next
continue operation under a plan of reorganiza- priority, and stockholders have the weakest claim
tion approved by the court, while paying credi- on the company’s assets; if the secured and unse-
tors over a period of time; in addition, some debts cured creditors do not receive the full value of
may be discharged (allowed to go unpaid) and their claims, the stockholders may receive noth-
some contracts terminated under Chapter 11. To ing (their stock becomes worthless). Although
initiate the proceedings, a debtor files a petition a company in Chapter 11 bankruptcy may con-
including a disclosure statement containing infor- tinue to be traded (although not usually on the
mation about the business’s liabilities and assets, New York Stock Exchange or NASDAQ), they
and a plan of reorganization, including classifying are a risky investment because the shares may be
the claims involved and how each will be paid; canceled as part of the reorganization, and even
creditors are allowed to examine this statement, if they are not, stockholders are a low priority
but the court has the final word on whether or not when the company’s assets are distributed. When
it will be accepted. a company emerges from bankruptcy, it may have
When a company files for bankruptcy, there is two types of common stock traded: the old stock
often not enough money to pay all the claims of that was on the market when the company went
38 Bankruptcy, Corporate

into bankruptcy and a new common stock issued most bankruptcy filings by the United States are
as part of the reorganization. individual, rather than business, bankruptcies.
Although corporate bankruptcies are often According to data reported by the American
highly publicized, due to the fame of certain com- Bankruptcy Institute, since 1980, the percent-
panies and the large amounts of money involved, age of bankruptcies in the United States filed

Case Studies: Notable Corporate Bankruptcies

Continental Airlines filed for Chapter 11 trading in electricity supplies during a power crisis
bankruptcy reorganization twice, on September in California from 1997 to 1998. Between 1998
23, 1983, and again on December 3, 1990. and 2000, Enron was one of the most profitable
Continental had been acquired in 1981 by the corporations in the United States. However, Enron’s
Texas Air Corporation, controlled by Frank Lorenzo, stock price fell sharply in 2001, and it was later
and in 1983 was suffering financially due to revealed that Enron executives had been selling
deregulation (meaning that had to compete with their stock beginning in 1999 while publicly
other airlines based on price) and the recession. proclaiming the financial health of the company
However, Lorenzo was also involved in struggles and using misleading accounting practices to
with the labor unions representing Continental’s hide its true financial condition. Numerous Enron
workers; he argued that the company would not officials were convicted on charges that included
survive unless they accepted layoffs and reduced conspiracy and securities fraud, including CEO
wages but was unable to achieve the changes he Kenneth Lay, President Jeffrey Skilling, and Chief
desired through negotiation. Financial Officer Andrew Fastow. The scandal also
As part of Chapter 11 reorganization, the destroyed the reputation of the accounting firm
company was freed from its obligations under the Arthur Andersen.
old labor contracts, and new contracts were drawn The financial services firm Lehman Brothers
up that were substantially less favorable to the filed for Chapter 11 bankruptcy on September
workers; due in part to the Continental example, 15, 2008; the company held over $600 billion
federal law was later changed to make it more in assets, making Lehman’s bankruptcy filing the
difficult for companies to use bankruptcy to cancel largest in U.S. history. As an investment bank,
labor contracts. The company emerged financially Lehman was not subject to the same regulations
sound from Chapter 11 in 1986. On December as depository banks and was heavily leveraged
3, 1990, Continental again filed for bankruptcy; with substantial investments in the housing
factors contributing to the company’s financial market. Lehman profited during the housing boom
difficulties included increased fuel prices due to of the 2000s but began to incur heavy losses
Iraq’s invasion of Kuwait on August 2, 1990, and in 2007 due to the subprime mortgage crisis.
debt incurred by Lorenzo’s aggressive policy of Despite evidence that the company was not doing
expansion. Continental emerged from this second well, Lehman’s filing for bankruptcy shocked the
bankruptcy in 1993 and continued to function as a financial world, and the Dow Jones average dropped
profitable airline. over 500 points (a 4.4 percent decline) on the day
When the Enron Corporation filed for Chapter 11 Lehman filed. The Lehman bankruptcy also focused
bankruptcy reorganization on December 2, 2001, it national attention on the issues of executive pay
was the largest bankruptcy to date in U.S. history. (e.g., CEO Richard Fuld received $484 million in
Enron began as a natural gas supplier but in the salary, bonuses, and stock options from 2000 to
1980s became more focused on creating markets 2008) that seemed to many excessive, particularly
rather than providing products or services; for for someone in charge of a company when it went
instance, Enron made an estimated $1.5 million bankrupt.
 Bankruptcy, Corporate 39

by businesses peaked in the mid-1980s but has company using this strategy may focus on creating
declined since then. In 1980, 13.2 percent of high profits in the short term while incurring debt
bankruptcy filings were by businesses; in 1984 that it intends to discharge through Chapter 11.
(the peak year), 18.4 percent; in 1985, 17.3 per- Persons ranking high in the corporate hierarchy
cent; in 1990, 8.5 percent; in 1995, 5.7 percent; may receive substantial bonuses based on the com-
in 2000, 2.8 percent; in 2005, 1.9 percent; and pany’s short-term performance while concealing
in 2010, 3.5 percent. The number of businesses the true financial health of the company. In addi-
filing for bankruptcy in the period 1980–2010 tion, misleading accounting practices may conceal
peaked in 1987 and has fluctuated up and down the financial health of the company from the pub-
during the period. In 1980, 43,694 businesses in lic, which believes the company’s stock is a good
the United States filed for bankruptcy; in 1985, investment based on the information available to
71,277; in 1987 (the peak year), 82,446; in 1990, it. Because they have privileged information, peo-
64,853; in 1995, 51,959; in 2000, 35,472; in ple holding leadership positions in the company
2005, 39,201; and in 2010, 56,282. can sell their shares of a company’s stock while
the price is still high, while ordinary sharehold-
Ethical Issues in Corporate Bankruptcy ers will still be holding the stock when its value
It is tempting to interpret bankruptcy on a moral drops sharply (e.g., due to bankruptcy filing or the
level, with the bankrupt company cast as a rep- release of previously withheld information). Com-
robate that failed to meet its obligations to the panies may also use Chapter 11 bankruptcy to get
creditor who was good enough to lend it money. out of contractual obligations, for instance, con-
This interpretation draws on the common ethi- tracts with labor unions.
cal standard that all debts should be paid; bank- The counterargument to these charges is that
ruptcy laws violate this standard by allowing the bankruptcy code requires companies to fulfill
some debts to be dismissed or deferred. However, their obligations as best they can and that the pur-
bankruptcy laws can be justified as a necessity in pose of allowing companies to renegotiate con-
a modern economy, and most would argue that tracts is to allow them to meet all of their obliga-
they increase the overall wealth of a society by tions as best they can. By definition, an insolvent
allowing companies to take risks, and to resume company cannot meet its obligations, and bank-
functioning after a business failure. Bankruptcy ruptcy laws are intended to maximize assets and
laws also make credit more available to busi- distribute them fairly in a less than ideal situation.
nesses because they assure creditors that debts Although it is true that not everyone has access
will be discharged in a fair and orderly process to the same information or quality of legal advice
should a business file for bankruptcy. Another (a fact true in most areas of life, not only bank-
argument in favor of regarding bankruptcy as ruptcy proceedings), the law does not recognize
part of the business environment, rather than these differences but requires that all claims be
a question of morality, is that anyone should treated equally. In addition, anyone involved in
recognize that every business venture involves business transactions, including unions negoti-
risk, and lending money is itself a business and ating labor contracts, must be aware that every
is therefore not a risk-free venture. Anyone in contract includes the possibility that it will not be
the business of making loans must allow for the honored.
fact that it is possible that the loan will not be
repaid in full or on time; this is one reason lend- Sarah Boslaugh
ers charge differing interest rates to different Kennesaw State University
enterprises and also why they may demand col-
lateral to secure a loan. See Also: Blame, Politics of; Commodity Shortages;
Some charge that the Bankruptcy Reform Act of Crisis Communications; Critical Business Functions;
1978 allowed businesses to develop a new strategy, Debt Crisis; Failover; Fraud; Income Inequality and
sometimes referred to as “strategic bankruptcy,” Labor Unrest; Legal Liability; Organizational Failure;
which can be seen as an abuse of the ethical prin- Product Defects and Recalls; Product Tampering;
ciples that should govern business dealings. A Stock Market Crises; Strikes.
40 Biological Engineering Risk

Further Readings the privacy of creative people’s own homes. In the

American Bankruptcy Institute. http://www.abiworld name of scientific advances aimed at bringing the
.org (Accessed May 2012). greatest benefits to the greatest number, the vast
Cooper, Cynthia. Extraordinary Circumstances: amount of SynBio work appears to be targeted at
Journey of a Corporate Whistleblower. Hoboken, lengthening life spans, curing diseases, and helping
NJ: Wiley, 2008. solve intractable public health problems. All of this
Delaney, James. Strategic Bankruptcy: How burgeoning creativity takes place in the absence of
Corporations and Creditors Use Chapter 11 to widespread societal debate and regulatory over-
Their Advantage. Berkeley: University of California sight. SynBio entails construction of new biologi-
Press, 1999. cal parts, devices, and systems not normally found
Eichenwald, Kurt. “The Last Days of Enron.” in the natural world along with redesign of exist-
New York Times (March 13, 2005). http://www ing biological systems to perform specific tasks. In
.nytimes.com/2005/03/13/business/yourmoney/13 some cases, genomic material is being structured
enron.html?pagewanted=all&position= (Accessed and combined with nanoscale technologies, mov-
August 2012). ing life’s basic ingredients around at the atomic
Skreel, David A. Debt’s Dominion: A History of and molecular levels. In the context of crisis man-
Bankruptcy Law in America. Princeton, NJ: agement, these risks, both physical and through
Princeton University Press, 2001. public perception, should be recognized.
Swartz, Mimi and Sherron Watkins. Power Failure:
The Inside Story of the Collapse of Enron. New Future Anticipation and Residual Angst
York: Doubleday, 2003. Researchers engaged in SynBio are convinced that,
U.S. Code. “Title 11 Bankruptcy.” http://uscode.house with enough knowledge, they will be able to write
.gov/download/title_11.shtml (Accessed May 2012). programs controlling genetic components, allow-
U.S. Court System. “Bankruptcy.” http://www.us ing eventual incremental adjustments to nature
courts.gov/FederalCourts/Bankruptcy.aspx itself and, in so doing, guide and influence human
(Accessed May 2012). evolution. The prospects and possibilities attached
to SynBio are breathtakingly impressive and full
of promise for the betterment of humankind. No
recent scientific achievement has promised so
much and yet contains significant ambiguous risks
Biological Engineering Risk and disturbing implications for deliberate abuse,
including criminal and warlike misuse.
Following the rapid evolution of biotechnology But there is profound irony in a scientific
and genomics in the 1990s, with sophisticated endeavor that abundantly signals benefits while
efforts to manipulate and engineer recombinant downplaying deliberate or inadvertent risks of
DNA (deoxyribonucleic acid), the onset of syn- abuse and misuse. Public perception plays a
thetic biology (or SynBio) in the 21st century may huge role in the overall societal acceptance and
have been seen as a natural result of prior scientific endorsement of SynBio, and it remains unclear
research. But now SynBio, as it is often called, goes whether there will be widespread public support
beyond mapping genomes and manipulating genes for independent engineered cells becoming their
to the point where scientists and graduate stu- own factory, producing new chemicals or new
dent microbiologists not only are examining how life-forms. Between tacit approval and universal
to build life from scratch, and merge or transfer endorsement by the public is a widely ambiguous
genomic material between different species, but are zone of calculated indifference.
also experimenting with every conceivable combi- In a 2009 survey from the Wilson Center Proj-
nation of nucleic and amino acids and engineering ect on Emerging Nanotechnologies, some 22 per-
new life-forms. cent of adults indicate they have heard a lot or
This is a new iteration of genetic engineering some about synthetic biology. But nearly half—
taking place in commercial settings, on univer- 48 percent—have heard nothing at all about the
sity campuses, in government labs, and within technology. Public ignorance of SynBio is an issue
 Biological Engineering Risk 41

that needs to be examined because the governing had concerns concerning “the ease with which
assumption is that society acknowledges and sup- individuals versed in, and equipped for routine
ports all the myriad scientific programs, schemes, methods in molecular biology can use regularly
and projects under the banner of SynBio. available starting material and procedures to
The origins of wider public angst are rooted derive some SAs de novo.” The NSABB also men-
in the concern expressed by some lawmakers, tioned that SynBio “allows expression of agents
pundits, and press commentaries that the entire that resemble and have the attributes of specific
SynBio environment globally is essentially a Select Agent(s), without being clearly identifiable
“wild West” free-for-all environment with no as SA based on the sequence.” To use other words,
ground rules, regulatory oversight, or periodic SynBio opens the door to mixing any toxin from
government scrutiny. It follows that opportuni- scratch and creating new deadly agents never
ties for criminals, terrorists, and rogue dictators before seen. As a result, a listing of SAs can never
to devise SynBio tools and weapons in the future be comprehensive and complete.
cannot be ruled out. Worse, any such weapon Despite this, the NSABB also allowed further
would likely confer the kind of strategic advan- SynBio works to proceed with the following
tage to its owner that a dozen nuclear weapons argument: “Synthetic biology may be new; but
provide. Because no cure, prevention, or vaccina- challenges to taxonomic conventional wisdom
tion against the SynBio designer disease can be are not.” The NSABB recognized that novel life-
effective, the owner has substantial power and forms can evolve into unexpected new life-forms,
strategic leverage. yet favored allowing further SynBio research to
Nevertheless, the global SynBio community has proceed generally unhindered. This is largely
generally favored self-regulation. Public concerns because the benefits and positive outcomes from
about excesses in genetic engineering and patent- SynBio research have been deemed to greatly
ing life-forms provoke the question of whether outweigh and overwhelm any negatve risks from
any metrics, standards, or special procedures can such research.
be developed to somehow govern the conduct of A final caution has to do with public health
SynBio research and thereby foster a global com- risks and the varieties of biological pathogens
mons of prudent risk management. that have historically been converted to bio-
weapons by nefarious persons and states. The
What Is the Risk Terrain? Biological and Toxin Weapons Convention can-
It is natural to expect global commercial compe- not regulate, oversee, or steer whatever happens
tition, the natural competition among sovereign globally in the world of SynBio. Neither can the
states embroiled in security equivalence mea- World Health Organization (WHO). It rests with
sures, and the pure desire among many scientists individual scientists to provide safety and secu-
to garner Nobel fame for their work is sufficient rity measures against misuse and abuse of Syn-
to build a firewall against mischief and criminal Bio. Ultimately, synthetic biology means cheaper
behavior. Many sincerely believe this mechanism and widely accessible tools to build bioweapons,
will provide a transparent avenue for SynBio to virulent pathogens and artificial organisms that
regulate itself. To get a better glimpse of the risk could possibly pose grave threats to people and
terrain attached to SynBio, we should look at one the planet. The danger is not just bioterror but
recent U.S. government effort to examine SynBio “bio-error”—and mechanisms to prevent both
strengths and weaknesses. are nonexistent.
The National Science Advisory Board for Bios-
ecurity (NSABB) established a synthetic genom- Will the Genie Deliver—or Destroy?
ics working group in November 2005, and that Looking at the old paradigm of transgenics,
group raised some significant concerns attached genetic engineering was essentially a cut-and-
to SynBio that may pertain to select agents (SAs), paste affair in which biotechnologists rearranged
which the government has designated as chemi- pieces of DNA—the self-assembling molecule that
cal-biological warfare agents to be monitored and instructs living organisms how to carry out every
thwarted. Members of the NSABB said that they biological process—between already existing
42 Biological Weapons

species. Today’s synthetic biologists can transi- enforcement, counterterrorism, proliferation, and
tion from reading genetic code to writing code— military threat arenas, is the question of reconcil-
to understanding how key pieces of DNA, when ing the emergence of a global SynBio community
combined, sustain life to a point where key pieces where commercial firms, governments, do-it-your-
can be reassembled to create new and different selfers, and criminal terrorists may all have access
forms of life. SynBio can create new “genetic net- to the same technology but hold fundamentally
works” and combine those into newer platforms divergent aims for its use. Instead, we must con-
resulting in unique life-forms. verge with pragmatism and expertise, looking at
SynBio can now engage in made-to-order life- the global array of SynBio endeavors expected to
forms using engineering concepts borrowed from emerge during the 20-year period 2011–31 with
electronics and computing; it can construct simpli- an eye toward finding a rational balance between
fied versions of bacteria, reprogramming DNA as self- and government regulation.
a computing medium and assembling whole new
genetic systems that are entirely human-made. Robert McCreight
SynBio carries with it the inspirational promise of George Washington University
breakthroughs in medicine, health care, pharma-
ceuticals, synthetic fuels, and many other prod- See Also: Biological Weapons; Centers for Disease
ucts of virtually unlimited benefit and value to Control and Prevention (CDC); Living Modified
future society. In addition, SynBio experts expect Organisms; Nanotechnology;Terrorism; World Health
to leverage the convergence of nanoscale biol- Organization (WHO), UN.
ogy, computing, and engineering toward the cre-
ation of new life that transcends the limits of life Further Readings
as we know it. All of this can proceed unfettered Benner, Steven A. and A. Michael Sismour. “Synthetic
and unrestricted as long as the risk dimensions Biology.” Nature Reviews Genetics, v.6/7 (2005).
and externalities associated with SynBio are well Collins, James. “Synthetic Biology: Bits and Pieces
understood and a risk management system can be Come to Life.” Nature, v.483 (March 1, 2012).
emplaced to deal with emerging issues. Dana, Genya V., Todd Kuiken, David Rejeski, and
Without doubt, widespread debate on the social, Allison A. Snow. “Four Steps to Stop a Synthetic-
economic, and ethical implications of SynBio is Biology Disaster.” Nature, v.483/29 (March 1,
needed to sort out the genuine from the mythi- 2012).
cal so that real risks are plainly understood. The Eurekalert. “Commentary in Nature: How Do You
overall benefits of SynBio should not be dimin- Stop a Synthetic-Biology Disaster?” http://www
ished or dismissed because there is a correspond- .eurekalert.org/pub_releases/2012-02/wwic-cin022
ing risk factor, but instead, strategies are needed 912.php (Accessed March 2012).
to advance SynBio in light of known risks, with Synthetic Biology Project. http://www.synbioproject
due regard for the likely impact of unknown risks .org (Accessed March 2012).
that could negate any fruits SynBio conferred.
Nothing should be imposed that thwarts the
legitimate onward march of scientific progress
and inquiry, which have derived so many benefits
to society and will continue to do so. However, Biological Weapons
a serious discussion must be launched that is not
limited to biosecurity issues where we seriously Biological warfare, or germ warfare, as it is often
consider, for example, the array of bioweapons/ called, is the use of biological agents in the form
bioterrorism issues and risks that could accrue as of toxins, bacteria, rickettsia, viruses, or fungi to
well as matters of biosafety (worker safety and incapacitate or kill an individual, a specific group
environment). More difficult and challenging than of people, or an entire population. Biological
developing a national consensus on risk manage- warfare may also be used on livestock or crops
ment issues in SynBio, which legitimately extends to affect the food supply and therefore indirectly
into agriculture, environment, public health, law affect the survival of a population. As a strategic
 Biological Weapons 43

weapon, biological warfare is very effective in Georgi Markov was assassinated by the Bulgarian
posing a credible threat of mass casualties, eco- secret police on the streets of London by injecting
nomic collapse, and the breakdown of society. a pellet containing ricin into his leg with the tip
However, biological warfare is less effective as of a modified umbrella. Ricin is a deadly toxin
a tactical weapon, as it may take days or weeks derived from the castor bean plant.
for symptoms of the biological agent to present The most recent use of a biological agent was
themselves, and it could be spread to other than the 2001 anthrax attacks. One week after the
its intended victim(s). The longer incubation time September 11, 2001, terrorist attacks, letters con-
for some biological agents makes them ideal as a taining anthrax spores were mailed to a number
terrorist weapon, allowing the terrorist to get out of news media offices and the offices of Sena-
of harm’s way long before the agent takes effect. tors Tom Daschle and Patrick Leahy. The attack
This article expands further on the concept of resulted in the death of five people and the infec-
biological warfare by providing the reader some tion of 17 others.
of the history of biological warfare, the differ-
ent types and classification of biological warfare Types of Biological Warfare Agents
agents, indications of a biological attack, and There are five main types of biological warfare
medical management of biological casualties. agents: bacteria, rickettsia, viruses, fungi, and
toxins. Each of these agents varies widely in its
The History of Biological Warfare ability to infect humans, its length of incubation,
Biological warfare has been used throughout lethality, and effectiveness as a weapon:
world history. It has been the weapon of choice by
ancient armies to conquer civilizations or assas- • Bacterial agents are single-celled organisms
sinate individuals considered enemies of the state. that are the cause of outbreaks of diseases
During the 13th and 14th centuries,the Mon- such as anthrax, plague, tularemia,
gol Empire was one of the most powerful forces brucellosis, and a number of other diseases.
on Earth, having conquered most of southeast • Rickettsia are microorganisms that are
Asia to eastern Europe. Under the leadership of similar to bacteria but present themselves as
Genghis Khan, his generals ordered the slaughter parasites that reproduce inside animal cells.
of entire populations and the destruction of entire These parasites can cause such diseases as
communities to force their enemies to concede to typhus, Rocky Mountain spotted fever, or
Khan’s reign. During one such siege on the city of Q fever.
Kaffa in 1345, the Mongol army was reported to • Viruses are microscopic organisms 100 times
have catapulted the plague-infested bodies of its smaller than bacteria but unable to grow
own troops over the city walls. or reproduce outside living cells. Examples
In 1763, Fort Pitt, which is now Pittsburgh, of diseases caused by viruses are smallpox,
Pennsylvania, was under siege by the Delaware Venezuelan equine encephalitis (VEE), and
Indians in an effort to drive the British out of viral hemorrhagic fevers, which include
Ohio. In an attempt to make peace, Captain Ebola, Rift Valley fever, and yellow fever.
Simon Ecuyer gave representatives of the Dela- • Fungi can also cause severe diseases in
ware Indians blankets and a handkerchief from humans, such as valley fever. However,
a smallpox ward in hope that the tribe would the most effective use of fungi as a
become infected with the disease. Even though biological weapon would be to destroy
some historians believe that the Indians were crops, resulting in widespread hunger and
already infected with smallpox by exposure to economic disaster. Some examples of fungi
soldiers at Fort Pitt and infected settlers, the gift that could be used as biological agents
of the infected blankets was an intentional act of include rice rust, cereal rust, and potato
biological warfare. blight.
One of the best-known uses of a biological • Toxins are poisons that are produced
agent as a weapon of assassination took place naturally by living organisms, such as
in 1978. A Bulgarian dissident by the name of venomous spiders or snakes, or synthetically
44 Biological Weapons

extracted from naturally occurring poisons. »» Require public health preparedness

The most commonly known toxins are • Category B includes the second-highest
botulinum toxin and ricin. priority agents such as brucellosis, glanders,
ricin, and Q fever. These biological
Biological agents can further be classified by agents are classified as Category B for the
their severity and the health risk they pose. The following reasons:
Centers for Disease Control and Prevention clas- »» Fairly easy to disseminate
sifies these agents in three different categories: »» Result in moderate morbidity with a
low mortality rate
• Category A includes high-priority agents, »» Require extensive diagnostic
including those that pose a risk to national capabilities and disease surveillance
security, such as anthrax, botulism, plague, • Category C is the third-highest category,
and smallpox. These biological agents are which includes such agents as hantavirus,
classified as Category A for the following yellow fever, and drug-resistant tuberculosis.
reasons: These biological agents are classified as
»» Easily disseminated or transmitted Category C for the following reasons:
from person to person »» Readily available
»» High mortality rate and could have a »» Easily produced and disseminated
major impact on public health »» High mortality rate and major health
»» May cause panic and social disruption impact

A National Institute for Occupational Safety and Health crew is suited in full protective gear before entering a simulated biohazard
testing area. The exercise was held in early 2012 along with Sandia National Laboratories to test Sandia’s Building Restoration
Operations Optimization Model (BROOM), a software-based tool to assist in gathering samples following a release of biological
warfare agents in public facilities such as airports, transportation centers, and high-traffic public buildings.
 Biological Weapons 45

Indications of a Biological Attack • Prophylaxis: Antibiotics may be

Even though it is difficult to detect if a population administered prophylactically for known or
is under a biological attack due to varying incuba- suspected exposure. There are also vaccines
tion periods or the multiple methods for dissemi- for such diseases as anthrax and smallpox.
nation, there may be numerous indications of a However, these vaccines are not readily
possible biological attack: available to everyone and may require a
series of inoculations to be effective.
• Appearance of a disease that would not • Isolation and Decontamination: If a
normally occur in that geographic area disease is readily transmitted from person
• A steadily increasing number of patients to person, it is may be possible to isolate
showing up at health care facilities with the infected to prevent further spread of
similar symptoms the disease. Decontamination of surfaces
• The larger numbers of casualties align with which the infected have come in
closely with the wind direction contact may prevent further spread of the
• Reports from pharmacies on large numbers disease.
of specific over-the-counter drugs being sold
• Large numbers of dead animals in an area Conclusion
This is a brief overview of biological warfare,
Medical Management of Biological Casualties including some incidents in world history of the
There are very specific steps to follow in provid- use of biological warfare, the different types and
ing effective medical management of biological classifications of biological warfare agents, indi-
casualties: cations of a biological attack, and the medical
management of biological casualties. This infor-
• Signs and Symptoms: The victims of a mation provides only a baseline for understand-
biological attack manifest very specific ing biological warfare. The threat of a terrorist
signs and symptoms depending on the using a biological weapon is a reality. With the
agent used. For example, bubonic plague is advances in medicine and unlocking secrets of the
characterized by swollen and painful lymph genome, there is a possibility of developing a bio-
nodes called buboes. Cutaneous anthrax logical weapon resistant to all medical counter-
can be identified by black carbuncles and measures and the ability to target specific popula-
swelling of the victim’s skin at the site of tions. Therefore, it is imperative to stay current
infection. Smallpox appears as a rash with with the latest information and best practices in
the formation of pustules. Because many of preparing for biological warfare.
these diseases have not been seen for years,
it is imperative that medical personnel are Bruce A. Thompson
trained to recognize the specific signs and Joint Task Force National Capital Region Medical
symptoms.
• Diagnosis: A definitive diagnosis may See Also: Centers for Disease Control and Prevention
require some very specific laboratory tests (CDC); Chemical Risk; Department of Homeland
that are not readily available. Therefore, Security (DHS); Ebola Virus; Epidemics; Federal
it is important to know which facilities in Emergency Management Agency (FEMA); Food
specific areas have the ability to conduct Security; Health and Medical Response Scenarios;
these diagnostic procedures. Infectious Disease; National Response Framework;
• Treatment: Early administration of Pandemics; Public Health Surveillance; Quarantine;
antibiotics may be critical, depending on Smallpox; Terrorism; Vaccinations; World Health
the biological agent. For example, antibiotic Organization (WHO), UN.
therapy cannot be delayed more than a day
after the onset of symptoms of pneumonic Further Readings
plague. Availability of specific antibiotics, Cartwright, F. F. and M. D. Biddiss. Disease and
such as ciprofloxacin, may be an issue. History. New York: Dorset, 1972.
46 Blame, Politics of

Darling, Robert G. and Jon B. Woods. USAMRIID’s function in moving beyond crisis, negative insti-
Medical Management of Biological Casualties tutional reactions of defensiveness, avoidance,
Handbook. 6th ed. Fort Detrick, Frederick, MD: and the blame game harm a government or orga-
U.S. Army Medical Research Institute of Infectious nization’s reputation and hinder effective crisis
Diseases, 2005. management.
Karlen, A. Man and Microbes: Disease and Plagues Surviving victims and the general public search
in History and Modern Times. New York: Tarcher, for answers in the aftermath of a crisis. The assig-
1995. nation of blame gives disasters meaning. Popu-
Levi, Jeffrey, Laura M. Segal, and Albert Lang. lations live in areas vulnerable to natural disas-
Remembering 9/11 and Anthrax: Public Health’s ters or environmental hazards, corporations do
Vital Role in National Defense. Princeton, NJ: not always balance profitability with safety, and
Robert Wood Johnson Foundation, 2011. technological advances offer greater convenience
Mayor, A. Greek Fire, Poison Arrows, and Scorpion coupled with greater risk of disastrous failure.
Bombs: Biological and Chemical Warfare in the The most common questions raised as a result
Ancient World. Rev. ed. New York: Overlook of a crisis situation are the nature of the crisis
Press, 2008. (what happened and how did it happen) and the
Office of the Surgeon General. Textbook of Military reason(s) for the crisis (why did it happen and
Medicine: Medical Aspects of Chemical and was it preventable).
Biological Warfare. Part I. Washington, DC: If crises are deemed preventable, the next logi-
Department of the U.S. Army, 1997. cal question is who was responsible for failing to
Stewart, Charles E. Weapons of Mass Casualties and prevent the crisis. Answering these questions and
Terrorism Response Handbook. Sudbury, MA: assigning blame gives disasters meaning. Histori-
Jones and Bartlett, 2006. cal explanations for crises such as natural disas-
U.S. Defense Threat Reduction Agency. Weapons ters, crop failures, disease pandemics, or famine
of Mass Destruction Handbook—Terms and often had a religious basis. Blame took the form of
Operational Overview. Washington, DC: U.S. magic, sorcery, or witchcraft accusations or God’s
Defense Threat Reduction Agency, 2005. anger for human failings (the Wrath of God) and
Venzke, Ben N. First Responder Chem-Bio calls for repentance and strengthened faith.
Handbook: A Practical Manual for First In modern times, blame for natural disasters
Responders. Alexandria, VA: Tempest Publishing, focuses on human factors that failed to prevent,
1998. predict, or mitigate such events. For example, those
looking to assign blame ask why populations were
living in vulnerable areas or why politicians or
residents failed to heed scientific warnings. Blame
for technological disasters such as chemical or
Blame, Politics of oil spills, bridge or building collapses, or nuclear
disasters often centers on operator error.
Human nature seeks to provide meaning behind The assignation of blame in modern times is
events, whether they are natural or human in especially likely when it is determined that a crisis
nature. Even most so-called acts of God such as could have been prevented or mitigated and that
natural disasters could have been prevented or the necessary measures were known in advance
mitigated through better risk assessment and cri- but not acted upon, even if such omissions were
sis planning. The political blame game is a public involuntary. The need for blame is also height-
process encompassing numerous interdependent ened in crises that involve loss of life. Scapegoat-
actors, including the news media, government leg- ing places undeserved levels of blame on a chosen
islative bodies and investigatory agencies, public individual, group, or organization. Psychological
forums, and social media. The rise of the modern motivations for scapegoating include the need to
mass media has fueled the political pressure to act minimize personal responsibility or guilt and the
on public demands for relief, blame, and account- need to maintain a sense of control. Scapegoats are
ability. Although blame can play a necessary also chosen based on their political convenience.
 Blame, Politics of 47

Information flow has emerged as an especially internal and external threats is another important
critical issue in the politics of blame during the aspect underlying the politics of blame. Many
mass media era. Avoidance of the media is both observers believe that individual citizens have
more difficult and less effective. The rise of social become less prepared for crisis because of increased
and electronic media such as Facebook, YouTube, reliance on government aid. Blame is then placed
and Twitter has increased the speed and scope on government agencies or officials when that aid
of crisis reporting. Vivid images of damage and is absent or slow to arrive. Nongovernmental orga-
struggling victims increase the political pressure nizations (NGOs) such as voluntary, religious, or
to act on public demands for relief, blame, and business organizations usually provide faster crisis
accountability. Media coverage also fuels the relief and recovery aid, as they are less constrained
public blame game through sensationalism, mis- by bureaucracy and have fewer or no paperwork
reporting, and bias toward the coverage of con- requirements (“red tape”) for aid recipients.
flicts such as the blame game that drive the viewer NGOs, however, are not immune from the politics
interest necessary for higher ratings. On the posi- of blame and its effects on crisis management.
tive side, governments and organizations utilize The U.S. government response to Hurricane
the media to quickly disseminate information on Katrina and its impact on the U.S. Gulf Coast and
proactive crisis response and problem-solving New Orleans is held as a leading example of the
actions that can reduce the negative aspects of the politics of blame. The modern politicization of
political blame game. disaster relief in the United States began in the
second half of the 20th century. Individual citi-
Political Uses of Blame and Their Effects zens had begun to look to the federal government
Blame for poor crisis management is used in for aid on a large scale during the Great Depres-
the promotion of political agendas, including sion of the 1930s under the Franklin D. Roosevelt
increased or reduced government spending, size, administration’s New Deal programs. Previously,
and regulatory or disaster relief roles and calls for most crisis relief had come from local, state, or
increased self-reliance and reduced dependency private organizations. The Dwight D. Eisenhower
on government assistance. Excessive planning, administration was the first granted the author-
bureaucracy, and paperwork requirements (“red ity to make a presidential declaration of disaster
tape”) are frequently blamed causes of govern- areas eligible for federal aid. The federal aid pro-
mental crisis response inefficiencies and delays. cess was further institutionalized and politicized
Statistical correlations between election years and under the Jimmy Carter administration with the
rises in disaster declarations and allocation of formation of the Federal Emergency Management
relief funds are another example of the political Agency (FEMA) in 1979.
nature of crisis management. In the aftermath of Hurricane Katrina, sensa-
Blame for crises or failed crisis management tionalized reports of widespread looting, violence,
is also a common political tool, one which often and rape slowed rescue and relief efforts, as mili-
encompasses historical revisionism or distortion of tary and law enforcement personnel were either
the facts. Politicians and their constituents tend to diverted or cautious to enter reputedly dangerous
be more focused on immediate concerns such as areas. Many of these reports were later proved
economic development, job creation, budget cuts, false. FEMA response was delayed by lack of
or deficit reductions. Precrisis planning and miti- coordination with state and local authorities, lack
gation are often either neglected or pushed to the of sufficient or accurate information, and exces-
back burner. Other issues that affect precrisis prep- sive bureaucratic requirements for aid dispersal.
aration include either too little or too much plan- The same political issues that contribute to poor
ning, lack of coordination between government crisis management and fuel the blame game also
agencies and levels of government, funding short- operate within the international aid community.
falls, the misuse of allocated funds, lack of political Many developing nations and failed states lack
will, poor leadership, and lack of innovation. sufficient resources or infrastructure for effective
The commonly held political belief that govern- crisis management while housing vulnerable pop-
ments are obligated to protect their citizenry from ulations. Political motivations for international
48 Blame, Politics of

crisis relief include potential national security from the accurate identification and correction
impacts of overseas crises and the preservation of the causes of the crisis, and shifts organiza-
of international goodwill. Developed nations and tional, media, and public focus away from orga-
crisis relief organizations have received blame nizational solutions to the crisis, mitigation of its
for perceived slowness of response, sending aid effects, and prevention of similar future crises.
unwanted by the stricken country’s government The politics of blame has a strong influence on
or with strings attached, ignoring crises such as government crisis management operations, espe-
ethnic cleansing or famine until they become cially within the public sector. Government agen-
overwhelming, focusing on crisis response instead cies must manage public expectations that they will
of mitigation and planning, and inadequate fund- actively respond to blame assessments through
ing, especially for long-term recovery. open, thorough investigation, identification of
responsible parties and causal factors, and reme-
Negative Consequences of the Rush to Blame dial action. In their rush to recover political good-
The rush to assign blame and the organizational will after blame, many governments and organi-
responses that drive that rush often have negative zations tend to rush to disperse crisis relief funds
consequences for both the organization and the without first establishing an adequate process for
people affected by the crisis. Some governmental the prevention of wasteful or fraudulent use. In
and organizational crisis management strategies the long term, the avoidance or deference of blame
tend to exacerbate blame. Counterproductive often harms an organization’s public reputation.
organizational responses to crises that play a criti- Organizations that maintain awareness of the
cal role in the politics of blame are found across tendency of these exacerbating behaviors can
the globe and within all types of organizations. remain on guard against them, thus minimizing
Organizations often adopt a defensive mentality the development of the so-called blame game.
in a crisis situation, which can fuel the desire to There are also a number of factors that mitigate
avoid media scrutiny and public blame or to place the negative impacts of the blame game. Open,
blame elsewhere. A defensive stance may also honest acknowledgment of the crisis, its effects,
enhance the perception of justifying rather than and any individual or organizational responsibil-
honestly analyzing the organization’s role in the ity as well as mitigation actions will help alleviate
crisis while giving the public appearance of avoid- the public desire for scapegoating or blame assig-
ance of organizational responsibility and insensi- nation. A focus on immediate relief and recovery
tivity to those affected by the crisis. will maintain public and political goodwill while
Many organizations seek to avoid media con- allowing the truth to come out in the later long-
tact while internally handling crisis situations, but term postcrisis assessment process. The process of
such an approach can have unintended negative blame and punitive measures then allows a gov-
consequences. Misinformation and omissions, ernment or organization to recover from crisis,
whether accidental or intentional, are likely to be resume normal operations, and recapture pub-
pursued within the professional or social media, lic confidence. Often the individuals targeted as
resulting in negative publicity. The blame game is scapegoats are then reassigned, fired, or otherwise
also fueled by the inclusion of assumptions, honest removed from their precrisis roles. Such proactive
misinformation or overly optimistic or pessimistic measures are helpful even for those organizations
statements, or outright lies within an organiza- that truly believe they are not or are only par-
tion’s information flow during or after a crisis. tially responsible for a crisis situation or those
Blame that centers on a particular scapegoat organizations that wish to avoid open statements
ignores the complexity that underlies the chain of culpability that may make them vulnerable to
of events leading to a crisis situation. The blame future litigation. Awareness of the political and
game also deflects attention away from needed emotional nature of crisis situations reduces the
crisis relief and recovery efforts, which is espe- negative impacts of the human tendency to blame.
cially harmful in the immediate aftermath of
a crisis when timely response is of the essence. Marcella Bush Trevino
Finally, the assignation of blame diverts resources Barry University
 Blizzards 49

See Also: Bureaucracy; Electronic Media; Mass conditions can make travel difficult to impossible.
Media; News Media; Political and Organizational In whiteout conditions people have become lost
Leadership; Public Relations; Scapegoating; Social even when going only short distances. Exposure
Media. to low wind chill caused by strong winds and cold
temperatures can result in frostbite and/or hypo-
Further Readings thermia, both of which pose risks to health and
Coombs, W. Timothy. “An Analytic Framework for safety. Blizzards are also known to cause power
Crisis Situations: Better Responses From a Better outages, falling trees and branches due to high
Understanding of the Situation.” Journal of Public winds and/or accumulation of heavy snow, fro-
Relations Research, v.10/3 (2009). zen water pipes due to the cold temperatures, and
Douglas, Mary. Risk and Blame: Essays in Cultural flooding from melting snow. Extreme weather
Theory. New York: Routledge, 1992. events are on the rise, with an increase in fre-
Douglas, Tom. Scapegoats: Transferring Blame. New quency and duration attributed to climate change.
York: Routledge, 1995. Cold temperatures and the presence of ice and
Ellis, Richard. Presidential Lightning Rods: The snow make winter in many countries a naturally
Politics of Blame Avoidance. Lawrence, KS: hazardous season. Winter weather conditions can
University Press of Kansas, 1994. quickly become dangerous, often with little or no
Gerstein, Marc. Flirting with Disaster: Why Accidents warning. Environment Canada issues a variety of
Are Rarely Accidental. New York: Sterling, 2008. severe winter weather watches and warnings to
Gilpin, Dawn R. and Priscilla J. Murphy. Crisis alert the public about the approach of hazardous
Management in a Complex World. New York: winter conditions. Winter storms and excessive
Oxford University Press, 2008. cold claim over 100 lives each year in Canada. In
Hood, Christopher. The Blame Game: Spin, Canada, blizzards occur most often in the south-
Bureaucracy, and Self-Preservation in Government. ern prairies, the Atlantic region, and the eastern
Princeton, NJ: Princeton University Press, 2011. Arctic. Personal preparedness measures can be
Jordan-Meier, Jane. Four Stages of Highly Effective undertaken by learning more about the different
Crisis Management: How to Manage the Media in kinds of winter hazards and how to plan ahead
the Digital Age. Boca Raton, FL: CRC Press, 2011. for possible emergencies. Government environ-
Olasky, Marvin. The Politics of Disaster: Katrina, Big mental and weather agencies issue alerts when
Government, and a New Strategy for Future Crisis. severe winter weather is on the way and pro-
Nashville, TN: W. Publishing, 2006. vide information on the causes, characteristics,
Steinberg, Ted. Acts of God: The Unnatural History and potential effects of various winter hazards,
of Natural Disaster in America. 2nd ed. New York: including blizzards.
Oxford University Press, 2006. One of the worst blizzards in American history
is widely known as the Great Blizzard of 1888.
The blizzard brought 40–55 inches of snow to the
northeast coast. Along with the heavy snow came
snow drifts as high as 50 feet and 45-mile-per-hour
Blizzards winds. Many people were trapped in their homes
for weeks because of the weather conditions and
A blizzard is a winter storm that has strong winds, the inaccessibility of the railroads. In addition to
significant wind chill, and poor visibility due to the trains, telegraph lines, water mains, and gas
blowing snow. The Meteorological Service of Can- lines were also located above ground. It is esti-
ada uses the following general criteria for issuing mated that the storm resulted in over 400 deaths
blizzard warnings: strong winds reaching 25 mi/h and many more injuries. Thousands of wild and
(40 km/h) or greater, visibility of less than 0.6 mi farm animals froze to death in the blizzard. In the
(1 km); cold temperatures; and conditions lasting wake of the storm, officials realized the dangers of
in duration at least four hours. Blizzards, which above-ground telegraph, water, and gas lines and
can last for days, can create a variety of danger- moved them below ground. In New York City, a
ous conditions. Heavy snowfall and whiteout similar determination was made about the trains,
50 Border Disputes

and within 10 years, construction began on an If people must travel during a blizzard, they
underground subway system that is still in use should do so during the day and let someone know
today. With hindsight, there are many instances the driving route and anticipated arrival time. If
where poor judgment led to death or injury from the vehicle gets stuck in a blizzard or snowstorm,
blizzards. remain calm and stay in the car. Allow fresh air
Individuals are cautioned not to venture out in into the vehicle by opening the window slightly
a blizzard. If people must go outside, they should on the sheltered side, away from the wind. It is
dress properly to stay warm, wearing thin layers possible to run the engine about 10 minutes every
of loose-fitting clothing to trap body heat and half hour if the exhaust system is working well.
promote air circulation. Outer clothing should Beware of exhaust fumes and check the exhaust
be tightly woven, hooded, and water repellent. pipe periodically to make sure it is not blocked
Because most body heat is lost through the head, with snow. Remember that potentially fatal car-
people should always wear a hat when it is cold bon monoxide fumes have no smell. To keep
outside. If it is extremely cold, one should cover hands and feet warm, exercise them periodically.
the mouth and exposed skin with a scarf, neck In general, it is a good idea to keep moving to
tube, or face mask and pay particular attention avoid falling asleep. Having a storm readiness
to the wind chill index, which can create danger- plan in place saves valuable time if severe weather
ously cold conditions. People should be on alert such as a blizzard strikes.
for signs of frostbite by checking for numbness
or white areas on the face and extremities (ears, Julie Drolet
nose, cheeks, hands, and feet, in particular). One Thompson Rivers University
should get medical assistance immediately if there
are any signs of confusion, slurred speech, stiff See Also: Climate Change Adaptation; Emergency
muscles, or uncontrollable shivering. These are all Public Information; Preparedness.
symptoms of a potentially fatal condition called
hypothermia, which occurs when the body loses Further Readings
heat faster than it can generate it. Canadian Automobile Association. http://www.caa.ca
Depending on the amount of snowfall, travel (Accessed April 2012).
can be hampered and highways can be closed. The Environment Canada. “How to Use Our Forecasts.”
Canadian Automobile Association advises drivers http://www.ec.gc.ca/meteo-weather/default.asp?
to slow down when driving on snow-covered roads lang=En&n=032568C5-1 (Accessed April 2012).
and leave plenty of distance between vehicles. Win- Meteorological Service of Canada. “Weather and
ter tires provide traction, which is essential for Meteorology.” http://ec.gc.ca/meteo-weather/de
turning and stopping on wet, slushy, or icy surfaces fault.asp?;amg=En&n=FDF98F96-1 (Accessed
in colder weather. Windshield washer fluid is nec- April 2012).
essary in the reservoir with a rating in the minus Potter, Sean. “Retrospect: January 12, 1888: The
40 degrees C temperature range. When driving in Children’s Bizzard.” Weatherwise, v.65/1 (2012).
bad weather, think caution, plan ahead, and make Stromberg, Meghan and Kirstin Kuenzi. “2011: A
sure there is enough fuel by keeping the fuel tank at Year of Extreme Weather.” Planning, v.77/10
least half full. An emergency car kit should always (2011).
be stored in the vehicle. The basic emergency kit
for cars should include the following items: food;
water; blanket; extra clothing and shoes; first aid
kit; small shovel, scraper, and snowbrush; candle
in a deep can and matches; crank flashlight; whis- Border Disputes
tle; road maps; and a copy of an emergency plan.
Additional items that can be kept inside the trunk Border disputes involve situations where a cer-
include sand and/or salt; antifreeze/windshield tain piece of territory bordered by more than one
washer fluid; tow rope; jumper cables; fire extin- nation is claimed by two or more of these nations.
guisher; and a warning light or road flares. Some border disputes take place in isolated areas,
 Border Disputes 51

where the precise boundary between two nations their job on the other side of the border. Certain
is uncertain, while others involve a long-standing regions, such as Europe, have devised means like
disagreement regarding the territorial limits of the European Union to minimize the disruption
two states. Although certain border disputes arise borders place on their residents. Conversely, the
suddenly, others recur over time and with some closing of borders, such as the Blue Line between
regularity. In either case, nations, corporations, Israel and Lebanon, can greatly diminish trade
organizations, and individuals that rely upon a and other interactions between individuals who
border being open are best served through having live on opposite sides of the border. Political dis-
a crisis management plan that deals with a contin- agreements or disputes often result in the closing
gency plan in the event of a border dispute. of borders. Even when borders are not closed,
many nations establish checkpoints where bor-
Background der control agents can inspect those who wish to
Borders are the geographic boundaries of nations cross from one side of the border to the other.
or other political entities such as states, counties, Although some areas of the globe have worked
and municipalities. Some borders are natural, to reduce border control, other areas, such as the
such as geographic attributes that present natural United States, have increased border security since
obstacles to entry and egress; examples include the 1990s. Incidents or events that close borders
oceans, lakes, rivers, forests, mountains, and the cause less disruption if a crisis management plan
like. Other borders are political, separating two is in place to assist in such an event.
nations because of an agreed-upon division of ter-
ritory, reached as the result of tradition, war, or Planning for Border Disputes
negotiation. Examples of political borders include Border disputes that are not managed well can
the United States–Canada border and the Great have catastrophic results for individuals living
Wall of China. The state of diplomatic relations in the border region as well as for the nations
between two nations sharing a border often affects involved in the disagreement. For example, in
the types of controls in place at checkpoints and 1978 a group of Palestine Liberation Organiza-
in other areas. tion (PLO) operatives initiated the hijacking of
The presence of a border affects an area in an Israeli bus that led to the death of 38 Israeli
economic, political, and other ways. Historically, citizens, including 13 children. Three days after
taxes imposed on goods brought across a border the slaughter, the Israeli army launched Opera-
have constituted a major, if not primary, source of tion Litani, an invasion of the border region of
revenue for governments. The proximity of two southern Lebanon where PLO bases were located.
or more jurisdictions also creates special oppor- The Israeli action resulted in the death of more
tunities that favor border trade. Different taxes than 1,100 individuals, mostly Lebanese and Pal-
imposed on certain goods on different sides of a estinian civilians. After Operation Litani ended,
border make it advantageous for consumers to the Israelis continued to skirmish with the PLO
purchase those goods on one side of the border and other Lebanese factions. By 1985 these con-
to avoid these taxes. Different policies related to flicts had proven costly to both sides, with many
a variety of other services, goods, and programs civilians, including women and children, killed as
also may cause individuals to travel to one side of a result of bombings and other attacks launched
the border or the other to obtain these. Services, from southern Lebanon. To meet this challenge,
goods, and programs that often differ by jurisdic- the Israeli Defense Force (IDF) invaded a slim
tion include the provision of abortion, alcohol, borderland buffer zone in 1985. This buffer zone,
medical care, narcotics, pornography, prostitu- known as the Israeli Security Zone, was main-
tion, and the like. Although border disputes often tained by the IDF until 2000. The Israeli Security
involve disagreements regarding territory on land, Zone was kept free of weapons or other forces
such quarrels may also involve maritime matters. other than those of the IDF. The Israeli Security
Many positive benefits result from cross-border Zone was intended to prevent mortar fire and
interactions. Residents of one nation often travel other small arms from harming Israeli border
from their homes on one side of the border to towns. As a result of this occupation, however,
52 Border Disputes

cross-border traffic was halted and economic in the continuance of cross-border relationships.
harm came to those who had depended on trade Increases in intercultural communication and dia-
between the two nations. Such devastating results logue are augmented by mutual or common finan-
spur many government entities to seek alterna- cial interests that make serious border disputes
tives to border disputes that will be less costly and less likely. Second, the agreements that establish
disruptive. macro regional integration zones often contain
As a means of protecting against border dis- arbitration or other judicial procedures to adjudi-
putes, many nations allocate resources that are cate disputes among nations. These avenues assist
used to defend and police their borders. A nation in achieving a resolution to disputes that stops
may use its armed forces, civilian police forces, short of closing down border traffic. Entering
and civil service employees, as well as combi- into treaties and other agreements with neighbor-
nations of these bodies, to maintain order and ing nations is thus a strong preventive step that
enforce the law. In the United States, for exam- guards against crises that may develop as a result
ple, borders are controlled by Customs and Bor- of border disputes.
der Protection (CBP). The CBP is an agency of Despite these carefully laid precautions, bor-
the U.S. Department of Homeland Security and der disputes still occur, both on land and at sea.
is responsible for enforcing hundreds of statutes Indeed, as schools of certain fish become scarcer
and regulations. Created as a result of the deci- and the possibility of harvesting underwater
sion to merge the U.S. Customs Service and the resources becomes more likely, interest in territo-
Immigration and Naturalization Service (INS) as rial rights to certain sea locations has increased.
part of a general reorganization of security forces The governments of the People’s Republic of
after the 9/11 attacks, the CBP is responsible China, the Philippines, and Taiwan, for example,
for three overarching matters: trade, travel, and all assert sovereignty over Scarborough Shoal, a
border security. With regard to trade, the CBP is group of very small islands and reefs in an atoll
accountable for ensuring that goods arriving in shape located in the South China Sea. Although
the United States have the appropriate fees and the Scarborough Shoal is uninhabited, antago-
duties paid to the U.S. government. The CBP also nism between the three nations, and especially
works to ensure that U.S. trade is secure from China and the Philippines, continues, and ini-
threats of terrorism, both around the globe and at tiatives to resolve territorial disagreements also
the borders. For travel, the CBP works to main- continue. In 2011, for instance, China and Japan
tain the United States’ reputation as a welcoming engaged in a series of talks designed to dimin-
country while also efficiently processing over 300 ish hostilities between the two nations over
million visitors who cross its borders each year. control of certain maritime areas. The Chinese
Finally, with respect to border security, the CBP and Japanese have found that including greater
represents the largest law enforcement agency in numbers of constituencies in the talks has made
the United States. This group works to secure the it more possible to reach consensus on certain
nation while coordinating trade and travel. hot topics, such as natural gas exploration and
Border disputes can disrupt the political and fishing rights. The inclusion of business interests,
economic well-being of an area. For most resi- coastal residents, administrative agencies, and
dents of an area near a border, cross-border trade others, in addition to diplomats, made discus-
and easy entry and egress are seen as great ben- sions focus on the consequences to the region.
efits. For that reason, macro regional integration If this success continues, other border disputes
initiatives, such as the North American Free Trade may well include individuals who represent mul-
Agreement (NAFTA) and the European Union tiple perspectives.
(EU), are embraced as helping establish cross-
border regions that are more resistant to unilat- Stephen T. Schroth
eral actions. Such organizations have a twofold Knox College
effect on border disputes. First, macro regional
integration initiatives build support for cross- See Also: Agency Notification and Mobilization;
border integration by creating regional interest Arms Control; Civil War; Department of Homeland
 Bounded Rationality 53

Security (DHS); Interstate War; Religious Violence; related to the emerging medical sciences were
Terrorism; Weapons Trafficking. based on incomplete intelligence or a lack of vital
information to make reasonable, if not optimal,
Further Readings diagnoses or decisions.
Diener, A. C. and J. Hagen. Borderlines and As late as the Renaissance, European physi-
Borderlands: Political Oddities at the Edge of cians relied on human anatomical information
the Nation-State. Lanham, MD: Rowman & that dated back to the time of Galen, the pio-
Littlefield, 2010. neering Arabic physician of the 2nd century c.e.
Diener, A. C. and J. Hagen. Borders: A Very Short Galen’s anatomical descriptions filled a large gap
Introduction. New York: Oxford University Press, in medical knowledge, but even Galen’s contri-
2012. butions fell short of fully accurate identification
Gallagher, C., C. Dahlman, M. Gilmartin, A. of the human skeleton. Anton van Leeuwen-
Mountz, and P. Shirlow. Key Concepts in Political hoek, a Dutch lens maker who lived from 1632
Geography. Thousand Oaks, CA: Sage, 2009. to 1723, developed lenses that produced a dra-
matic 200 percent magnification of what he iden-
tified as “animalcules” or single-cell life-forms.
The improved lenses led to development of the
scientific microscope, which enhanced scientific
Bounded Rationality theorizing and the discovery of bacteria, but it
would still take another two centuries for the
A discussion of bounded rationality must include scientific community to produce lens instrumen-
a review of two definitions: What is meant by the tation powerful enough to view living viruses.
term bounded, and what is meant by the term Diagnosis and treatment decisions related to
rationality? Limited, circumscribed, finite, and viruses required information that could not exist
restricted are defining words that suggest param- until visual confirmation of viral life-forms could
eters of a bounded state or condition. The term be confirmed. Medical science remained in a
rational denotes a quality or state of reasonable- bounded or circumscribed state.
ness, or a sensible, logical, or well-founded con- The term rationality derived from the Latin
dition. The origins of the concept of bounded and adopted French word ratio, defined as a
rationality are historically rooted in common- lack of information or intelligence, or more spe-
sense approaches to the art and practice of deci- cifically, indicating a finite or incomplete intel-
sion making. The concept has practical relevance ligence. In the 20th century, Herbert A. Simon
to a variety of disciplines: crisis management, refined this informal concept, pointing out that
crisis negotiation, crisis communication, crisis for rational decision making to occur, cogni-
planning, mediation services, industrial planning, tive limitations, the extent to which individuals
governmental policy making, economics, and are bounded by lack of adequate information,
individual decision making, to name a few. lack of intellectual capacity, and available tech-
nical and computational capacity needed to be
Human Limitations for Rationality taken into account in order to make reasonable
The scientific community in the 18th and 19th decisions. Simon argued that a rational action
centuries recognized human limitations that had implied behaving in a manner appropriate to a
long been understood but inadequately defined. particular situation—to the specific context in
They recognized that human intelligence had which a decision is made. Emotional factors such
finite capacities or limitations; that the then- as fear must be considered as influences that bind
current state-of-the-art construction, engineer- or restrict the development of an optimal deci-
ing, and instrumentation technologies were often sion. Physiological and psychological limitations
woefully inadequate to the tasks of producing associated with fear, stress, and the fight or flight
accurate measurements intended to shed light on syndrome, as described in the general adaptation
phenomena in nature and the constructed world; syndrome developed by Hans Selye, constitute
and that the prevailing theories and observations factors that may contribute to less than rational
54 Bounded Rationality

or reasonable decision making. The psychologi- Vegas urban area was a critical factor in halting
cal effects of very high levels of stress are well the opening of the Yucca Mountain site.
established. The human capacity for sustained
attention or the ability to concentrate is dimin- Time- and Cost-Bound Influences
ished, and how an individual perceives what is Reasoned or rational decision-making processes
required for optimal decision making can become should include realistic outcomes that would pro-
altered by real or even imagined crisis situations. duce a beneficial outcome, and the decision-mak-
What will satisfy immediate or near-term safety ing process would factor in cognitive and organi-
or survival may reduce thinking processes to act- zational constraints that might result in a weaker
ing upon and accepting a very limited range of decision. Decision planning guided by these
what Simon called “satisficing” or satisfactory constraints is understood to be adaptive or con-
decisions. ducted within rationally bounded guidelines or
parameters. Daniel Hahnemann and Amos Tver-
Influences of Locality on Decision Making sky found that decision processes occur within
A factor that may limit the selection of an optimal time- and cost-bound realities, and even when
decision is a decision maker’s regional or local optimal technologies and expertise are available
geographical setting. Individuals and groups are to decision makers, the optimal decision may not
influenced by their physical and cultural environ- be made. Planners often arrive at “satisficing” or
ments. Planners and decision makers who have acceptable decisions.
long resided in desert climates may contribute An optimal decision would require planners to
prejudiced policy recommendations on planning possess all the currently available and appropri-
for hurricane preparations. Regardless of how ate information vital to informing a decision. All
much we are convinced that our recommenda- known alternative decisions would also need to
tions are detached and objective, we may tend to be factored into selecting a decision. Influencing
generate less than optimal decisions. factors such as cost-benefit analysis of each alter-
This very human problem of restrictions on native would need to be evaluated to determine
our cognitive processes is described as “local the action that would result in the safest, healthi-
rationality.” The problem is not an immediate est, most fiscally cost-efficient, most timely, and
concern to populations that are not at signifi- most appropriate decision.
cant or immediate risk. From a crisis manage-
ment perspective, governmental agencies are The Influence of Personal Views
frequently confronted with potential environ- Decision analysts report that results may not be
mental or safety policy decisions that result in predicted with a high degree of certitude. Impor-
public opposition, often referred to as NIMBY tant decisions involving the safety or security of
or “not in my backyard” issues. communities and nations are fraught with ele-
Local rationality has significantly influenced ments of human emotion and personal agendas
national governmental decisions on where and that may not be readily apparent even in the
how to safeguard or dispose of weapons-grade most organized and objective planning pro-
chemical and radioactive waste that will pose cesses. In the United States, a large percentage
serious threats to human health for thousands of the population view driving an automobile
of years. Billions of U.S. tax dollars were spent as a basic right. Governmental efforts to develop
on selecting, excavating, and preparing a remote high-speed and light-urban rail transport have met
site in the state of Nevada (Yucca Mountain) to with mixed results, and public opinion and auto-
house such waste for thousands of years or until mobile-related businesses and industrial interests
advanced waste remediation technologies could have long campaigned against these forms of
be safely employed to reduce risks of radiation transportation. Yet, with each significant spike
exposure. in gasoline prices, American drivers have increas-
Despite the fact that Yucca Mountain was ingly turned to available rail and bus transport to
ready to accept waste, the site was never opened. save money. It is evident that emotion, cost, time,
Fear of future radiation exposure in the large Las and availability are critical factors in the bounded
 Bounded Rationality 55

Union had constructed missile silos and awaited

Soviet fleet shipments of nuclear weapons. The
Kennedy administration committed to withdraw-
ing nuclear weapons from Turkey, a country that
bordered the former Soviet Union, if the Soviet
Union would withdraw missile shipments. The
Soviet Union returned the nuclear missile cargoes
to Russian ports. Both governments saved face, as
the two superpowers backed away from the brink
of a possible nuclear war.
The Kennedy administration reviewed numer-
ous alternatives in seeking to resolve one of the
gravest political and military crises since the end
of World War II. Both leaders and their govern-
ments were bounded or constrained by politi-
cal and military agendas. The decision-making
process was time-bound in a dangerous face-off
as Soviet cargo ships neared the U.S. blockade.
Both governments arrived at what could best be
described as a rational decision. They averted a
catastrophe of global proportions and crafted a
decision based on reason.
This 1962 U.S. Department of Defense photo shows Soviet
missile equipment being loaded at a port in Cuba. The Cold Adaptive Optimizing Decision Making
War’s tense Soviet–American relations came to a head in Bruce Bueno de Mesquita informs planners that
October 1962 during the Cuban Missile Crisis. they should approach the decision-making pro-
cess in an “adaptive” manner, always adapting
to be flexible to changes and limitations of the
specific environment in which their decision plan-
rationality equation when an individual chooses ning takes place. However, decision makers must
to drive or take a bus or train to work or to mar- recognize that their organizational culture may
ket, providing that alternative forms of transport not allow for decisions that are in opposition to
are actually available. It is important to recognize their stated program planning mission and goals.
that transport planners are also members of the Regardless of time restrictions, environmental
public, and their own deeply held views on the conditions, cost, and idiosyncratic constraints,
rights or abuses of the personal automobile are decision planners must establish protocols that
factored into policy planning regardless of how seek an optimal decision among the alternatives
much effort is put into detaching emotional and considered.
personal inputs.
Hal Marchand
Alternative Decision Possibilities Western Illinois University
Developing alternative decision options is essen-
tial, particularly when efforts to reach an agree- See Also: Decision Making; Decision Making,
ment reach an impasse. The 1962 Cuban Missile Theories of; Decision Making Under Stress; Decision
Crisis between the former Soviet Union and the Stream; Decision Support Tools; Groupthink; Political
United States provides a case in point. After tense and Organizational Leadership; Uncertainty.
communications between President John F. Ken-
nedy and Soviet Premier Nikita Khrushchev, the Further Readings
United States decided to halt a naval blockade Bueno de Mesquita, Bruce. The War Trap. New
of the island nation of Cuba, where the Soviet Haven, CT: Yale University Press, 1981.
56 Brain Drain

History of the Microscope. “Anton van educational standards, inadequate infrastruc-

Leeuwenhoek: A History of the Compound ture, services and health care, and environmental
Microscope.” (2010). http://www.history-of-the collapse. Host countries attract skilled workers
-microscope.org/anton-van-leeuwenhoek-micro with their robust economic outlook, higher sala-
scope-history.php (Accessed June 2012). ries, quality schools, strong infrastructure and
Kahneman, Daniel and Amos Tversky. “The services, and social stability and mobility. Sixty
Psychology of Preferences.” Scientific American percent of world migrants move to developed
(January 1982). countries; the remainder is between developed
Klaes, Matthias. “A Conceptual History of the countries. There is limited migration from devel-
Emergence of Bounded Rationality.” History of oped countries to developing ones. Ninety per-
Political Economy, v.37/1 (2005). cent of highly skilled migrants live in the nations
O’Neal, John R. “The Rationality of Decision of the Organization for Economic Co-operation
Making During International Crises.” Polity, and Development; of this population, 85 percent
v.20/4 (1988). live in the United States, Canada, Australia, the
Selye, Hans. “The General Adaptation Syndrome and United Kingdom (UK), Germany, and France.
the Diseases of Adaptation.” Journal of Clinical Seventy percent of temporary migrants in the
Endocrinology and Metabolism, v.6/2 (1946). United States are highly skilled, whereas they
Simon, Herbert A. “Bounded Rationality.” In The form only 40 percent in the UK and Canada and
New Palgrave: A Dictionary of Economics, J. 15–30 percent in France.
Eatwell, M. Milgate, and P. Newman, eds. Vol. 1. This asymmetrical skill flow is attributed to the
London: Macmillian, 1987. lower linguistic adjustment required of migrants
White, Mark J. “New Scholarship on the Cuban moving into countries where the lingua franca
Missile Crisis.” Diplomatic History, v.26/1 (2002). English is spoken. Brain drain severely impacts
Zeev, Marov. “A Behavioral Model of Dispute sub-Saharan Africa, Caribbean islands, India,
Escalation.” International Interactions, v.10/3–4 China, Vietnam, Pakistan, Indonesia, and former
(1983). Soviet states. Key industries damaged by brain
drain include health and medicine, business ser-
vices, banking and finance, computers and infor-
mation technology, and industrial high tech.
Between 1990 and 2000, international migration
Brain Drain expanded by 14 percent, and the result was an
increase from 154 million to 175 million people
The term brain drain refers to the migration of living in host nations. The brain drain is more
skilled workers and their families to other coun- extensive today than two decades ago because
tries or regions. Human capital flight is primarily skill-selective immigration policies in Australia,
from developing countries to industrialized or oil- New Zealand, Canada, and the United States
rich countries, but its effects are also a concern attract the top workers.
in some industrialized countries. Brain drain can
be long term, such as decades of emigration from Crisis and Political Influence
African nations, or form a rapid crisis such as the Crises or major political shifts encourage brain
emigration from East Germany to West Germany drain. For example, due to political upheaval
between 1945 and 1961 in which 20 percent of between 1989 and 1997, 233,000 South Africans
the population, mostly skilled, resettled. permanently emigrated to the UK, the United
States, Canada, Australia, and New Zealand.
Social Factors Driving Brain Drain Due to economic and environmental problems,
Brain drain is driven by demand for skilled labor. 80 percent of skilled workers have left the small
Underlying social factors that motivate brain Caribbean-basin countries of Guyana, Jamaica,
drain include poverty, economic depression, low Haiti, Grenada, and St. Vincent and the Grena-
pay, currency devaluation, crisis and conflict, dines, producing one of the most brain-drained
political chaos and corruption, crime, falling regions in the world.
 Brain Drain 57

Migration is motivated by the income dif- spending on training individuals who migrate
ferential between developing and industrialized with skills acquired at taxpayer expense. Middle-
countries. Nigerian medical schools and hospi- and low-income countries are left with a smaller
tals have lost many of the most talented practi- number of workers possessing a tertiary education
tioners because they receive far better salaries in compared to high-income countries. The loss of
countries like Saudi Arabia. Working conditions creative and entrepreneurial professionals slows
and equipment in developing countries are often job creation and impedes efficiency. When par-
inadequate, leaving human talent and potential ents emigrate and leave their children behind, the
underutilized. Engineers, scientists, and research- children’s educational attainment is lower. Brain
ers from India, China, and Korea have moved to drain also diverts attention away from domestic
countries like the United States in great numbers problems and investment because professionals
to take advantage of better pay, benefits, and liv- orient their skills and resources to other nations.
ing conditions. Migration networks form and The departure of skilled professionals results in
stimulate community migration; a sequential the loss of international recognition in institu-
migration chain emerges, with settled migrants tions, the overworking of those who remain, the
housing new arrivals. Generalized reciprocity use of under- or less-qualified replacement work-
supports migrants until they are self-sufficient. ers, weaker modeling in the workplace, and the
erosion of morale in postgraduate education, and,
Positive Outcomes in the context of health care, has negative impli-
Positive effects of migration include an overall cations for the health of the citizenry. The brain
improvement in migrant child health outcomes, drain results in the loss of present and future sav-
lower infant mortality, and greater birth weights; ings, collected taxes, taxpayer investment in edu-
however, migrant infants were less likely to be cation, and sources of leadership.
breast-fed and vaccinated. Feedback effects like
money remittances stimulate migration, and they Mitigation of Brain Drain
represent an important source of income in many Various methods can mitigate the stresses caused
developing nations. Remittances form the largest by brain drain. Governments may increase the
external input on the economy of Haiti, for exam- net incomes of the highly skilled and decrease
ple. However, most benefits from migration are the redistributive taxation that operates at their
internalized in the host nation, and money remit- expense. If governments want to keep the highly
tances only trickle back. Money remittances are skilled and the system of redistributive taxation,
usually spent on consumer goods and not placed education and public discourse need to persuade
in productive investments that act as multipliers. citizens that taxation is beneficial for the common
Return migration of individuals with new skills good. Proactive policies that recruit skilled for-
represents potential gains. The establishment of eigners can help turn brain drain into brain gain.
business networks in source and host nations can While it may be desirable to offset brain drain
stimulate trade and the flow of knowledge. Over- losses with open immigration policies, in many
all, however, the negative effects of brain drain states this incites nationalist anti-immigration
exceed the positive aspects of “brain gain” when sentiments. Government bureaus that only handle
one considers how the acquisition of language skilled personnel may offset this hostility.
skills slows the productivity of the newly arrived, Host countries can support education in source
especially in non–lingua franca host countries. countries with money and expertise in critical
Plus, many skilled migrants are hired to do menial areas so that individuals need not settle abroad for
work for which they are overqualified, resulting education. Source enterprises can upgrade human
in “brain waste.” Incomes for brain waste jobs resources by offering training. Host and source
are lower, and educational assets are left fallow. countries can also require temporary migration
with circulation back to the source country. Gov-
Negative Outcomes ernments can produce more high-skills graduates
The brain drain has negative impacts in source and improve living conditions through security
countries. Economic costs include government and economic opportunity. As women have lower
58 Bridges

migration potential than men, affirmative action Docquier, Frédéric and Abdeslam Marfouk.
on the basis of gender may be considered. Plac- “International Migration by Education Attainment,
ing limits on the amount of currency that can 1990–2000.” In International Migration,
be taken out of a country may also diminish the Remittances and the Brain Drain, Çaglar Özden
attractiveness of migrating. and Maurice Schiff, eds. Washington, DC: World
Strengthening loyalty can be accomplished by Bank and Palgrave Macmillan, 2006.
cultivating community bonds and breaking the Dodson, Belinda. Gender and the Brain Drain From
culture of anonymity so that there is an emotional South Africa. Cape Town, South Africa: Idasa,
cost to emigration. Citizens will stay if they are 2002.
proud of their nation’s political, legal, economic, Lien, Donald and Yan Wang. “Brain Drain or
educational, and social institutions. Another pol- Brain Gain: A Revisit.” Journal of Population
icy that may slow brain drain outside the Anglo- Economics, v.18/1 (2005).
phone world is the affirmation of linguistic territo- Mbanefoh, Nkechi. Dimensions of Brain Drain in
riality wherein the national language is prioritized Nigeria. Ibadan, Nigeria: Nigerian Institute of
over the English lingua franca. Governments can Social and Economic Research, 1992.
assert the dominance of the territorial languages Stepick, Alex. Pride Against Prejudice: Haitians in
throughout public education. Host governments the United States. Needham Heights, MA: Allyn &
can impose compulsory education in the national Bacon, 1998.
language and culture to encourage assimilation. Tapsoba, J. M. S., ed. Brain Drain and Capacity
Corruption, nepotism, and the lack of account- Building in Africa. Addis Ababa: United Nations
ability need to diminish just as law, order, meri- Economic Commission for Africa, 2000.
tocracy, and justice need to increase in the source
country. To stem the loss of health care profession-
als in developing countries, providers need to be
better remunerated, restrictions on private practice
lifted, a stable currency exchange rate adopted, Bridges
interest rates on loans regulated downward, bud-
getary allocations for health care increased, and Bridges are essential engineered and constructed
more scientific research projects funded; medical structures that support elevated roadways for
education should shift its emphasis from curative transporting vehicles, trains, and foot traffic over
to preventative medicine to increase regional rel- waterways, roads, valleys, and transportation
evance and decrease advantages on the interna- obstacles such as cities and railway yards. The
tional market. The government can also regulate safety of bridges is often taken for granted by
professionals who seek international opportuni- the public, and bridge failures that result in mass
ties in order to negotiate the migrant’s length of casualties have been rare until the last decade.
stay abroad, and temporary or permanent return- Bridges in many parts of the world are aging
ees should be encouraged to share their skills and and have outlived their engineered life spans and
knowledge. need to be replaced or retrofitted. Thousands of
obsolete bridges remain in use. Obsolete bridges
Benjamin Hebblethwaite are often structures that were constructed over a
University of Florida century ago; they may not be unstable but they
are not capable of sustaining the weight loads of
See Also: Immigration; Interdependence; Mutual Aid today’s vehicles, nor can they provide the multiple
and Assistance; Poverty; Scenario Planning. lanes needed to support the increasing volume of
traffic. Bridges also provide terrorists with targets
Further Readings of opportunity.
Crush, Jonathan, David McDonald, and Vincent
Williams. Losing Our Minds: Skills Migration and Recent Bridge Engineering Research Findings
the South African Brain Drain. Cape Town, South In 2009, the American Society of Civil Engineers
Africa: Idasa, 2000. (ASCE) issued findings on the safety of critical
 Bridges 59

infrastructure in the United States. The study the 600,000-plus bridges in the United States were
assigned letter grades on the safety of dams, high- vulnerable to terrorist attack. The commission
ways, levees, sewers, and bridges. On a graded called for risk assessment evaluations of bridges,
scale of “A “to “F,” bridges received a grade of enhanced security measures, and structural ret-
“C” due to the high number of unsafe bridge rofitting to diminish the potential for terrorist
findings. The report found that 26 percent of U.S. activities. As recently as May 1, 2012, five men
bridges were structurally deficient. For a bridge to describing themselves as anarchists were arrested
designated as structurally deficient, it must have a planning to blow up an urban, highly trafficked
defect significant enough to require posted weight bridge in Cleveland, Ohio. Worldwide, in May
load limits, speed restrictions, and signage warn-
ing of flood dangers in locations where flooding
regularly occurs. Internationally, bridge safety
was evaluated in a 2009 technology study that
Case Study: Recent Bridge Crises
identified bridge strikes, where bridges are struck
by objects such as barges, boats, and locomotives. The highly trafficked Interstate 35 West Bridge
Large-object strikes accounted for a high number spanning the Mississippi River between the U.S.
of bridge failures in the United States and Europe cities of Minneapolis and St. Paul, Minnesota,
but accounted for few collapses in other parts of collapsed during the evening rush hour on August
the world, often due to underreporting. Bridges 1, 2007. The Interstate 35 bridge failure brought
carrying overloaded vehicles and trains were about reviews of bridge structural integrity and
identified as the most frequent factor contributing safety around the industrialized world. The
to bridge failures. Although the 2007 Minneapo- catastrophe resulted in 145 reported injuries and
lis bridge collapse involved multiple causes, over- 13 fatalities.
load was determined to be a contributing factor. In western Europe, on March 5, 2011,
Increased weight loads and increased numbers a bridge constructed in 1885 linking the
of vehicles on the road have put unmanageable Portuguese communities of Catelo de Paiva and
strains on aging bridges. Penafiel collapsed, resulting in the fatalities
Bridges in the United States and Canada are of a busload of 60 passengers and 10 people
engineered for safety and serviceability for a crossing the bridge in personal and commercial
period of approximately 50 years. A large number vehicles. The 1885 bridge was determined to be
of them are at least 43 years old and approaching obsolete and not designed for today’s significantly
the need for replacement. Of 600,000-plus U.S. increased volume of traffic, larger vehicle sizes
bridges, 12 percent were found to be structurally and weight loads, and speed capabilities of
deficient in 2008, and almost 15 percent were modern vehicles.
described as functionally obsolete. In rural areas, In Asia, bridge failures have become a
25 percent of bridges were deemed to be structur- recurrent safety problem. In the People’s
ally inadequate, as well as 30 percent of urban Republic of China during July 2011, three
bridges. Motor freight traffic has increased by bridges collapsed, reportedly due to incorrect
nearly 50 percent in the last 20 years, and urban proportions of sand mixed with concrete used
areas account for the largest share of traffic in the to construct the bridges. In one of the failed
United States, indicating that urban area bridge bridges, trucks had been prohibited by law
safety is a critical public safety concern. Bridges from crossing the bridge due to their heavy
that are in the process of being constructed loads that caused bridge destabilization. Police
account for the second most frequent cause of video surveillance cameras revealed that late-
collapses worldwide. night truck crossings were responsible for
destabilization of the bridge and contributed to
Bridge Protection Against Terrorist Attack its subsequent collapse. Over 1,000 trucks were
A commission comprising governmental, engi- identified making unauthorized crossings, often
neering, scientific, and security experts convened carrying loads of more than 100 tons.
in the United States reported that nearly 1,000 of
60 BS 25999

2012 three completed terrorist attacks on bridges Since June 2010, it is one of three standards
resulted in explosives detonated in Myanmar and (alongside the National Fire Protection Associa-
India, and one bomb scare occurred in Kenya. tion’s NFPA 1600 and the ASIS International’s
ASIS SPC-1) that the U.S. Department of Home-
Hal Marchand land Security (DHS) officially adopted for its
Western Illinois University Voluntary Private Sector Preparedness Accredita-
tion and Certification Program (PS-PREP). From
See Also: Critical Infrastructure; Dams, Levees, and December 2010, the American National Stan-
Seawalls; Floods, Post-Traumatic Stress Disorder; dards Institute (ANSI) has approved the ASIS/BSI
Sabotage; Safety Policies; Suicide Bombing; Terrorism; BCM.01 2010 standard for business continuity
Transportation Security; Vulnerability. management that shares much of the core of BS
25999, while reflecting the differences in the U.S.
Further Readings infrastructure, systems, and terminology.
Federal Highway Administration and the Association Other equivalent internationally recognized
of State Highway and Transportation Officials. standards are the ISO/PAS 22399: Guideline for
“Recommendations for Bridge and Tunnel Incident Preparedness and Operational Continu-
Security.” Blue Ribbon Commission Report. ity Management published in 2007 by the Inter-
Washington, DC: FHWA and AASHTO, 2011. national Organization for Standardization (ISO)
Global Incident Map. http://globalincidentmap.com and the AS/NZS 5050: Business Continuity Man-
/incidents.php?typeid=14 (Accessed March 2012). aging Disruption-Related Risk published in 2010
McLinn, James. “Major Bridge Collapses in the U.S. by Standards Australia.
and Around the World.” IEEE Reliability Society
2009 Annual Technology Report. Washington, BS 25999-1
DC: IEEE, 2009. The first part of the standard, BS 25999-1:2006
Wardhana, Kumalasari and Fabian C. Hadipriono. Business Continuity Management: Code of Prac-
“Analysis of Recent Bridge Failures in the tice, was published by the BSI in December 2006
United States.” ASCE Journal of Performance of and provides an overview of the principles, pro-
Constructed Facilities, v.17/3 (August 2003). cesses, and terminology of business continuity
planning and protecting critical functions dur-
ing times of crisis. It sets out the various stages
in developing, implementing, and maintaining a
business continuity management system (BCMS)
BS 25999 and outlines the requirements for achieving the
BSI’s business continuity certification.
BS 25999 is an internationally recognized busi- BS 25999-1 starts by defining the scope of the
ness continuity management (BCM) standard standard and clarifies that it describes generic best
developed in 2006 by the British Standards Insti- practice that should be customized to the needs
tution (BSI) in consultation with the UK busi- and wants of the organization implementing it.
ness community, replacing the Publicly Available It then provides a short overview of a BCMS,
Specification 56 (PAS 56) issued on the same sub- describing its various processes, relationship with
ject in 2003. The standard provides a basis for risk management, and the reasons and benefits for
understanding, developing, and implementing an organization to implement it. Central to this
business continuity plans within an organization implementation is having a clear, unambiguous,
and a comprehensive set of requirements based and appropriately resourced BCM Policy and a
on BCM best practice covering the whole BCM Programme Management for which the standard
life cycle. The requirements in the standard are defines an approach. This approach, which is per-
generic and are intended to be applicable to all haps the most comprehensive of all standards,
organizations, regardless of type, size, and nature describes the BCM Programme Management as a
of business. The standard is divided in two parts: four-stage life cycle that aims to embed BCM into
BS 25999-1 and BS25999-2. an organization.
 BS 25999 61

The first stage is labeled “understanding the to “determine the impact of any disruption of
organization.” The organization and its critical the activities that support the organization’s key
activities, resources, duties, obligations, threats, products and services.” The BIA helps the plan-
risks, and overall risk appetite need first to be ner to understand the organization’s “key” and
understood before moving to the second stage of “critical” business processes (not the same when
designing appropriate business continuity strat- it comes to prioritizing recovery) and their inter-
egies and tactics. The third stage involves the dependencies as well as to quantify the potential
development and implementation of the tactical consequences of an operational disruption in
means (incident management structures, incident monetary terms. Next, the organization identifies
management and business continuity plans) by ways to mitigate potential business disruptions
which business continuity is delivered within an by reducing their likelihood, limiting their time
organization. The fourth stage is concerned with frame, or reducing their impact and defines strate-
the exercise, maintenance, and review processes gies by which it will respond to and recover from
that will enable the business continuity capability them, including relationships with key internal
to continue to meet the organization’s goals. All and external stakeholders. These strategies will
these efforts should aim not at a BCMS that exists form the basis for the design of the organization’s
in a vacuum but to become part of the organiza- incident response structure, that is, the identifica-
tion’s culture and the way that it is managed. tion of people, the development of BCM plans,
and the allocation of resources to respond to inci-
BS 25999-2 dents, trigger an appropriate business continuity
The second part, BS 25999-2:2007 Specification response, communicate with stakeholders, and
for Business Continuity Management, was pub- manage the resumption and recovery of business
lished by the BSI in November 2007 and features processes.
largely the same content as the first part but with The monitoring and reviewing phase ensures
greater detail with regard to the specific activi- that the organization undertakes regular indepen-
ties by which a BCMS can be developed, imple- dent reviews of the BCMS to determine whether
mented, and maintained. It is organized, similarly it conforms to planned requirements, has been
to the first part, in four main phases: Planning the properly implemented and maintained, and con-
BCMS, Implementing and Operating the BCMS, tinues to meet the organization’s BCM policy and
Monitoring and Reviewing the BCMS, and Main- objectives.
taining and Improving the BCMS. The maintaining and improving phase involves
In the planning phase, the program require- the continual improvement of the BCMS’s effec-
ments are determined and the scope and objec- tiveness through the review of policy and objec-
tives of the BCMS are identified by taking into tives, audit results, analysis of monitored events,
account the organization’s strategic objectives, and the application of preventive and corrective
key offering (products/services), risk appetite, actions.
and all possible regulatory or other restrictions.
These requirements and objectives form the basis Alexandros Paraskevas
of the BCM policy, which documents the man- Oxford Brookes University
agement commitment to the BCMS and should
be communicated to all organization members. See Also: Business Continuity Management; Business
This phase also involves the allocation of the Continuity Planning; Business Continuity Planning
resources necessary to oversee, implement, and Life Cycle; Business Impact Analysis; Business
maintain the BCMS; the training and develop- Resumption Planning; Criticality Assessment; Incident
ment required; and the processes to manage the Response; Response; Risk Assessment; Stakeholders.
documentation and records created as a part of
this implementation. Further Readings
The implementing and operating phase begins British Standards Institution. BS 25999-1:2006
with the business impact analysis (BIA), which, Business Continuity Management: Code of
according to Section 4, enables an organization Practice. London: BSI, 2006.
62 Budget Crisis

British Standards Institution. BS 25999-2:2007 for discretionary spending (including the military
Business Continuity Management: Specification. and some social programs) must be specified each
London: BSI, 2007. year, and most debates about the federal bud-
Calder, A. Business Continuity and BS25999: A get involve discretionary spending, although the
Combined Glossary. Ely, UK: IT Governance, greater part of the U.S. budget is concerned with
2008. mandatory spending for programs such as Social
Drewitt, T. A Manager’s Guide to BS25999: A Security and Medicare, also known as entitlement
Practical Guide to Developing and Implementing a programs.
Business Continuity Management System. Ely, UK: The power to pass the budget is deliberately
IT Governance, 2008. shared between two branches of government as
part of the balance of powers, but it can raise
practical difficulties because budget negotiations
sometimes turn into showdowns between the
two parties, particularly if one party controls the
Budget Crisis House and the other controls the Senate, or if the
president is from one party and the Congress is
There are several different types of budget crises controlled by the other party; some less gener-
that a government may experience; all have as ous observers have likened these negotiations to a
their defining characteristic the fact that a govern- game of chicken, in which each party is trying to
ment does not have sufficient funds to continue force the other to blink first.
to operate and meet its obligations. One type of Between 1980 and 1995, the United States expe-
crisis has its roots in politics, as competing politi- rienced nine gaps during which the previous year’s
cal parties become unwilling or unable to work budget had expired and a new budget had not been
together to pass a budget that provides sufficient passed; these gaps ranged from a few hours to sev-
funds for the government to continue to function; eral days. For instance, in November 1981, about
the U.S. government has experienced this type of 240,000 nonessential government employees were
crisis several times in the past few decades. A sec- ordered to go on furlough (it lasted only one day);
ond type of crisis is when a government’s revenues in October 1984 and October 1986, about half
are not sufficient to fund its operations and it is a million government workers were sent home in
not allowed to carry a deficit; some U.S. states and the middle of the day but were back at work the
cities were facing this type of crisis as of 2012. A next, resulting in a half-day furlough; and in Octo-
third type of crisis, a currency crisis, is related to ber 1990, national parks and museums were shut
foreign exchange rates; this type of crisis is most down over the Columbus Day weekend because a
common in countries with emerging economies, budget had not been passed to pay the workers.
such as Mexico and Chile. Yet another type of cri- Government shutdowns draw attention to budget
sis is exemplified by the eurozone crisis that began issues but are costly, due to lost revenues and the
in 2009, in which a government’s debt becomes fact that historically federal workers have received
so large in relation to its gross domestic product payment for furloughed days retroactively; for
(GDP) that lenders believe it will not be able to instance, the General Accounting Office estimates
meet its obligations, but the country’s choices to that the October 1990 shutdown cost the govern-
resolve the situation are limited because it is part ment about $1.7 million.
of a currency union including other countries. However, the longest federal budget crisis in the
United States took place in fiscal year 1995–96,
Political Budget Crises when nonessential services were suspended for
In the U.S. political system, the president presents a total of 28 days: November 14–19, 1995, and
a proposed budget to Congress each year. The December 16, 1995–January 6, 1996. A report
budget is modified in the House of Representatives prepared by the Congressional Research Service
and the Senate, and when a budget is passed by cited many effects of these shutdowns, including
both houses of Congress, it must be signed by the the following: the Centers for Disease Control and
president before it becomes law. Appropriations Prevention ceased disease surveillance; cleanup of
 Budget Crisis 63

toxic wastes was suspended at 609 sites; hiring taxes or tax increases. California is an example
of 400 Border Patrol agents was delayed; 368 of a state that has had to deal with a series of
National Park Service sites were closed, as were budget crises each year since 2008 and has dealt
numerous national monuments and museums, with them primarily through budget cuts. In May
affecting an estimated 9 million visitors; some 2012, Governor Jerry Brown announced that the
20,000–30,000 requests for visas (from foreign- state was facing a shortfall of over $15.7 billion
ers) and 200,000 requests for passports (from and proposed $8.3 billion in spending cuts, with
U.S. citizens) went unprocessed; services for vet- more cuts to be necessary if voters did not approve
erans were curtailed; and employees of some fed- proposed temporary tax increases. The effects
eral contractors were furloughed without pay. of the proposed spending cuts include cancella-
tion of most summer school programs for public
Budget Shortfall Crises school students; staff cuts and increased student-
U.S. states are generally required to balance their teacher ratios in public schools; increased tuition
budget each year, so they cannot run a deficit as and fees and larger class sizes in the state colleges,
can the federal government. This poses a particu- universities, and community colleges; involun-
lar difficulty when the economy is in recession, tary, unpaid furloughs for some state workers;
because tax revenues decline just as demand for reduced coverage under the state’s Medicaid pro-
government services increases, and political reali- gram; reductions in the state’s welfare program;
ties make it difficult for legislators to pass, and and increased deportations of noncitizens held in
governors to sign, legislation approving new state prisons.

A demonstration against the Euro Pact in Cadiz, Spain, June 19, 2011, attracts protesters from various cities. The Indignant Movement
organized a rally in Madrid against the 2011 Euro Plus Pact, in which some European Union member states would be required to commit
to certain political and fiscal reforms such as debt brakes and uniform budget guidelines. The Euro debt, sparked by causes such as
unsustainable levels of social benefits and high-risk borrowing and lending, has created an economic crisis in several countries.
64 Budget Crisis

Case Study: The Eurozone Crisis

A goal of the European Union (EU) is for all EU its debts, the spectacle of a possible Greek default
countries to use a common currency; the euro was caused investors to look more closely at the balance
introduced in 1999 (for electronic funds transfers) sheets of other Eurozone countries with high levels
and 2002 (in physical form) for this purpose. of debt—most immediately, Ireland and Portugal.
Theoretically, all countries in the EU are required to In May 2010, the EU and the International
adopt the euro after meeting certain requirements, Monetary Fund (IMF) provided a bailout package
but as of May 2012 only 17 countries in the EU of 110 billion euros to Greece; in November they
have done so. These countries (Austria, Belgium, provided a bailout package of 85 billion euros to
Cyprus, Estonia, Finland, France, Germany, Greece, Ireland, and in May 2011, a 78 billion euro bailout
Ireland, Italy, Luxembourg, Malta, the Netherlands, package to Portugal. In July 2011, a second bailout
Portugal, Slovakia, Slovenia, and Spain) form the package was provided to Greece, worth 109 billion
Eurozone. There are several competing narratives euros ($155 billion). Although Greece, Ireland,
of the Eurozone Crisis, also known as the European and Portugal have relatively small economies, one
Sovereign Debt Crisis, as well as competing fear was that the crisis would spread to the larger
theories as to the best way to resolve the problem. economies of Spain and Italy, both of which were
Contributing factors may include real estate bubbles being charged high interest rates due to the fear
in many countries, trade imbalances, high-risk that they would be unable to repay the loans on
borrowing and lending, the choice of government time; in August 2011 the European Central Bank
to take on private debt burdens, low interest rates began buying Italian and Spanish government bonds
on U.S. bonds and Treasury bills that caused in an attempt to keep this from becoming a self-
investors to seek other investment opportunities, and fulfilling prophecy.
unsustainable levels of social benefits promised by Delivery of the bailout package was contingent
governments. The phenomenon of contagion appears on Greece’s adopting austerity measures cutting
to be relevant, as a crisis in one country (Greece) government services, which were highly unpopular;
spread fairly quickly to several others (Ireland and some economists also argue that the austerity
Portugal) without any changes in the fundamentals measures are making the crisis worse, because if
of the other countries, and it threatens the ability of no one has money to spend, businesses can’t make
other countries, including Italy and Spain, to borrow money and thus they will not pay taxes, reducing
money at reasonable rates. GDP and making it that much more difficult to pay
The 1992 Maastricht Treaty requires members off the loans. The seriousness of Greece’s budget
of the EU to limit their levels of debt and deficit problems is demonstrated by the fact that Greek
spending to specified levels; however, some debt was also restructured in March 2012, with
countries were able to mask their debt and deficit private-sector creditors agreeing to accept only
levels. This problem came to light in December 46.5 percent of the face value of the Greek bonds
2009, when Greece announced that its debt they held. In national elections held in May 2012,
amounted to 300 billion euros ($442 billion), the two political parties supporting the austerity
constituting 113 percent of Greece’s GDP; by measures, New Democracy and PASOK, received
contrast, the maximum debt limit allowed in the relatively small proportions of the vote while
Eurozone is 60 percent. In January 2000, the EU antiausterity and extremist parties did unexpectedly
reported serious irregularities in Greek accounting well, increasing speculation that Greece might drop
practices, and the country’s 2009 budget deficit out of the Eurozone and go back to using its own
was determined to be 12.7 percent rather than the currency, the drachma. Some economists believe
previously reported 3.7 percent; in April 2011 it this might be a good thing, although it would cause
was revised upward again, to 13.6 percent of GDP. hardship in the short term, because Greece could
Although Georgios Papandreou, prime minister of devalue its currency to make its goods and services
Greece, insisted his country would make good on all more attractive on the international market.
 Budget Crisis 65

Currency Crises Currency crises can spread rapidly from one

The world saw several currency crises in the 1990s, country to another in a region, a phenomenon
including the “tequila crisis” in Mexico in 1994, sometimes referred to as “contagion”; one
which affected other countries in Latin America, example of this type of spread was observed
and the Asian currency crisis of 1997–98. Bates in the 1997–98 Asian financial crisis. The cri-
points out that financial crises in emerging mar- sis began in July 1997 with the devaluation of
ket countries (such as Chile in 1982 and Mexico the Thai baht and was followed within a few
in 1994) differ from crises in mature economies months by currency crises in Malaysia, Indone-
and highlights two major differences: in emerging sia, and South Korea. Although trade linkages
market countries, private debt contracts tend to are sometimes a factor in the spread of currency
have short durations (e.g., one month versus the crises, Paolo Pesenti and Cedric Tille note that
multiple years common in a country such as the they are not necessary and that a currency cri-
United States), and debt is often denominated in a sis may spread even if the countries affected do
foreign currency such as the U.S. dollar. Both fac- little or no trade with each other, making the
tors are influenced by the fact that inflation risk label of contagion questionable, but the term is
is generally much higher in emerging economies in common use and its meaning is clear. Several
than in industrialized countries, and the use of factors may precipitate or facilitate the spread of
short-term contracts and foreign currencies per- a currency crisis from one country to another:
ceived to be more stable offers the lender some devaluation of one currency makes that coun-
protection from this risk. try’s exports more attractive on the international
A foreign exchange crisis often precedes a finan- market, potentially harming export sales from
cial crisis in an emerging market country: if the other countries; creditors may recall loans to
exchange rate of the country’s currency drops country B out of reaction to a crisis in country A,
while the debt is denominated in a stable foreign and thus precipitate a crisis in country B, where
currency, that has the effect of rapidly increasing none previously existed; and because creditors
the amount owed. A currency crisis also affects the often rely on general information about a region
ability of individual businesses within a country to rather than specific and detailed information
obtain foreign financing because it increases their about each of the countries involved, they may
debts and lowers the values of their assets; if busi- become less confident about lending money to
nesses do not make money, they do not pay taxes, all the countries in a region even if only one is
and this means the government has less money to undergoing a crisis.
operate with just when it may need it most. A for- Foreign exchange crises are often driven by
eign exchange crisis can also trigger a banking cri- beliefs as well as by market fundamentals, and
sis because loans to domestic firms may be denom- may become self-fulfilling processes driven by
inated in a foreign currency, while the firm does what investors call strategic complementarity:
business in the local currency; if the value of the the urge to mimic what one believes others will
local currency drops sharply relative to the foreign do. For instance, if one believes that a country’s
currency, many firms may be unable to pay back finances are not sound and that other investors
their loans. The banks may be forced to cut back will withdraw their funds, one has an incentive to
on lending, slowing economic activity in the coun- withdraw his or her own as well; if enough people
try, and in the worst case a foreign exchange crisis act in this manner, it can create a currency crisis
may lead to bank runs and bank failures. The fact even if there is not a fundamental economic basis
that debt contracts are generally of short duration for one to occur.
in emerging economies can also magnify the effect
of a foreign exchange crisis. While firms in indus- Sarah Boslaugh
trialized countries can expect to borrow money Kennesaw State University
for long periods at fairly stable rates, those in
emerging countries may need to reprice their debt See Also: Blame, Politics of; Bureaucracy; Continuity
each month, and interest rates can increase rapidly of Government; Credibility; Crisis Communications;
in response to perceived increases in inflation risk. Debt Crisis; Income Inequality and Labor Unrest.
66 Buildings

Further Readings and mechanisms to allow them to respond

Borkowski, Monica. “Looking Back: Previous quickly and efficiently to disasters. While his-
Government Shutdowns.” New York Times torically crisis management has focused primarily
(November 11, 1995). upon response to individual situations, recently
Brass, Clinton T. “Shutdown of the Federal emphasis has shifted to include mitigation, pre-
Government: Causes, Processes, and Effects.” paredness, and recovery as well. Although certain
Congressional Research Service Report for natural disasters affect only certain regions of the
Congress. (February 18, 2011). http://www.fas.org United States, these are coordinated through cen-
/sgp/crs/misc/RL34680.pdf (Accessed May 2012). tral federal agencies that also cooperate with state
British Broadcasting Corporation. “Timeline: The and local authorities. As a result of these efforts,
Unfolding Eurozone Crisis.” http://www.bbc.co.uk buildings are better able to respond to a variety of
/news/business-13856580 (Accessed May 2012). disasters, both natural and human-made.
Finger, Harald and Mauro Mecagni. “Sovereign
Debt Restructuring and Debt Sustainability: An Background
Analysis of Recent Cross-Country Experience.” Buildings can be any human-made structures that
International Monetary Fund Occasional Paper are used for occupancy, shelter, or other uses. For
255. Washington, DC: International Monetary over 500,000 years, buildings have been created to
Fund, 2007. provide shelter and other space for indoor work
Hartley, R. F. “Johnson & Johnson’s Tylenol Scare: and play. In addition to shelter, buildings provide
The Classical Example of Responsible Crisis general living space, privacy, and storage and gen-
Management.” In Business Ethics: Mistakes and erally add to the level of comfort of those dwelling
Successes, Robert F. Hartley, ed. Hoboken, NJ: within them. Throughout the globe, buildings vary
Wiley, 2005. greatly based upon a wide variety of factors, includ-
Krayenbuehl, Thomas E. Country Risk: Assessment ing the availability of building materials, weather
and Monitoring. 2nd ed. New York: New York conditions, landforms, prices, specific uses, and
Institute of Finance, 1988. aesthetic considerations. Historically, most threats
Mishkin, Frederic S. “Lessons From the Tequila were dealt with as they arose, causing a sometimes
Crisis.” Journal of Banking and Finance, v.23 chaotic and inconsistent response that endangered
(1999). the safety of both humans and property.
Pesenti, Paolo and Cedric Tille. “The Economics of
Currency Crises and Contagion: An Introduction.” Crisis Management Plans
FRBNY Economic Policy Review. (September Builders, owners, and occupants of buildings
2000). http://www.newyorkfed.org/research/epr work to develop plans to assist them in respond-
/00v06n3/0009pese.html (Accessed May 2012). ing to emergencies and disasters. When a crisis
Williams, Robert and Esther Jubb. “Shutting Down strikes, the immediate safety of occupants of
Government: Budget Crises in the American a building and a timely recovery often depend
Political System.” Parliamentary Affairs, v.49/3 upon the existing level of preparedness among all
(1996). involved. Crisis management plans involve three
considerations:

• Protecting the safety of occupants of and

visitors to the building
Buildings • Safeguarding the contents of the building,
including capital equipment, records,
As concerns about crisis management increase, and other physical resources stored in the
owners and operators of buildings have increas- building
ingly begun to prepare thorough and systematic • Coordinating with security and other
ways to respond to crises. Building owners and personnel to ensure that an organization’s
occupants have long been concerned with crisis emergency response and recovery
management, creating the policies, procedures, procedures are followed
 Buildings 67

Well-written crisis management plans include For a crisis management plan to be effective, it
procedures that are comprehensive, simple, and must be distributed to every building occupant.
flexible and that can be applied to a variety of Before an emergency occurs, it is vital that the
emergency incidents. These emergency incidents plan be known and understood by these individu-
include both local difficulties and national disas- als. Disseminating the crisis management plan
ters, both natural and human-created. Local must thus address all building occupants. The
emergencies might include such problems as plan should be reviewed with all on an annual
anthrax scares, bodily injury, bomb threats, civil basis, and new personnel or occupants should be
disorder, chemical spills, fires, odors, radiologi- briefed upon hire or upon moving into the build-
cal accidents, snow and other storms, and utility ing. Multiple copies of the crisis management plan
outages. Major disasters covered by a crisis man- should be accessible in locations throughout the
agement plan might include earthquakes, floods, building and organization. Finally, members of the
terrorist attacks, hurricanes, and tornadoes. At building Emergency Response Team should keep
their essence, crisis management plans must focus a copy of the crisis management plan at home, in
on three areas: preparedness, responding, and the event an incident occurs when they are not
recovering. in the building. These copies are best formatted

Case Studies: Two Notable Building Crises and Response

In 1871, the blaze that became known as the Great population homeless. Although the earthquake
Chicago Fire destroyed over 3.3 square miles of itself was highly destructive, many of the buildings
buildings and killed hundreds of people. Although were destroyed by fires that started after the initial
the origins of the fire are uncertain, it is known quake. Over 25,000 buildings on nearly 500 city
that it started in a small barn located on DeKoven blocks were destroyed, and the fire department was
Street. A drought prior to the fire, Chicago’s unable to fight these because the city’s water mains
reliance upon structures primarily made of wood, had been destroyed. Riots and looting broke out in
and strong winds from the southwest combined to the aftermath of the disaster, and the U.S. Army
create a situation that caused the fire to spread was called in to restore order and to assist with the
rapidly. City firefighters reacted slowly to the blaze, recovery process.
in part because of exhaustion from fighting another The response to disasters such as the Great
fire the day before. The inferno burned uncontrolled Chicago Fire and the 1906 San Francisco
for two days before rain extinguished it, leaving earthquake was a revision of building codes to
over 100,000 people homeless. Conditions were reduce the chances of a recurrence of these
exacerbated by the many wooden sidewalks present disasters. Delays in the reconstruction of San
and by the destruction of the Chicago waterworks, Francisco, however, caused the revised building
which left the fire department helpless. The mayor codes to be made less stringent little more than a
declared a state of martial law, and Civil War year after they were put into place. Plans were also
general Philip Sheridan was placed in charge of made in Chicago to broaden streets in an attempt
relief efforts. to make it easier to combat future fires. Secondary
A little more than 35 years later, the 1906 San sources of water were secured in the event that
Francisco earthquake again demonstrated the water mains were destroyed by natural or human-
catastrophic damage that could occur to buildings made disasters. More importantly, builders began
as a result of a natural disaster. Estimated to have to consider how to make buildings that were more
had a magnitude of 7.9 on the Richter scale, resistant to disasters, and city planners and others
the 1906 San Francisco earthquake left nearly began to consider how best to respond to and
three-quarters of San Francisco’s 400,000-person manage crises that occurred.
68 Bureau for Crisis Prevention and Recovery, UN (UNDP–BCPR)

in loose-leaf binders, prominently labeled on the fire sprinkler systems often benefit from lower
binding, and stored where easily accessible in an insurance rates as well. Active fire protection also
emergency. mandates the availability of fire extinguishers,
Certain emergency response guidelines are rel- fire detection systems (such as smoke alarms),
atively simple. All occupants of a building must and other warning systems. Warning systems can
be prepared to take deliberate and appropriate automate the process by which fire, medical, and
action in the event of an emergency. For example, police services are contacted, thereby safeguard-
many crisis management plans suggest that all ing building occupants as well as the building
occupants know the location of at least two emer- itself.
gency exits in their area and that management
keep flashlights accessible in those areas without Stephen T. Schroth
natural lighting. In the event of an emergency, it Jason A. Helfer
is crucial that, before taking any action, occu- Knox College
pants ensure they are not endangering themselves.
Chemical spills, fires, electrical wires, radiation See Also: Backup Strategy; Damage Assessment;
hazards, toxic fumes, unstable structures, and Damage Containment; Preparedness; Prevention;
other hazards must be avoided. A call should be Recovery.
placed immediately to the appropriate fire, medi-
cal, or police agency, with the caller prepared to Further Readings
provide his or her name, location, and the nature Crandell, W., J. A. Parnell, and J. A. Spillan. Crisis
of the emergency. Occupants must be prepared to Management in the New Strategy Landscape.
remain calm, use common sense, and render assis- Thousand Oaks, CA: Sage, 2010.
tance as necessary, including being willing and Denzenhell, E. and J. Weber. Damage Control: The
able to evacuate the building immediately at the Essential Lessons of Crisis Management. New
request of the proper authorities or upon hearing York: Portfolio Books, 2007.
an appropriate alarm. Heath, R. L. and M. L. Palenchar. Strategic Issues
Developers or owners of buildings can also Management: Organizations and Public Policy
take steps to reduce risk to occupants and to the Challenges. Thousand Oaks, CA: Sage, 2009.
building itself. Fire sprinkler systems, for exam-
ple, can protect occupants and buildings from
the risk of fire. Although created in 1812, histori-
cally fire sprinkler systems were only installed in
buildings that were at high risk of catching fire, Bureau for Crisis Prevention
such as textile mills and large commercial build-
ings. In recent years, however, fire sprinkler sys- and Recovery, UN
tems have become much more cost effective and
are now found in a variety of smaller commer-
(UNDP–BCPR)
cial and residential buildings. In 1990, the U.S. The Bureau for Crisis Prevention and Recovery
Congress passed what is commonly known as (BCPR) is a division of the United Nations’ global
the Hotel and Motel Fire and Safety Act of 1990, development network under the United Nations
which mandated use of fire sprinkler systems in Development Programme (UNDP). It was created
hotels, motels, meeting halls, or other buildings in 2002 as a result of a UNDP Executive Board
that are used by government visitors. Although decision that recognized that “crisis prevention
many local building codes do not mandate the and disaster mitigation should be integral parts
installation of fire sprinkler systems, developers of sustainable human development strategies.”
who choose to install them often benefit from an Earlier, in 1998, the UN General Assembly had
array of advantages, including larger floor area decided to “transfer to UNDP the responsibilities
limitations, longer egress pathways, and fewer of the Emergency Relief Coordinator for opera-
requirements for the use of fire-rated materials. tional activities for natural disaster mitigation,
Developers and owners of buildings that include prevention and preparedness.”
 Bureau for Crisis Prevention and Recovery, UN (UNDP–BCPR) 69

Mandate recovery; security sector reform and transitional

The BCPR mandate is to enhance the UNDP’s justice; small arms reduction, disarmament, and
efforts for sustainable development and poverty demobilization; mine action; natural disaster
reduction by working with partner governmen- reduction; and special initiatives for countries in
tal and nongovernmental organizations in order transition. In the first five years of its operation, the
to enhance disaster risk management capabili- bureau has tried to respond to all requests for assis-
ties, reduce the incidence and impact of disasters tance from UNDP country offices, only to find its
and violent conflicts, and strengthen post-disaster human and financial capital stretched thin across a
governance to establish the solid foundations for wide range of crisis issues in a variety of countries.
peace and recovery from crisis. In a nutshell, the The resulting structure of strategic initiatives
BCPR’s goal is to transform the UNDP into a was found not to be well integrated, and in 2007 a
global leader on crisis prevention and recovery. new strategy was developed for the BCPR’s work
Specifically, the BCPR’s role is to act primarily to focus mainly on (1) select countries based on the
as a repository for crisis prevention, response and nature of the crisis they face and the BCPR’s capac-
recovery knowledge, tools, methods, and expe- ity and ability to make a difference through its
rience that can be accessed and used by UNDP intervention, and (2) specific prevention and recov-
Country Offices, Regional Bureaus, and UN ery results articulated as “development outcomes”
Headquarters whenever and wherever needed. (actual changes in development conditions that
The BCPR is not responsible for designing and UNDP interventions seek to achieve) supported by
implementing crisis programs on its own but pro- actions that draw on the bureau’s expertise.
vides technical knowledge and financial resources As a consequence of this strategy, in terms of
(through the Crisis Prevention and Recovery The- prevention, the BCPR prioritizes countries of high
matic Trust Fund or from UNDP TRAC 1.1.3 vulnerability to natural hazards as evidenced by
core funds) to actors and agencies that are present the UNDP’s Disaster Risk Index and in situations
on the ground in support of their crisis preven- facing conflict risk as identified by UN forums.
tion, response, and recovery activities. It also has Similarly, when it comes to recovery, the BCPR
a key role in defining policy for interagency coor- gives priority to situations where critical national
dination in post-crisis transitions by functioning or local capacities have been severely disrupted due
as a conduit between the humanitarian phase of to the scale of a natural disaster and situations of
a post-crisis response (led by UN agencies such as priority to the UN Security Council or the Peace-
the Office for the Coordination of Humanitarian building Commission, or where UN engagement
Affairs, UNICEF, and World Food Programme) has been proposed by the secretary-general. Special
and the long-term development phase following attention is also given to those post-crisis countries
recovery (which is the UNDP’s responsibility). that receive limited development assistance.
The BCPR’s disaster risk reduction work con- Under the two overarching outcome areas of
tributes to the International Strategy for Disaster prevention and recovery, the BCPR has identified
Reduction (ISDR) and the implementation of the nine specific development outcomes to which the
Hyogo Framework of Action (HFA), the inter- UNDP contributes:
national framework for disaster risk reduction.
Finally, it advocates crisis sensitivity by working 1. Prevention (crisis risk reduction):
to ensure that the UNDP’s long-term development »» Development of a common awareness
policies and programs incorporate opportunities and understanding of crises among key
for disaster reduction and conflict prevention and stakeholders
that the UNDP’s commitment to gender equality is »» Management of crisis through
reflected throughout these policies and programs. inclusive dialogue, including
traditionally marginalized stakeholders
New Strategy (2007–11, Extended to 2013) and actors such as women
At its conception, the BCPR’s substantive activi- »» Strengthening national capacities,
ties were organized through seven technical ser- networks, and institutions to manage
vice lines: conflict prevention and peace building; crisis risks
70 Bureaucracy

»» Preparation and implementation See Also: Coordination; Crisis, Definition of;

of crisis-sensitive development and Disaster Risk Reduction; International Strategy
recovery programs for Disaster Reduction, UN (UNISDR); Poverty;
2. Recovery (restoration of a foundation for Preparedness; Prevention; Protection; Recovery;
development): Response; Risk Assessment; Stakeholders.
»» Stabilization of community and
personal security situation Further Readings
»» Inclusion of gender equality and Ohiorhenuan, J. F. E. and F. Stewart. Crisis
women’s empowerment provisions in Prevention and Recovery Report 2008: Post-
peace agreements Conflict Economic Recovery, Enabling Local
»» Reestablishment of basic governance Ingenuity. Geneva: United Nations Development
functions Programme, 2009.
»» Revival of sustainable economic United Nations Development Programme (UNDP).
activity through the restoration “Crisis Prevention and Recovery.” http://www.undp
of basic capacities for support for .org/content/undp/en/home/ourwork/crisisprevention
livelihood creation at the community andrecovery/overview.html (Accessed May 2012).
level and assistance in the protection United Nations Development Programme (UNDP).
and rehabilitation of productive assets Reducing Disaster Risk: A Challenge for
and infrastructures Development. New York: UNDP, 2004.
»» Nurturing of a cohesive social system
through the establishment of effective
transitional justice mechanisms and
the adoption of conflict resolution
approaches in the communities Bureaucracy
This New Strategy reemphasizes the role of the In strict technical usage, bureaucracy is a neutral
BCPR as a “knowledge repository” in the field term referring to the manner in which a complex
of crisis prevention, response, and recovery that governmental operation organizes itself, permitting
will draw not only from its own work but also nonelected officials to implement the will of a legis-
from the experiences of all actors throughout the lative or executive entity in an effective and efficient
UNDP and the UN system. In this context, the manner. In common usage, the term bureaucracy
BCPR is developing a Learning Platform on Gen- refers to an organizational scheme characterized
der and Crisis Prevention and Recovery in coor- by cumbersome processes and the ineffective and
dination with leading international institutions, inefficient use of resources. There is a popular per-
such as the London School of Economics and ception that excessive bureaucracy has contributed
the New York Social Science Research Council. greatly to problems in crisis management, which
This facility will provide tools and resources to are partly true and partly perceptual.
assess on a comparative basis gender and CPR
issues at country, regional, and global levels and Model Bureaucracy
will facilitate collaboration on gender and CPR There have been complex government operations
issues across the United Nations and with civil throughout history, including the administrative
society, nongovernmental organizations (NGOs), structures of the Roman, Egyptian, and Chi-
universities, research institutions, and regional nese empires of antiquity. Each of these empires
organizations. This platform will also provide required a means of organizing work over a wide
training for UNDP staff and will offer space and geographic area where workers were separated
support for staff think tanks, retreats, reflection, from the central government, which limited or
and writing. eliminated the potential for direct oversight. This
created concerns that government operations
Alexandros Paraskevas throughout the empire would be handled in an
Oxford Brookes University inconsistent manner, creating potential service
 Bureaucracy 71

gaps or the overlap of functions and authorities. can be, within the operational and administra-
To address these concerns, these empires created tive parameters provided them by the legisla-
some form of administrative structure to oversee tive or executive entity that created them. These
operations throughout their areas of hegemony. operational parameters often take the form of
The same has been true of other governments detailed rules for internal work processes, which
over the years, but the manner of that organiza- provide for little deviation and limited discretion.
tion was not studied in an empirical manner until As Weber noted, such internal rules may become
the early 20th century. so extensive that the organization becomes more
German sociologist Max Weber became inter- concerned with following those rules than with
ested in how complex organizations structured achieving their stated goals.
themselves to conduct work. Studying large-
scale organizations, he identified a model form of Public Perception of Bureaucracy
bureaucracy that was both effective and efficient. In popular culture, the term bureaucracy is a pejo-
The model was founded upon a politically neu- rative. In common usage, it refers to large, unre-
tral leadership possessed of technical proficiency, sponsive organizations, public or private, that are
clearly defined lines of authority that minimized ineffective and inefficient. Bureaucracies are per-
external influence on operations, a scheme for ceived to be entirely focused on internal opera-
documenting and archiving records of operations, tions instead of the needs of the public they serve,
detailed rules that provided for internal consis- often treating the public in an impersonal man-
tency by organizational members, and a readily ner. Their operations are viewed as ineffective or
identifiable organizational hierarchy that elimi- inefficient, often bound up in a highly arcane set
nated overlapping or concurrent authorities and of internal rules and forms known collectively as
responsibilities. “red tape.” In many ways, the public perceptions
Weber believed that bureaucratic organizations of bureaucracy are reflective of an organization
could be both effective and efficient, but were prey that fell prey to the pitfalls of the bureaucratic
to shortcomings if the principal elements were not structure identified by Weber in his works.
adhered to closely. Additionally, he suggested that During a crisis, there is a commonly shared
while the system would be ideal in a stable envi- vision among the public, the media, and elected
ronment, it was not designed to function well in officials that public bureaucracies will respond in
an unstable environment. Based on Weber’s work, a wholly unified effort, focusing on the immediate
this was not a shortcoming, given that bureaucra- needs of the disaster. Based on a number of factors,
cies were created to achieve the goals set for them including how emergency management is depicted
by a legislative or executive entity, not to be entre- in popular films and books, there is an expecta-
preneurial in seeking new roles, responsibilities, tion that emergency management has full author-
or authorities. ity to acquire resources, make decisions, and work
Modern academic works on bureaucracy sug- without legal constraint, if only they would dem-
gest that, despite negative perceptions, bureaucra- onstrate initiative. There is also a strong belief that
cies are more effective and efficient than might be the federal government has full authority over all
considered to be true by the masses. Such works incidents, which is not accurate based upon disas-
note that modern bureaucracies often work ter policies in the United States. If problems do
within narrow legislative mandates that, in some arise, they are often viewed as a lack of leadership,
instances, place oversight in the hands of manag- as opposed to being influenced by the legal param-
ers selected for political reasons, as opposed to eters imposed upon public bureaucracies by the
technical proficiencies, thereby violating a basic legislatures or executives that created them. These
tenet of Weber’s works. These works also suggest perceptions may contribute to the development
that, in some instances, the enabling legislation is of self-fulfilling prophecies that are inaccurate,
so specific that the agency leadership and employ- though, in fact, there have been, and will continue
ees have few opportunities to deviate, regardless to be, challenges to providing an effective crisis
of circumstances. Despite this, many modern response based on the bureaucratic structures of
bureaucracies are as effective and efficient as they the local, state, and federal governments.
72 Bureaucracy

Case Study: Bureaucracy Problems During Hurricane Katrina

During Hurricane Katrina, a number of problems circumstances, including natural disasters, limiting
ascribed to bureaucracies were noted. Illustrative FEMA’s options to do otherwise.
of this, Louisiana’s Governor Kathleen Blanco These types of issues have been remedied
was accused of being nonresponsive for delaying in some degree by the development of the
requests for assistance to the Federal Emergency National Response Framework, which was tied
Management Agency (FEMA). In reality, she had to the Post-Katrina Emergency Management
requested assistance far earlier than reported, Reform Act, providing for greater flexibility on
but she had asked for recovery aid, not response the part of the FEMA administrator, as well as for
aid, and had not followed appropriate procedures increased technical proficiency in its leadership.
for requesting assistance. Because she had not One frequently noted bureaucratic problem has
complied with FEMA’s administrative requirements, been a lack of leadership. During Hurricane
assistance was delayed until the requests were Katrina, Michael Brown, administrator of the
submitted properly, though the need was clear Federal Emergency Management Agency, served
and immediate. Similarly, FEMA had personnel as the Principal Federal Officer, responsible for
standing by for response who were not permitted coordinating the response of federal agencies in
to respond without formal orders for deployment, their support of state and local operations. After
which were not forthcoming, reportedly because a number of problems were identified, Brown
President George W. Bush and Secretary Michael was replaced by Admiral Thad Allen of the U.S.
Chertoff of the Department of Homeland Security Coast Guard. There have been mixed reports of
were unfamiliar with specific details of the Brown’s efforts, but most have been negative,
National Response Plan. Based on internal rules, with many concerns tied to his reported lack of
FEMA personnel who had been pre-deployed technical proficiencies in emergency management
to areas near the crisis area were not permitted or coordinating large-scale, multiorganizational
to proceed into the crisis area without specific activities. Allen’s efforts have often been lauded
orders, which slowed their response. FEMA was for their professionalism, based upon his efforts to
also criticized for requiring temporary workers engage all stakeholders through a unity of effort,
and volunteers to undergo a multiday orientation as opposed to a unity of command. While working
that included materials on the Equal Employment within the bureaucratic structure that existed, he
Opportunity Act and the Occupational Safety was able to demonstrate strong servant leadership
and Health Administration, though the workers as he supported local and state agencies as well as
were needed immediately and most were working nonprofit organizations through the use of federal
professionals with previous training in these areas. resources. This was noted during post-disaster
However, federal employment laws required federal investigations, leading to a requirement that all
employees, even temporary ones, to undergo future FEMA administrators have professional
such training, with no waivers for any unusual experience in emergency management.

Bureaucracy and Crisis Management resilient, which is somewhat at odds with how
As a government function, emergency manage- emergency management is perceived by the popu-
ment in the United States is a role shared by local, lace, who believe that the federal government has
state, tribal, and federal governments. There is no a leading role and substantive authority in the
single agency or individual in charge. Based upon area. This contributes to an environment where
the precepts of federalism, each level of govern- no clear hierarchy exists, where roles are ambigu-
ment is largely independent in terms of making ous, and where rules are inconsistent, which are
its communities disaster resistant and disaster all reflective of types of problems associated with
 Bureaucracy 73

ineffective bureaucracies noted by Weber. The responsive to the needs of a crisis, but it may be
problem is exacerbated by the fact that there are possible to develop organizational leaders capa-
over 80,000 governments in the United States, if ble of working within such an environment in an
one considers all forms of government, making adaptive manner, contributing to more effective
the alignment of all efforts problematic. and efficient crisis management in future events.
In practical terms, this perceptual issue is exac-
erbated by the legal framework of emergency man- Thomas E. Poulin
agement. The basic U.S. disaster model, as framed Capella University
in the Disaster Relief and Emergency Assistance
Act (the Stafford Act), the National Response See Also: Agency Notification and Mobilization;
Framework, and the National Incident Manage- Command and Control; Coordination; Disaster
ment System, holds that disasters are primarily Declaration; Federal Emergency Management
local events, with state and federal agencies com- Agency (FEMA); Incident Response; Mutual Aid and
ing in to provide assistance only if local resources Assistance; National Response Framework; Political
have been overwhelmed, which must be clearly and Organizational Leadership; Preparedness; Public
documented. This last requirement, as framed Image; Scapegoating.
by the Stafford Act, is designed to ensure that no
federal funds or resources are provided to local Further Readings
and state agencies unless absolutely necessary. In Brinkley, D. The Great Deluge. New York: William
effect, the Stafford Act is a financial fraud preven- Morrow, 2006.
tion act, seeking to limit the distribution of federal Dias, C. F. and M. S. Vaughan. “Bureaucracy,
funds to local and state agencies, as opposed to an Managerial Disorganization, and Administrative
emergency management response act, supportive Breakdown in Criminal Justice Agencies.” Journal
of a flexible and rapid response to a crisis. of Criminal Justice, v.34/5 (2006).
Fischer, H. W., III. Response to Disaster: Fact Versus
At Odds With Crisis Management Fiction and Its Perpetuation. 3rd ed. Lanham, MD:
To some extent, bureaucracy and crisis manage- University Press of America, 2008.
ment are at irreconcilable odds. Crisis manage- Goodsell, G. T. The Case for Bureaucracy: A Public
ment demands the ability of agencies to work Administration Polemic. 4th ed. Washington, DC:
in a flexible manner in a dynamic environment. CQ Press, 2002.
However, regardless of how effective and effi- Gormley, W. T., Jr., and S. J. Balla. Bureaucracy and
cient bureaucracies have the potential to be in Democracy. 3rd ed. Thousand Oaks, CA: Sage,
a stable environment, if the idealized model is 2013.
realized, they are not well suited for an unstable Latham, S. F. and M. Braun. “Managerial Risk,
environment where the situation evolves rapidly. Innovation, and Organizational Decline.” Journal
Despite this, the bureaucratic structures of local, of Management, v.35/2 (2009).
state, tribal, and federal governments cannot be Lipsky, M. Street-Level Bureaucracy: Dilemma of the
wholly eliminated during or after a disaster, for Individual in Public Services. New York: Russell
a host of reasons. There are potential means for Sage Foundation, 1980.
addressing potential shortfalls. For example, the Riley, D. D. and B. E. Brophy-Baermann. Bureaucracy
National Incident Management System provides and the Political Process. Lanham, MD: Rowman
guidelines to assist agencies at all levels of govern- & Littlefield, 2006.
ment to work together if a crisis occurs. Addition- Sylves, R. Disaster Policy and Politics: Emergency
ally, some research suggests that the adoption of Management and Homeland Security. Washington,
contingent coordination, wherein agencies with DC: CQ Press, 2008.
overlapping or concurrent jurisdiction volun- Weber, M. “Bureaucracy.” In Classics of Organization
tarily yield operational authority to others for a Theory, J. M. Shafritz and J. S. Ott, eds. 3rd ed.
temporary period, may help ameliorate interor- Belmont, CA: Wadsworth, 1992.
ganizational conflict. It might never be possible to Wilson, J. Q. Bureaucracy. New York: Basic Books,
create a bureaucratic structure that will be wholly 1989.
74 Business Continuity Management

Business Continuity assigned responsibility; it may be to a steering

group to give the project oversight and to decide
Management what is within the scope of the project. Normally,
information technology disaster recovery (ITDR)
Business continuity management (BCM) is emer- will be out of scope, as this should be a normal
gency planning for businesses; if implemented function of the IT department. Remember that
properly, it will help a business recover in the all companies or business are political and office
event of a disaster or disruption to its normal politics will play a part, so other managers should
day-to-day operation, Some things fall outside be involved as equals—a facilities manager didn’t
the area of BCM; for example, if the disaster is so get to be the manager by not knowing the job,
great that central government takes charge of the and business continuity management is all about
recovery, it could be some time before workers are teamwork, both in the setup stages of program
allowed back into a business to start the business management and in the stress-filled environment
recovery process. Another example is if internal of a full invocation of a business continuity plan.
business functions fail to perform, for instance,
if internal audit or risk or corporate governance Understanding the Organization
fail to do their jobs of protecting the business. In It is necessary to understand the organization, all
such an event there is not a great deal that busi- the processes, and how each department inter-
ness continuity can do. There have been compa- links with each other in order to understand
nies whose fall seemed to happen overnight, and what the mission-critical activities of the busi-
the blame was put on one person or one event, ness are. This is done by using a business impact
but in the cold, hard light of day, common sense analysis. This analysis asks each business unit or
tells us that other failures must have been hap- department key questions about how the depart-
pening in the background to allow a small event ment operates. These answers will be used later
to become catastrophic to the business. It should to help develop the business continuity strat-
be remembered that no business unit stands alone egy. As a business becomes larger and develops
when considering business continuity manage- more services or products for its customers, its
ment planning. business departments or business units become
The purpose of business continuity manage- more interlinked; sometimes these interdepen-
ment is to keep key functions of any business dences are unknown, and if there is a disruption
operational during a disruption. BCM is made up to one of these departments, the effects could
of six segments, with project management as the be catastrophic. The business impact analysis
center of the wheel; the point of identifying the must therefore ask these questions: What does
processes as a wheel is to underscore the continu- this department do? How does it do it? Where
ous nature of business continuity management. does the information/product go? Where does
The six areas of business continuity manage- it come from? Are there any service level agree-
ment are discussed below. ments (SLAs) or legal requirements? What are
the resource requirements to kept this process
BCM Program Management going? And what are the time frames? These
Like most new business processes, business con- are just a few of the questions that the business
tinuity starts with program management. When impact analysis (BIA) will ask, thereby provid-
implementing business continuity for the first ing a process map of how the business works.
time, as with any new project, normal project Having this information will not only help with
management considerations apply, such as iden- business continuity planning, as it will be known
tifying which sector of the business is affected, which departments have mission-critical activi-
over what time scale, what are the project deliver- ties and if there are any single points of failure. A
ables, and are there any “quick wins” (i.e., things single point of failure is a department, process, or
that can be done quickly to show management a even a person that, if unable to do its job, would
return on their investment and also that the proj- stop the other normal processes of the business
ect plan is on track). All projects need to have dead in their tracks. So when developing the
 Business Continuity Management 75

business impact analysis, it is important to ask business continuity plan may cause more disrup-
the right people. Senior managers are invariably tion than the event itself.
asked what their department does and how it If, however, there is a total loss of site, the busi-
works; the really danger of this is that unless that ness continuity plan will be invoked and may run
manager was promoted from within that depart- for many weeks. There are key industries in which
ment, he/she may not know the specific processes this type of event causes major problems to recov-
that run that department and which ones need to ery planning; these are business that need clean
be recovered—in short, ask the people with the rooms, such as food manufacturers, technology
knowledge, not just the ones who are in charge. companies, and drug companies, all of which
use clean rooms in their product manufacturing
Determining BCM Strategy processing and all of which are very difficult to
The purpose of a business continuity strategy is to find in recovery sites that are not built with the
ensure the business can continue to deliver its prod- company in mind. Technology covers many areas,
ucts and services, providing mission critical activi- such as office computers, laptops, or servers, or
ties with alternative resources within the needed telecommunications that a business needs to talk
time frames as laid out in a business unit’s busi- to its customers, stakeholders, or even staff at
ness impact analysis. The business strategy should other sites to ensure that the recovery process is
cover staff, buildings, technology, and supplies and not delayed. Specialist technology may be needed
supply chain (if a manufacturing business). for the business processes, and what would hap-
pen if this technology were lost and what mitiga-
Staff: The health and welfare of the staff should tion could be done to soften the effects of its loss
be at the top of the list. Staff are a key resource;, should be considered.
their knowledge of the business and processes and
what their business’s customers require makes Supplies and supply chains: It is the nature of
them indispensable. Recovery teams and those world trade that there may be components in the
staff working at the business continuity recovery manufacturing process that come from all over
sites will, in the first stages of a disruption, be the world. What would be the effect if this supply
working for goodwill toward the company. They chain were to be disrupted by natural disaster?
may have to come to work early or leave late, and What if materials cannot make it to the factory
the recovery site could be miles away from their in time for a “just-in-time” supply chain? Is there
normal place of business, thereby adding hours a stockpile of core components just in case there
to their working day. With this in mind, ensur- is a disruption, or a list of other local suppliers
ing that staff payroll is at or near the top of any who could step in if needed? It may be necessary
recovery list will go a long way toward ensuring in a disruption to acquire components locally at
that the goodwill the staff have at the start of the higher cost to ensure that there is as little disrup-
incident will still be there at the end. tion to the customer base as possible. This cost
can be recovered if it is included as part of the
Buildings/technology: Dealing with a denial of disruption insurance.
access or loss of a site is one of the key strate-
gies that should be at the heart of any business Developing and Implementing a Response
continuity plan—how business function will be There needs to be a process in place for the invo-
maintained if access to the business or its main cation of the company’s business continuity plan;
site is unavailable. The recovery plans must this is normally done by the incident management
include measures to deal with this event. If there or crisis management team. They are a group of
is no access to the building but the building is still senior managers whose role in a disruption is to
there, it will be known at some point, depend- manage the incident and the work of the recov-
ing on the nature of the event, when access and ery or business continuity teams. There tend to be
business function will be able to recommence nor- three levels of incident management, which reflect
mal operation. The BCM strategy may be to send the same structure as the emergency services.
staff home for the day, as a full invocation of the While the emergency services use “gold,” “silver,”
76 Business Continuity Planning

and “bronze” to label their command structures, what business continuity is all about. There are
in business continuity, “strategic,” “tactical,” many ways to inform staff—companies just need
and “operational” are used. At the strategic level to find what works for them and then do it.
are board members, who have to make strategic
decisions on how a disruption is to be handled; Patrick Mcilwee
at the tactical level are senior managers, whose Business Continuity Institute
role is to manage the recovery of the business and
report to the board but who also set the goals of See Also: Business Continuity Planning; Business
the operational teams; and finally are the opera- Impact Analysis; Business Resumption Planning;
tional teams, whose job it is to fix or manage the Critical Business Functions; Strategic Plans.
disruption. These are also the business continu-
ity recovery teams who will be at the work area Further Readings
recovery (WAR) sites, running the mission-crucial Business Continuity Institute. http://www.thebci.org
activities until the disruption has been dealt with (Accessed June 2012).
or until most if not all the key activities are being Disaster Resource Guide. “The Guide for Business
run from the recovery site. When a business con- Continuity.” http://www.disaster-resource.com
tinuity response has been developed for processes, (Accessed June 2012).
it should be asked if the cost of the response is National Institute for Business Continuity
more than the cost of running the processes. If the Management. http://www.nicbm.org (Accessed
recovery cost is more than would made from the June 2012).
process, it must be asked, “Is the recovery doing
more harm financially than if the process weren’t
recovered?”

Exercising, Maintaining, and Reviewing Business Continuity

Any business continuity plan that is not tested
is an unknown and more than likely will fail, Planning
because if it is not tested, any weakness within it
will not come to light until it is too late, and staff In today’s world, almost all companies have some
and key managers will not be certain of its imple- level of planning that addresses their awareness of
mentation. Because of the ever-changing nature of the possibility for events to occur that will cause
business, it is important to annually, if not more a disruption in their operations. This has become
frequently, review the business continuity plan to known as “business continuity planning” and
ensure that it is up to date and reflects the busi- typically focuses on the infrastructure needs of
ness or department it is designed to recover. an organization. Companies spend a great deal of
time ensuring that all of their equipment will be
Embedding in the Organization’s Culture able to function following a critical event; how-
If an organization has a business continuity plan ever, very little time has been focused on planning
but none of its staff know what it is or their role for the people who would be managing that equip-
within the plan, the chances of its working are ment—that is the human component of business
low, to say the least. Staff should be told not only continuity and is the key to any successful plan.
what the business continuity plan is but also what Multiple factors need to be taken into consid-
their specific role is within the plan. This can be eration when planning for the human component
done in many ways, such as an internal company and whether or not someone will be able to work
newsletter or magazine, a monthly update on following a crisis. These factors can be identified
business continuity, or by having a business con- either as having a physical impact on individuals’
tinuity awareness week. Staff could be e-mailed ability to work or as having a psychological or
and informed of any new business continuity physiological impact on individuals that interferes
roles within the company, or there could be town with their being able to work to their pre-crisis
hall–style meetings with staff to inform them level. In order to explain how these factors can
 Business Continuity Planning 77

impact an individual, this article uses a case study enter the premises. Staff were instructed to lock
of a hospitality organization with properties in down the properties and to place sheets over the
the city of New Orleans and the impact that Hur- windows to keep them from being visible to peo-
ricane Katrina had on its employees. Critical les- ple outside on the streets. Staff also reported that
sons were learned as a result of Hurricane Katrina local government agencies were exercising their
at all levels, including individual, organizational, right of eminent domain and inserting their oper-
and local and federal government. ations into the hotel properties.
Although there was capability to provide Communication is a critical component dur-
advance notice that Hurricane Katrina would ing an emergency situation. During Hurricane
make landfall on the Gulf of Mexico shore- Katrina, the infrastructure supporting telecom-
line, few were prepared for the devastation that munications was compromised. Cell phone tow-
occurred as a result of the breaches in the levee ers were inoperable, and land lines were minimally
system surrounding the city of New Orleans. functioning. Lack of means of communication
Businesses in the immediate vicinity were able resulted in increased difficulty in accounting for
to survive the initial effects of the storm coming guest and staff status and location. The hotels uti-
onshore; however, the failure of the levee system lized an emergency call center located outside the
with its resulting flooding was insurmountable affected state as a central communication link for
for most. all properties along with their headquarters oper-
ations. This link was crucial in identifying those
Physical Impacts guests and staff who were unaccountable for and
With Hurricane Katrina threatening to poten- was able to place outgoing calls to contact num-
tially be one of the most destructive hurricanes bers that had been documented prior to the inci-
in the history of the United States, New Orleans dent. It also provided a connection between the
mayor Ray Nagin called for a voluntary evacua- hotel’s emergency response team located at their
tion of the city at 5:00 p.m. on August 27, 2005, headquarters and all of the properties that were
and subsequently ordered a citywide mandatory impacted. Updates on the status of the properties
evacuation at 9:30 a.m. on August 28. The evacu- and the events unfolding in the city as well as the
ation ordered by the mayor was not mandatory emergency response were able to be processed via
for hotels in the area. this two-way communication link.
On August 29, the center of Hurricane Katrina As the flooding from the breached levee sys-
passed southeast of the city of New Orleans. tem increased, evacuation became imperative
Initially, hotels in the area reported flooding on for safety. Buses and trucks were brought in to
lower levels of their properties due to the storm move people quickly out of the affected areas.
surge. Reports from the properties indicated that Because of the critical nature of the situation,
they were able to relocate guests and supporting people boarding these transports were not always
facilities to higher floors. Employees who were aware of their final destination. Staff from the
at work when the storm hit were unable to leave hotels were widely scattered throughout the
when their shift ended. Staff who were scheduled United States and, as a result, a number of con-
for subsequent shifts reported a lack of transpor- cerns developed. First priority was assessing the
tation and inaccessibility that limited their ability status and location of their staff and connecting
to report to work. Many of the major roads suf- them with their family members. The hotels uti-
fered some damage. As a result, the employees at lized a variety of means to contact their staff and
the hotel were enlisted to stay on extended shifts their family members. They sent notices to the
to ensure the safety of the guests and provide various support centers providing the emergency
amenities as available. contact numbers for their company. They used
Because hotels were still able to provide shelter radio and newspaper announcements to distrib-
to the guests who had remained at the properties, ute the emergency call center number. Once the
they began reporting the need to address security hotels were able to account for all of their staff,
issues that were developing. Several properties coordinating logistical support was next. Because
reported people other than guests attempting to many of the staff were no longer in the state of
78 Business Continuity Planning

Louisiana, identifying who could report for work Response

and whether they could work at other properties, In addition to understanding how Maslow’s hier-
how to pay the staff, and how to access banking archy of needs theory is manifested by people in
accounts and medical benefits quickly became the crisis, current disaster response literature also
focus for management. includes the concepts of vulnerability and resil-
ience with regard to the individual’s ability to
Psychological Impacts cope with a disaster. There appears to be some
When explaining the psychological responses of relationship between vulnerability and resilience;
individuals during a crisis situation, most stud- however, additional research is indicated to fur-
ies utilize Abraham Maslow’s hierarchy of needs ther identify the connection. Some of the most
theory, which was first introduced in a paper by vulnerable communities have been able to exhibit
Maslow in 1943. This theory identifies four lev- significant resiliency following disasters, includ-
els of basic human needs and suggests that the ing the city of New Orleans.
basic levels need to be met prior to an individual Resiliency is connected to the ability of an indi-
being able to focus on attaining the fifth and high- vidual or a community to recover from a disaster
est level. Many of these levels can occur at any and is a direct reflection of the level of planning
given time, although there is some requirement to and preparedness that happens prior to the occur-
have the base levels fairly well met prior to an rence of a disaster. This planning and prepared-
individual being able to focus any energy toward ness needs to be addressed on the personal level
attainment of the higher levels. as well as the organizational/community level.
During a crisis, the very base level—which Developing the emergency response plan is one
includes those staples that sustain human life—is of the first steps in emergency response prepared-
the immediate necessity. Food, water, air, sleep, ness, but it is only the first step. Testing the plan
and physiological homeostasis make up this foun- will help identify whether it is operational for
dation. Initially after Hurricane Katrina making the organization and whether it has any short-
landfall, these items were available at the hotel comings. It has been evidenced, however, that
properties. However, the next level—which even with planning and preparation at all levels,
focuses on issues connected to safety of the indi- another factor, adaptability, plays a significant
vidual, property, and family—was compromised. role in survival following a disaster.
The staff reported witnessing looting, violence, Flexibility is a critical factor during a crisis and
buildings burning, and the sound of gunshots results in being able to adapt to situations as they
just outside the hotels. With the majority of the arise. Crises vary from hour to hour as the events
attention of the authorities focused on the rescue develop, and the impact experienced by those
efforts, their sense of safety as well as the inability affected will also tend to vary. The organiza-
to contact family members and assess their safety tion and its staff need to be able to recognize the
became cause for concern. changes needed in order to support the response.
In this situation, the insertion of police person- However, due to the physiological and psycholog-
nel into the properties provided the protection ical impacts of stress, people may have a difficult
necessary to achieve a sense of personal safety for time learning new behavior in the middle of a cri-
guests and staff. Staff later reported that the shar- sis. Requesting someone to complete a task that is
ing of their resources with the police personnel outside his or her usual routine will require more
provided them with a sense of connection. This information and guidance than usual.
connection, along with the contact with manage- The duration of the crisis and the level of
ment at headquarters, was critical in their ability destruction definitely impact the resiliency of an
to keep from being overwhelmed by their circum- individual or a community. Because of the mas-
stances. Staff also reported that their initial sense sive level of destruction of property along with
of helplessness with regard to the crisis dimin- the significant number of deaths that resulted
ished as they were able to provide basic amenities from Hurricane Katrina, the negative impact on
such as food, shelter, and safety to the guests as the resiliency of the community and of individuals
well as to the police. was devastating.
 Business Continuity Planning 79

Army National Guard members help New Orleans citizens into evacuation buses after being stranded for three nights at the Hyatt Regency
Hotel downtown after Hurricane Katrina, September 3, 2005. Local hotels experienced severe disruption, not only to their infrastructures
but also to the human component of their businesses, which is needed to keep a business continuity plan running. Staff were unable to
come to work or were evacuated to unknown destinations, communication was compromised, and security issues developed.

Physiological Factors When a crisis occurs, a number of natural and

The effect of stress on the human body is another normal internal processes are put into motion.
component for discussion and education when Numerous articles and studies have addressed
addressing the human component of business the acute stress response first described by Wal-
continuity. At the time of a crisis, being able to ter Bradford Cannon in 1932. Otherwise known
provide people with information about the body’s as the “fight-or-flight response,” his theory
response to stress can normalize their experiences explains how the physiology of animals, includ-
and have a calming effect. Even in major disas- ing humans, responds to a perceived threat. The
ters, this information can help people regain some main focus of this theory is on the sympathetic
control over their responses in an out-of-control nervous system. This system plays the primary
situation. However, very few organizations con- role of regulating the homeostasis of the organ-
sider how a crisis may affect the ability of the staff ism. It accomplishes this by direct connection
to fulfill critical roles at the time of a disaster. In to almost every organ system in the body. Addi-
the case of the hotel management being discon- tional research has identified a “freeze” compo-
nected from their staff at the properties during nent to the response that is exhibited just prior to
Hurricane Katrina, having some information on the reaction to the threat. By understanding this
the impact of stress on their staff helped them and being able to provide information on this
to support their staff appropriately so that they natural response, an organization can help reas-
could handle the challenges they faced. sure staff that their responses are very normal
80 Business Continuity Planning

given the very abnormal circumstances. Also, Lessons Learned

this normalization for the experienced responses Following a crisis that has had a significant
can help assuage the guilt, blame, and anger that impact on an organization, an after-action review
may result from misperceiving the actions of of the plan and the processes in light of the issues
others. that surfaced during the response is considered
In addition to the acute stress response, know- to be a best practice in emergency management.
ing that people can be present but not fully func- Identifying areas where additional definition and
tioning because of fear, concern for family, and focus are needed as well as integrating informa-
exhaustion is especially helpful when commu- tion from the response increases the value and
nicating information. The ability to concentrate integrity of the plan. Numerous changes in opera-
is taxed during a crisis and results in the need tional processes resulted following the aftermath
to repeat information and to inquire about any of Hurricane Katrina with regard to business con-
questions with regard to the information being tinuity that took into account the human com-
communicated. Organizations can plan for this ponent. Changes occurred at all levels within the
interference by developing documents to be uti- organization and also on an individual basis.
lized during a crisis that cue the user for specific On the organizational level, evacuation and
information and questions. Information sharing shelter-in-place protocols were reviewed and
is additionally challenged by all of the false infor- internal decision-making processes were updated.
mation or rumors that may be shared during a One of the most problematic issues that surfaced
crisis. Bringing these rumors to the surface for during Hurricane Katrina was the inability of
discussion is an important piece of the communi- management to communicate with their staff and
cation between staff and management. assess their status, locations, and any needs that
were identified. The ability to connect with staff
Recovery is the critical piece of the human component of
On September 5, 2005, almost one week after business continuity. Knowing who is available
Hurricane Katrina made landfall, all proper- for work and providing details about alternative
ties reported that all guests and staff had been worksites and accessibility of those properties in
evacuated. However, efforts continued to be nec- the affected area helps restore the operations of
essary to account for their staff as well as their the organization. Updating personal and emer-
status and locations. Once the primary needs for gency contact information on an annual basis at
survival and safety were met and families were minimum is crucial for effectively maintaining
reunited, management was able to shift its focus connection with staff.
to logistical concerns regarding identifying loca- Inclusion of other organizational depart-
tions for staff that were available for work, pay- ments, such as human resources, security, risk
checks, and benefits, along with ongoing commu- management, and information technology (IT),
nication in general. in addressing the human component of business
Part of the recovery process following Hurri- continuity ensures that the impact of future crises
cane Katrina included continued monitoring of is mitigated.
the health of the staff and management. Initial One significant obstacle reported during Hur-
debriefings provided a means for people to share ricane Katrina was the difficulty in receiving
their experiences and gain some understanding of paychecks and/or accessing banking accounts.
the overall response, especially at the staff level. Organizations can educate their staff on the ben-
Additional meetings that focused on the organi- efits of having paychecks directly deposited into
zation’s emergency response teams and manage- their banking accounts and making their funds
ment provided support as well as time to discuss available from other locations. Another difficulty
areas of concern. These teams often reported a reported was the inability to access medical treat-
greater sense of responsibility and frustration at ment within their insurance network. Many of
the time of the crisis due to the fact that the teams the staff were relocated outside the state of Loui-
were the liaison between the organization and the siana, which placed them in an out-of-network
events going on at ground level. situation with regard to their health benefits.
 Business Continuity Planning Life Cycle 81

Knowing that this is a possibility during a crisis BCPL is a process that consists of phases named
and having discussions with the health care pro- analysis, design, implementation, testing, and
viders regarding a backup plan for prescriptions maintenance. Using this process, the BCPL can
and medical treatment is another aspect of pre- provide contingency processes for various parts
paredness planning. of the organization to use under crisis conditions
Part of the organizational planning should such as a power outage or immediately after a
include increasing the awareness of staff of the fire or flood, anything that would interrupt the
importance of developing personal emergency normal flow of activities in part or in whole. In
response plans. After Hurricane Katrina, the gov- short, the crisis management process would use
ernment authorities made strong recommenda- the results of the BCPL to help an organization
tions for all individuals and families to create their operate under crisis conditions.
own emergency response plans. Recommendations
on components for a personal emergency response The BCPL Process
plan include disaster supplies, an evacuation plan The BCPL process is to analyze the flow of
with a predetermined point of assembly, and a com- activities to determine if there are points in
munication plan to assess the status of all family the flow at which something may interrupt or
members. The inclusion of the human component degrade that flow. At times, no analysis is needed
into the business continuity planning will result in because an adverse condition presents itself and
a robust and functional emergency response plan. the response is used to develop plans to handle
the adverse condition in the future. Without an
Vivian Marinelli adverse condition, the analysis carefully reviews
Independent Scholar the flow of activities, looking for people, devices,
or other resources that are single points of fail-
See Also: Debriefing; Department of Homeland ure (SPOF) or a point in the flow where an inter-
Security (DHS); Disaster Recovery; Early Warning ruption cannot be handled by existing processes.
Systems; Emergency Alert Systems; Emergency For example, an SPOF is a single fax machine
Management System; Emergency Responders; that is required to complete the flow of activi-
Incident Management; Incidents Versus Crises; ties. Should that fax machine break and there be
Response; Strategic Plans. no alternative processes, activities would come
to a halt. In addition to the SPOF, there are levels
Further Readings of degradation in activities that present a prob-
Cannon, W. B. The Wisdom of the Body. New York: lem for the organization in that it cannot meet
Norton, 1932. deadlines.
Galderisi, A., F. Ferrara, and A. Ceudech. “Resilience
and/or Vulnerability? Relationships and Roles in Analysis Phase
Risk Mitigation Strategies.” 24th Annual AESOP Business impact analysis (BIA) is a more formal
Annual Conference, July 2010. name for the BCPL analysis phase. The BIA is
Maslow, A. “A Theory of Human Motivation.” an interview and survey process that discovers
Psychological Review, v.50 (1943). which activities are most important to the orga-
nization. The BIA prioritizes the activities and
gathers information on how much the organiza-
tion would suffer if the activities could no longer
be performed. The suffering is usually quantified
Business Continuity in terms of loss, such as lost revenue and addi-
tional cost, but can include other measures of
Planning Life Cycle suffering. The final BIA summarizes the priori-
tized activities and potential losses for decision
The business continuity planning life cycle (BCPL) makers within the organization to review, mod-
is used to implement and maintain processes that ify, and approve with a spending threshold–based
ensure the continuity of business functions. The potential loss. This yields the next phase of the
82 Business Continuity Planning Life Cycle

Case Study: Client Support Planning

A company that hosts computer software for clients involved 12 clients and just four systems. There
with 24/7 operations reduced costs by not having were four cases of multiple problems happening at
its systems engineering staff of six at the workplace the same time, so one client had to wait until the
24/7 to provide support should the software break on-call engineer finished correcting one problem
down and result in client support calls. Because and could move to another; this delay was 0.5
the hosted applications deal with the life safety of hours. The average individual client outage was 0.5
patients, on several occasions a client had to initiate hours, with some as long as four hours.
its crisis management processes to deal with the Considering the impact of SLAs, it was
outages. Instead, the company placed engineers on determined that an average long outage would cost
call for client support; the engineer would be notified $4,000, the average outage was $500, and the
of the call by the 24/7 help desk. The on-call person minimal total monthly cost would be $24,000. The
would have a cell phone and laptop computer to financial department was consulted to determine
provide support. Other engineers had no company- an acceptable level of cost, since outages can be
provided equipment to take home. reduced but are unavoidable, and the acceptable
Issues arose when the on-call engineer was cost was $3,000 per month; a spending threshold
interrupted in the ability to support client calls by of $10,000 was approved, as well as $1,000 in
becoming ill or experiencing a family emergency monthly recurring expenses.
that tended to override the engineer’s ability to The engineering staff thought they could reduce
support the client calls. The on-call engineer would the overall outages from 24 hours to 12 hours using
call for backup, but the backup engineer would different methods to prevent outages, leaving the
need to go to the workplace to provide support 12-hour unavoidable outage at a cost of $12,000.
because the disabled on-call engineer could not Subtracting the acceptable $3,000 cost left a
pass on the cell phone and laptop. Issues also $9,000 probable monthly cost in SLA penalties.
developed when multiple failures occurred, forcing The engineering team was consulted to
clients to wait while the single on-call engineer understand the current process and to determine
moved from one problem to another. In most cases how the outages could be further limited and
it was faster to let one client wait rather than call the estimated SLA penalty costs reduced while
an additional engineer to travel to the workplace to keeping within the $10,000 spent and the $1,000
lend additional assistance. recurring cost. The analysis and design and
To attract more business, the company instituted implementation phases of the BCPL happened at
service level agreements (SLAs) with new and the same time in this case because the solutions
existing clients. These SLAs had monetary penalties were relatively simple to identify and implement.
averaging $1,000 for each hour the company failed Several requirements were identified, including
to meet the SLAs. The penalties could multiply the need to react more quickly to problem calls and
quickly if multiple clients experienced outages at to avoid client wait time for multiple concurrent
the same time. This change increased the visibility problems, and the ability to more quickly fix the
of the engineering support problems and initiated most common problems. Considered the biggest
the need for a better support structure. risk, the team obtained three on-call cell phones
The BCPL was initiated to analyze and address and three on-call laptops for $5,500 to be used
the addition of SLAs to the support function as well by the six engineers on a rotating schedule so
as various other functions related to the prevention there would always be at least two engineers a
of outages, such as software and hardware phone call away. In order to respond more quickly
upgrades. This case study concentrates on the to problems, it was determined that a software
engineering support function. product could be purchased for $2,000 and $100
During the analysis it was discovered that the per month licensing fees that would test the server
average monthly on-call support was 24 hours and for a heartbeat, and if the server did not have a
 Business Continuity Planning Life Cycle 83

heartbeat, the software would send a text message it obvious that each engineer must have the
to all on-call cell phones and an e-mail to the help capability to work from anywhere there is an
desk. Heartbeat software investigates a server Internet connection and that the company needed
using several different methods, and if none of on-call support from contract systems engineers for
the methods works, the server is probably having larger outages. The decision was made to provide
problems. This heartbeat check is estimated to every engineer with a laptop and a cell phone and
subtract on average 15 minutes from each call, as also to contract with a consulting firm for additional
it takes between 5 and 15 minutes for the user to on-call help to be contacted when needed and to
realize he/she is having an outage and initiate the be paid by the hour. During large upgrades, an
call to the help desk. The analysis also identified engineer would remain on-site off shift to be ready
that 40 percent of the issues reported had to be to handle client calls and call for support if needed.
fixed by rebooting a server that usually hadn’t been In addition, some of the minor problems were so
rebooted in more than a month, so the servers were simply fixed that some instructions were given to
programmed to automatically reboot themselves on the help desk to fix, allowing engineers to work on
a monthly basis. The clients agreed to this average more complex problems and providing a career path
15-minute outage and agreed it would not count from help desk to engineering. Last reports showed
toward the SLAs because it was a planned outage. that the problems were reduced to two hours
Once all the equipment and software was affecting three clients and three systems. Several
purchased, the engineers did some testing to ensure severe weather events occurred with no noticeable
each process worked as designed. As client problem degradation in service or increase in SLA penalties.
calls arrived at the help desk, the on-call engineers In order to maintain the efficacy of the work-
were either already working on the problem or ready from-home strategy, the engineers on call work from
to work on the problem. The processes worked home the entire scheduled on-call duration and
well for months, reducing the overall averages for find it a job perk.
outages to four hours affecting five clients and three
systems. In some cases the heartbeat software Case Study Analysis
notified engineers in time to have the problem fixed This case study shows two forms of continuity
by the time the user called the help desk. strategies. The most apparent strategy was the
As time went on there were instances of weather BCPL development of a robust work-from-anywhere
so severe that the engineers could not safely travel process for the systems engineers, the testing of
to work. Adding to the problems, many times the the processes, and the successful maintenance
severe weather would affect the servers, requiring processes enhancing the work-from-anywhere
quick response from engineers who could not make processes for all engineers. The second continuity
it to work. While the on-call engineers could handle strategy was instituting SLAs. Without the SLA
the problems, the delays due to the reduced staff penalties, the company would have had little
ran into as much as $35,000 in SLA penalties. impetus to improve its call handling processes and
The BCPL was initiated again. The analysis would have continued to have issues handling the
phase was short, as the SLA penalties made outages in a manner acceptable to its clients.

BCPL potential interruptions to design for and a designing solutions to the potential interruptions
spending threshold that cannot exceed a certain that fit within the spending threshold. As solu-
percentage of loss. tions are determined, the options are validated by
the people performing the activities and brought
Design Phase to decision makers for review and approval. After
The BCPL design phase takes all the analysis final approval, the designs are taken to the next
information and develops an iterative process of BCPL phase, implementation.
84 Business Impact Analysis

Implementation, Maintenance, and Testing See Also: Backup Media; Backup Strategy; Business
The BCPL implementation phase schedules activi- Continuity Planning; Critical Business Functions;
ties that implement the design. In some cases this Data Recovery; Dedicated Site.
can be a complex process requiring a project man-
ager, purchase of equipment, moving of depart- Further Readings
ments, and perhaps even some short, approved Cannon, W. B. The Wisdom of the Body. New York:
interruptions to the activities to realize the final Norton, 1932.
implementation. After the BCPL implementation, Disaster Recovery Journal. “White Papers.” http://
there is a maintenance phase of acceptance and www.drj.com/white-papers.html (Accessed March
periodic testing. 2012).
The BCPL acceptance should be smooth if the Paton, Carol. Business Continuity Planning.
implementation went according to plan, but there Edinburgh: Scottish Federation of Housing
can be difficult implementations that require a Associations, 2006.
return to portions of the design phase to modify
the final solution. Once the final solution is firmly
in place, it is tested and accepted if all goes well.
The BCPL solution is maintained through testing.
It is always advisable to test things that are infre- Business Impact Analysis
quently used to ensure they will work as designed
when they are actually needed. Testing can happen The business impact analysis (BIA) is a core com-
on strictly a periodic basis such as twice a year, ponent of any business continuity plan, or busi-
or it can be triggered by changes in the activities ness continuity management system. The busi-
the solution was designed for. The best way to ness impact analysis does exactly what it says: it
test a BCPL solution is to test it after a significant assesses the impact to a business during a disrup-
change to the activities the solution was designed tion, whether it is a denial of access due to loss of
for. Testing should exercise all aspects of the BCPL buildings or being unable to enter premises; loss
solution and formally document the results. This of key systems, due to loss of information tech-
way the new activities can be worked back into nology (IT), telecommunications, or Internet con-
the solution by returning to phase one of the nection; or loss of key personnel, such as board
BCPL. Because the BCPL solution is infrequently members or key members of staff.
used, the testing usually uncovers some part of the The business impact analysis describes how a
solution that does not work as well as expected business actually works, not how it is assumed
and requires a return to phase one of the BCPL. to work. It analyzes how processes come into a
The contingency processes resulting from the department from upstream and what happens to
BCPL can be invoked from the crisis management those processes in this department to enable them
processes. When a crisis occurs, often there are to move downstream. It is effectively a process
outages of business processes that would be miti- mapping of a business from a risk and disruption
gated by the results of the BCPL. point of view.
Although there are many different types of
Conclusion business impact analyses (some in Word docu-
Contingencies developed using the BCPL can be ments, some in Excel spreadsheets, some in spe-
used by the crisis management process to over- cialized business continuity software), they all
come outages and interruptions for clients who ask fundamentally the same questions: What is
care for patients and for every organization. The the role of a given department within the busi-
case study shows that the crisis management pro- ness? How does the department operate? Where
cess would invoke the work-from-anywhere pro- does the information required to perform these
cesses to help support clients. processes come from? Were does that informa-
tion go? Are there any service level agreements
William Lang (SLAs) in place within the business, or with sup-
Independent Scholar pliers or customers? Are there any financial or
 Business Impact Analysis 85

legal impacts to the business if these processes are point on the BIA against which all others will be
delayed? How much financial loss does that incur checked, and the name of the person interviewed
on the business? so that if a problem arises, it is possible to go back
A BIA is completed at the start of any busi- and reinterview the original source of the infor-
ness continuity management system to ascertain mation. It is true that most managers will delegate
exactly how a business functions, and there is this task to one of their employees. At the end of
little point in doing business continuity planning the interview, a department business impact anal-
without having the fundamental building blocks ysis should be completed and signed off by the
in place: how a business works, how departments manager; again this is part of the audit trail. Be
interlink with each other, etc. A business impact aware that all businesses are political, even if they
analysis accesses this, enabling a business con- think they are not, so each manager will empha-
tinuity plan to be produced that will work. The size how important his/her department is; it may
BIA also identifies single points of failure; these be necessary to allay any fears they may have in
are processes or a department that on their own order to get to the right information.
do not stand out as key, but if they were to no lon-
ger function, the knock-on effect to the business Business activities: This lists the departments,
would be disastrous. business activities, and processes in the order of
Having considered why a business impact anal- priority in which the department places them.
ysis should be completed, now consider how the It should also list the frequency of each process
BIA is produced. It should be remembered that or activity: Is it a daily weekly or monthly pro-
this is only a guide, as each industry has unique cess? What type of process is it—support, opera-
processes or departments, obvious examples being tions, legal? What is the recovery time for each
nuclear power or medical research companies that process—five minutes to one month? Include any
may have departments with very specific features notes about a process, thus giving a snapshot of
and therefore require adaptations to the normal the department.
BIA template. Because businesses are complex, it is
important to get the right information. This can be Financial: This looks at the direct losses for rev-
done by holding a series of interviews; it is, how- enue and operations for the department over a set
ever, key to the success of the business impact anal- time period, from one hour to 10 days, and also
ysis to make sure the right people are interviewed. indirect losses. These could be delayed produc-
For example, it may be necessary to interview the tion or a service level agreement or even cover the
director of a department to get the strategic over- cost of dealing with the backlog of work that has
view of the department, then the manager to get developed because of the disruption.
the operational point of view, and then the agent
or person who is performing the process. They Nonfinancial: This covers the effect of the dis-
will describe what happens and what is needed to ruption on company image, human resources,
make the processes successful and where it goes and regulatory or legal issues. Compliance can be
when it leaves the department. They will also added to this list, but the point is to look at the
know any shortcuts to the process and what infor- severity of impact over 1–10 days and at the level
mation is needed from other departments; in each of impact from none to low, medium, or high. It
department there is always one person who knows is important to ask these questions because some
the processes and the department thoroughly, and disruptions that have had a negative effect on a
this is the person ideally to interview. business had no impact on its financial operations
The completed business impact analysis covers at first but had a very negative effect on the busi-
the following areas: ness in the days following the disruption.

Information: This section of the business impact Risk: Each department needs to look at risk—not
analysis lists what department it covers, what financial risks but threats that may be of concern
processes it operates, who was interviewed, and to the department. These threats can be listed,
when. The reason for this is both to have an audit with likelihood and potential impact and maybe
86 Business Impact Analysis

any notes. Threats range from power outage to Dependencies: Departments within a business do
natural disaster to fraud to terrorism; the sever- not run in isolation from each other; they all pass
ity can be graded from 1 to 5 or 1 to 10 for the information or interact on a process. This process
impact and also for the likelihood. This is done may come from upstream and through a depart-
for each department throughtout the business, ment to be passed downstream. The reason these
and at the end of the process, a threat matrix for interdependencies are mapped is to determine the
all the departments is completed. The threat with effect that having a department nonoperational
the highest number is one that will have the most will have on the business. Will one department
impact; it, however, is also the one that is least that is not seen to be that important be critical
likely. This information will drive the company’s to the key process of the business? Mapping out
risk management strategies, and it is worth not- the interdependencies develops an understanding
ing that any risk assessment would have to look of the relationships between all departments and
at the environment in which the business was also highlights potential points of failure. A single
located; for example, petrol stations near the point of failure is a process or department that
business would present a risk of fire and explo- would bring the business to a standstill if it were
sions. This would form part of the executive unable to operate normally,
summary of the BIA report.
Recovery time objectives: Recovery time objec-
People: It is important when talking about how tives (RTO) apply to computer applications,
many people are needed to keep a process going telephony systems, or any automated system. It
during an event to remember that this is not always must be ascertained which systems a department
the same number that are needed during normal uses, whether it is e-mail, Internet, or any other
business operations. A department may have 25 in-house software that is required to run or man-
staff working on a process, but in an event they age a process and whether, over a time frame of
may be able to get by with two for a limited time. 1–10 days, the loss of this system would be man-
So it should be asked how many perform pro- ageable, disruptive, critical, or catastrophic. This
cesses during normal business operations, then information indicates the gap (if any) between
how many are needed during an event to kept the what the business needs and what IT can deliver,
most important process going, then how many and over what time periods (remember, IT is there
extra people will be needed over a 10-day period. to support the business, not the other way round).
Each day that goes by that the department is not
fully working means a backlog will accrue. Recovery point objective: Recovery point objec-
tive (RPO) is the point from which data need to
Alternative working/manual working: When be recovered following a disruption to the depart-
asking about alternative working, caution should ment. The department must determine what level
be taken to consider who is being asked, because of data loss, if any, it can handle once IT systems
as a manager moves around a business or up the are back up and running. Can the department
management ladder, he/she will remember a time cope with data restored from the start of the
when a given process could be done manually. working day or when the event happened? How
But as technology evolves in business, processes much data can a department afford to lose?
that were once fully manual may now involve
some form of automation. With this in mind, it Office: This section of the BIA specifies what the
should be asked: Can this process be performed department would need to set up and run from
at another site? If so, is that site able to do this another building or recovery area; for an example,
process? And what will be needed, that is, PC/ over a time frame of 1–10 days, how many PCs,
laptops, Internet? Are there any vital records or chairs, desks, and phones would the department
templates that may be needed? Are procedures need on day one just after the disruption through
for doing this process manually available? Is it day 10, when a large number of processes should
documented? And, most important, are the staff be recovered. Some departments will only have a
trained in these procedures? fraction of their normal needs because their staff
 Business Resumption Planning 87

will have other roles during the disruption. Facili- little wonder that there is so much confusion sur-
ties management and the IT department may have rounding the jargon. Business resumption plan-
most of their staff at the scene of the disruption ning is the planning required to return a business
trying to fix the problems and hence won’t need or organization from the state of having had an
that much office space at the recovery site. incident—during which a business continuity
management was implemented—to a state of nor-
Vital records: These are records that the business mal business.
or department needs; they could be templates or In the linear process of business continuity, first
contracts, so it is vital to know where they are. there is risk management, which is identifying,
Are they on a system or server? If so, which one? classifying, and, where possible, mitigating risk to
This information is needed so IT can make it part a business. Second, there is incident management,
of their disaster recovery plan and be able to back which is dealing with the incident, activating con-
this information up in order to have copies at a tinuity plans, bringing in key personnel, and deal-
recovery site, and if a department process needs ing with the initial effects of the incident. The role
this, it needs to be easily located. of a business continuity plan is to maintain key
core processes and services, both internally and
Patrick Mcilwee externally, to key customers at an agreed service
Business Continuity Institute level. This service level will be, by its very nature,
lower than normal business levels. Finally, there
See Also: Business Continuity Management; Business is business resumption, where business goes from
Continuity Planning Life Cycle; Business Resumption a state of recovery and all that entails, to a state
Planning; Critical Business Functions. of normal business and operates in a way that is
consistent with operations before the incident.
Further Readings Each stage of this process has to be considered as
Faulkner Information Services. Conducting a Business an individual planning scenario that links every-
Impact Analysis. Pennsauken, NJ: Faulkner thing else. The question, “how do I do that?”
Information Services, 2002. must always be asked and never assumed. Every-
Federal Emergency Management Agency. “Business thing must be verified in order to avoid the pitfalls
Impact Analysis.” http://www.ready.gov/business that may be encountered.
-impact-analysis (Accessed June 2012).
Wrobel, Leo A. Business Resumption Planning. 2nd From Continuity to Resumption
ed. New York: Auerbach, 2008. Business continuity plans are run from the recov-
ery site; when the incident is over, staff and pro-
cesses are moved back to the normal place of
business or into new premises. During a very
short incident—for example, only a few days—
Business Resumption this is not difficult, because in effect, the company
is running its business continuity plans in reverse.
Planning However, if the company has been working at a
recovery site for a number of weeks, the process
From the inception of the concept of business is more complex.
resumption planning, there has been much confu- This is because the driving factors that were in
sion over what is meant by the term. Many con- place when the business continuity plan was acti-
fuse it with business continuity planning; com- vated are no longer driving factors in the resump-
pounding this problem are business resumption tion plan, since the incident is no longer imminent
planning templates on the Internet that, apart and providing the impetus to force staff to make
from the title, are in fact business continuity plan- decisions rapidly. If the incident was prolonged,
ning templates. The two are not the same, and the staff and processes may be embedded at the
confusion is only increased when the term return recovery site. Also, when staff and processes are
to normal service planning is introduced. It is moved back to either the original site or a new
88 Business Resumption Planning

site, the recovery site will need to be kept opera- Not only is this a factor in planning to move
tional until the percentage of work done at the staff and processes into their new, normal prem-
main premises takes over from the recovery site. ises, but it also plays a part when looking at ven-
During the incident, normal management pro- dors and contractors, although these are easier to
cesses are necessarily bypassed or simplified, and manage as they are normally under contract to
the chain of command becomes less complex so deliver to a company-specified site. The problems
that decisions can be made more rapidly. After the will manifest themselves when the move of some
incident, normal management processes are rees- staff from the recovery site to the new site is insti-
tablished over a period of time that is dependent gated. This is because vendors will have the prob-
on how long the recovery site has been maintained. lem of delivering to both sites, as the recovery site
At this point, the driving force for rapid decision must be kept open until the new, normal site can
making has been lost, becoming a hindrance to function at a level at which the work flow matches
the recovery process. This is caused by the per- and then surpasses the work flow at the recovery
sonnel’s physiological need for order and routine site. The work flow at the recovery site decreases
and their resistance to change once the urgency as the work flow at the new site increases.
and fundamental driver has been removed from A problem may arise with vendors and con-
the situation. This trait has been well documented tractors if a contractor delivered products to the
by consultants dealing with change management normal business premises (a single site) before
when confronting the same issues. the incident. During the recovery, the vendor is

Students from the University of Findlay, in Findlay, Ohio, help repair the local Java Station coffee house that was damaged by flooding
downtown, September 15, 2007. Public service offices and businesses were half-emptied and lacking electricity during the severe
August flooding event that swamped the upper Midwest and Plains areas. This business would use a business resumption plan to go
from this state of recovery to a state of normal business, operating much as it did before the incident.
 Business Resumption Planning 89

delivering to the single recovery site, but in the company from both sites into one, while keeping
resumption planning period—when the recovery disruption to the customer base to a minimum.
site needs to be kept operational while the main As there is no longer an incident underway, both
site is made operational—vendors may need to management and customers will not be as under-
deliver to both sites. This would not be a problem standing as to the delay in their services. The pro-
if both sites were in close proximity, but if they cess of moving back to the original or new site
are many miles apart, costs will increase and legal can be more difficult than the initial move to the
requirements (such as driver working hours) may recovery site because management and other per-
come into play. The more fundamental problem sonnel may be less motivated than at the time of
is making sure the right product is delivered to the incident. Take away the incident, and for any
the right site. Failure to do this will cause a break- delay or disruption to the process, management
down or delay in the process, thereby causing a and other personnel may not be as supportive as
discontinuation of the business. they previously were.

Challenges of Resumption Planning Conclusion

One of the major activities where resumption As business resumption planning shares many
planning has been unsuccessful is working out the of the key elements of business continuity plan-
order of processes that need to be transferred back ning, most of the work of continuity planning will
to the main site versus transfer of whole depart- be needed for resumption planning. However, a
ments. Both options have potential problems great deal of additional thinking needs to be put
because data and information used for those pro- into the move back to the original or new site. It is
cesses and departments are required at both loca- always preferable to move from the recovery site
tions. Operational and even legal problems may back to the normal business site as soon as pos-
make this impractical and must be planned for sible, but if this is not possible, then resumption
in advance—not in advance of the move, but in planning must be implemented if it hasn’t been
advance of the incident. The business continuity done already.
and emergency management professional needs
to pre-plan the deconstruction and reconstruction Patrick Mcilwee
of the business and understand that one is not the Business Continuity Institute
reverse of the other, especially if the disruption
has been long term. See Also: Alternate Site, Corporate; Business
This becomes more difficult if the processes are Continuity Management; Business Continuity
technical or have a high level of professional com- Planning; Contingency Planning; Critical Business
petence, as a point in the process may be reached Functions; Minimum Business Continuity Objective;
where a person with key knowledge is needed in Pre-Impact Planning Process.
two places at the same time, possibly miles apart.
This is not a problem in the continuity or recovery Further Readings
phases, as there is one site in each case; however, Laye, John. Avoiding Disaster: How to Keep Your
as these processes have been deemed to be vital to Business Going When Catastrophe Strikes.
the organization’s survival, plans must be made Hoboken, NJ: Wiley, 2002.
for reintegration while keeping some form of Moylan, Judi. “Reserve Bank of Australia Business
customer service or processes effectively running Resumption Site.” Canberra: Parliament of the
from two sites during the resumption process. Commonwealth of Australia, 2005.
In effect, this is integrating the operations and Wrobel, Leo A. Business Resumption Planning. 2nd
processes that are critical to the survival of the ed. New York: Auerbach, 2008.
 C
Cabinet Office, UK relating to intelligence and leads on intelligence
assessment and priorities through the central
The Cabinet Office in the United Kingdom (UK) intelligence machinery. As such, it coordinates the
supports the prime minister and the government government’s response to civil emergencies, ter-
ministers by ensuring that policies and operations rorist incidents, and international crises.
are developed and implemented across all govern- The National Security Secretariat, a part of
ment departments. It also ensures that the civil the Cabinet Office, prepares for and manages the
service provides effective and efficient support to coordination of the government’s response to cri-
government in meeting its objectives. Headed by ses. It was responsible for the publication of the
the deputy prime minister, it contains a number Strategic Defence and Security Review: Securing
of ministers who have specific responsibilities, Britain in an Age of Uncertainty.
including one who is the Minister for Civil Society. Another part of the Cabinet Office is responsible
Through its National Security Secretariat, the for cyber security. The Office of Cyber Security and
Cabinet Office supports the National Security Information Assurance (OCSIA) supports minis-
Council, which is the main forum for discussing ters within the Cabinet Office and the National
the government’s objectives for national secu- Security Council in determining priorities in rela-
rity and how it can best be delivered. Member- tion to securing cyberspace. A new Cyber Security
ship of the National Security Council includes Strategy, which sets out how the UK will support
the prime minister, who chairs it, deputy prime economic prosperity, protect national security,
minister, chancellor of the exchequer, foreign sec- and safeguard the public’s way of life by building
retary, defence secretary, home secretary, the sec- a more trusted and resilient digital environment,
retaries of states for the Department for Interna- was published in November 2011.
tional Development and for Energy and Climate Until the end of the last century, the UK was
Change, the chief secretary to the treasury, and still using civil defense legislation to operate its
the minister for government policy. Other govern- emergency and crisis management systems. How-
ment ministers, the chief of the defense staff, the ever, the Y2K threat, some serious flooding, and
heads of intelligence agencies, and law enforce- a fuel blockade at the turn of the century led to
ment officers attend as required. transferring responsibility for emergency manage-
The Cabinet Office advises the government on ment from the Home Office to the Cabinet Office
its response to cross-departmental strategic issues and the setting up of the Civil Contingencies

91
92 Carrying Capacity

Secretariat (CCS) in July 2001. This, in turn, led for Cabinet Office Briefing Room A, because the
to the introduction of the Civil Contingencies Act meeting used to be held in Conference Room A
in 2004, which provides a single framework for within the Cabinet Office.
managing emergencies.
As a part of the Cabinet Office, the function Tony Moore
of the CCS is to support ministers in developing Institute of Civil Protection
policy relating to emergencies, thus ensuring that and Emergency Management
the government and key stakeholders continue to
function and deliver public services during a cri- See Also: Department of Homeland Security (DHS);
sis. This is achieved by working with government Federal Emergency Management Agency (FEMA).
departments; the devolved administrations in Scot-
land, Wales, and Northern Ireland; and key stake- Further Readings
holders toward ensuring that plans, procedures, UK Cabinet Office. Securing Britain in an Age of
and systems are in place to cover the full range of Uncertainty: The Strategic Defence and Security
disruptive challenges that have been identified. Review. Cm. 7948. Norwich, UK: The Stationary
The work of the Secretariat is carried out by Office, 2010.
four groups. The Capabilities Team manages the UK Cabinet Office. The UK Cyber Security Strategy:
cross-government Capabilities Programme and Protecting and Promoting the UK in a Digital
provides secretarial support to the cabinet commit- World. London: Cabinet Office, 2011.
tees responsible for driving the program forward. Walker, Clive and James Broderick. The Civil
Working with other government departments, the Contingencies Act 2004: Risk, Resilience and the
Local Response Capability Team ensures that the Law in the United Kingdom. Oxford: Oxford
requirements of the Civil Contingencies Act 2004 University Press, 2006.
are implemented, and it manages three capabil-
ity workstreams: local response, community resil-
ience, and recovery. The International Team is
responsible for liaising with European Union and
North Atlantic Treaty Organization partners to Carrying Capacity
ensure that UK policy on civil protection activ-
ity is coordinated. The Exercise and Operations Carrying capacity can be defined simply as the
Team has two functions. It leads on policy relat- ability of a given environment to sustain the cur-
ing to exercises and is responsible for the coordi- rent and anticipated utilization of its resources in
nation of a government-wide exercise program, a sustainable manner without deterioration. For
and, in the event of a crisis, it looks after CCS example, carrying capacity in the context of the
interests during the response to that crisis. natural environment is the ability of the ecosys-
The Emergency Planning College, a part of the tem to sustain a certain population of animals
CCS, is the UK’s leading emergency planning and without degradation of pasture, water, and habi-
crisis management training center. The aim of the tat. Looking at the issue from the perspective of
college is to develop the key skills and awareness human societies, it is generally believed that Earth
required to improve the capability of all levels of has only a certain carrying capacity to support the
government, together with the public, private, resource needs of the populations, beyond which
and voluntary sectors necessary to prepare for, the environment will deteriorate and resources
respond to, and recover from potential crises. will be depleted, thus irreversibly and negatively
When a crisis occurs in the UK, the committee affecting populations.
set up to deal with it is often referred to as COBR This article examines the theoretical and prac-
or COBRA. This is a term coined by the media; it tical dimensions in regard to carrying capacity,
is not officially recognized by the government or examples of different resources, ways in which
emergency responders. The former merely stands carrying capacity can be interpreted, measures of
for the Cabinet Office Briefing Room, that is, the carrying capacity, and relationships between car-
room in which the committee meets, the latter rying capacity and disasters.
 Carrying Capacity 93

Considering the issue at a more practical and spread of communicable diseases, and severe con-
tangible scale, carrying capacity of localized sys- flict over the resources among populations. Sus-
tems such as a piece of pasture land, a city, or a tainable water management is a growing body of
river can be stretched beyond a maximum limit, knowledge and practice meant to conserve and pre-
resulting in disasters. For example, the pasture can serve water resources. Pollution control initiatives
be overgrazed by increasing numbers of livestock across large river systems have been tried around
herds, leading to depletion of grass, which then the world with great success. Micro water harvest-
leads to death of animals, which leads to starva- ing structures have been identified as a feasible
tion, malnutrition, and death of human popula- alternative to large dams for irrigation and present
tions sustained on this land. Similarly, riverbeds minimal or less environmental impacts. Recycling
can be used for construction of houses, growing and reuse of water is another strategy that is being
crops, and so forth, and during flooding these are increasingly used in industries, municipalities, and
devastated, resulting in death of populations. In offices as well as in individual homes.
an overcrowded city (an urban ecosystem), a fire Land is a resource for agriculture, human set-
hazard can easily cause a major disaster as people tlements, industries, and many other livelihood
cannot run away or protect assets, or a disease systems. Key concerns include degradation from
outbreak can spread easily, leading to mass mor- excessive use (e.g., depletion of the productive sur-
bidity and mortality. face soil), use of chemicals in agriculture systems,
Carrying capacity needs to be understood from dumping of wastes, and overcrowding (especially
a range of interactions and interrelationships. The in cities). Impacts include reduced agriculture pro-
most important are the relation between supply duction and conflicts between communities. Sev-
and demand for resources, between populations eral strategies for integrated land management have
that share the resources and cooperation/competi- been developed globally in order to better achieve
tion between them for the resources, and manage- sustainable land use practices. These include
ment actions (policies, laws) preserving/conserv- national government policies regulating land use
ing resources for the future and the overwhelming patterns, urban zone planning, proper disposal of
need of the current generation. hazardous waste, land reclamation programs in
This article discusses some of the factors and degraded areas, and reduction of soil loss through
human actions that are known to be negatively tree planting and increasing vegetative cover.
affecting and reducing the carrying capacity of Forest resources provide timber for housing;
different ecosystems and their impact on the eco- sustain animal and bird populations that also pro-
system, including disasters. Examples of three vide food for gathering communities (e.g., tribal
resources—water, land, and forest—are provided populations); support sustaining atmospheric
below, including the way human populations ben- regulation and rain, working as a carbon dioxide
efit from them and the actions that degrade these sink and supporting watersheds; and offer recre-
resources and their impact. ational opportunities (including tourism). Massive
deforestation in order to meet increasing resource
Water, Land, and Forest Resources demands of growing populations and conversion
Water resources include groundwater and surface of forest land to other uses such as industry and
water in oceans, rivers, and glaciers. Water is a crit- mining, agriculture, and housing are resulting in
ical resource for survival by supporting food, com- drastic reduction in forest cover, leading to fluctua-
merce, energy, and several production systems. Key tion in global atmospheric processes and climate
concerns include overutilization of the resource change, loss of species, and shrinking of tribal
beyond the ability of the system to recharge, and populations. Lack of forest cover also leads to
pollution by dumping domestic, industrial, and denudation of soil cover. The issues involving for-
toxic wastes. Dams created on rivers for hydroelec- est resource degradation have been identified as a
tric and irrigation systems are also noted to accen- critical element within environmental conservation
tuate flooding in the catchment areas. Critical and preservation policies worldwide. A range of
impacts include scarcity and depletion (especially interventions and strategies have been put in place,
groundwater), leading to loss of food production, including laws against tree cutting, policies on use
94 Carrying Capacity

of forest land, and development of alternatives for land. Extinction of dinosaurs is widely believed to
timber (e.g., use of concrete poles instead of timber have been caused by meteorite hits on Earth.
in railway tracks, high-density plastic slabs used in
house construction instead of timber). Carrying capacity is also a function of time. This
is linked to resource utilization (or misutilization)
Principles over a period of time by a given population. It
Carrying capacity can be explained through the is simple to assume that all other factors being
following principles: constant, more time spent will lead to increasing
utilization of resources by a population. This is
Carrying capacity of a system can change. With especially true for fossil fuels, which take mil-
the invention of new technologies, finding of alter- lions of years to be produced and do not regen-
native resources and technologies, and changes in erate. Similarly, more time spent can also mean
resource use patterns, carrying capacity of a given opportunity for creation/invention of alternate
system can go beyond what it could have other- resources and regeneration of depleted resources
wise supported. Renewable energy sources such as (e.g., forest and grassland growth).
solar, wind, and nuclear have helped populations
reduce dependence on fossil fuels, thereby creating Spread effects in regard to carrying capacity.
opportunities for human populations to expand in Interrelationship between different levels and
otherwise inhospitable areas, increase energy use, types of ecosystems means that an adverse or
and create better living conditions. At the same positive impact on one ecosystem can also affect
time, carrying capacity of a system can also reduce other ecosystems surrounding it. For example,
with dependence on factors that hasten to degrade heavy pollution load on a landmass (industrial
resources. Oil spills in the ocean are one such waste disposal) can mean contamination of the
example, wherein the entire fish and aquatic life groundwater as well as pollution of the nearby
can die out. Large forest fires can decimate hun- river system. Similarly, conservation efforts in a
dreds of thousands of hectares of pristine forest forest area (plantation, stopping tree cutting) can

550

500

450
Number of Disasters Reported

400

350

300

250

200

150

100

50

1900 1910 1920 1930 1940 1950 1960 1970 1980 1990 2000 2010
Year
Figure 1 Natural disasters reported,1900 to 2010
Source: International Disaster Database (EM-DAT).
 Carrying Capacity 95

mean better recharge of the groundwater and Carrying Capacity and Human Populations
increased wildlife population. Human activities are causing significant environ-
mental impact at a wider level and thereby stretch-
The impact can also cascade through the ecosys- ing the carrying capacity of the surrounding eco-
tem upward or downward. For example, contami- systems and the Earth’s ecosystem as a whole.
nation of small rivers and rivulets feeding into a Climate change, global warming, deforestation,
larger river or lake can mean pollution of the lat- and global sea level rise and flooding of low-lying
ter, thereby reducing carrying capacity (death of areas, due to increasing industrialization, the load
fish and aquatic flora and fauna, algal bloom, etc.). of toxic gases on the atmosphere, and increasing
global population, are some of the biggest chal-
Carrying capacity can be explained at various lenges facing world populations. Links are being
scales. For example, we can research and talk established between these issues and increased
about the carrying capacity of an entire ocean frequency of natural disasters such as flooding,
and, at the same time, look at the carrying capac- landslides, and drought as well as conflict between
ity of individual small islands within these oceans. communities over scarce resources (e.g., conflict
between north and south Sudan, conflict between
How to Calculate Carrying Capacity pastoralist communities in several east African
Calculating carrying capacity is difficult and countries such as Ethiopia, Kenya, and Uganda).
complex given the dynamic nature of elements Figure 1 provides a summary from the Interna-
that determine carrying capacity. Some of the tional Disaster Database of disaster trends from
factors that need to be taken into consideration 1900 to 2010, indicating the increasing risk to
when determining carrying capacity are as fol- populations and economies. There has been grow-
lows. Quantification of all the factors below is ing recognition of the need to address the above
probably impractical, and therefore a great deal challenges, thereby not overstretching the carry-
of subjectivity, extrapolation, and interpretation ing capacity for current and future generations.
need to be used in developing understanding of Several international conventions, frameworks,
carrying capacity: and coordination structures have been developed
in order to address issues of climate change, sus-
• Population size: current population, rate of tainable development, and disaster risk reduction.
growth, migration (in and out), fluctuations Some of the key stakeholders bringing together a
• Knowledge and understanding of the range of global actors are as follows:
resources: relationships between them, and
support thresholds • United Nations Framework Convention on
• Seasonality and time frame: fluctuation of Climate Change, Kyoto Protocol (http://
resources during the year and over a period unfccc.int/2860.php)
of time • United Nations International Strategy for
• Social factors: types of uses, ethical Disaster Reduction (http://www.unisdr.org)
practices in resource use and sharing/ • Hyogo Framework for Action (2010–2015):
competition between populations, legal Building the Resilience of Nations and
frameworks, overdependence on some Communities to Disasters (http://www.un
resources over others isdr.org/we/coordinate/hfa)
• Technological factors: understanding • Rio +20-United Nations Conference on
of resources available, development of Sustainable Development (http://www.un
alternatives, options available isdr.org/2012/rioplus20)
• Economic factors: cost for use of resources,
trade relations between countries regarding Prafulla Mishra
resource sharing International Rescue Committee, Somalia
• External factors: disasters, diseases, and
other extreme events such as weather and See Also: Deforestation; Environment Programme,
climate changes UN (UNEP); Environmental Contamination; Food
96 Cascading Crisis

Security; Freshwater Demands and Shortages; Global Cascading crises often go beyond the conceiv-
Food Crisis; Overpopulation. able scope of crisis management planning. Cri-
sis management concentrates primarily on risks
Further Readings within an entity’s locus of control. Localized risks
Daily, Gretchen C. and Paul R. Ehrlich. “Population, are more common, and predetermined strategies
Sustainability, and Earth’s Carrying Capacity: can be enacted quickly to mitigate the crisis. Cri-
A Framework for Estimating Population Sizes sis managers also develop strategies that can be
and Lifestyles That Could Be Sustained Without enacted to limit the effects of crises beyond the
Undermining Future Generations.” Bioscience entity’s locus of control. For example, an organi-
(November 1992). zation cannot control whether it is hit by a tor-
Garrett Hardin Society. http://www.garretthardinsoc nado, but it can control how warnings are com-
iety.org/index.html (Accessed April 2012). municated to onsite stakeholders, identification
Mwiturubani, Donald Anthony and Jo-Ansie van of safe shelters, plans for resuming operations if
Wyk. “Climate Change and Natural Resources the primary location is damaged, and develop-
Conflicts in Africa.” Institute of Security Studies, ment of policies for employee leave to help with
Monograph 170 (2010). cleanup if other areas of the community are dam-
Wecskaop Project. “Carrying Capacity and Limiting aged. Because a cascading crisis can be caused
Factors.” http://randolph-femmer.tripod.com/ by a multitude of factors beyond the control of
sitebuildercontent/sitebuilderfiles/pdf_6_carry a crisis manager, identifying vulnerabilities and
ing_capacity.pdf (Accessed April 2012). predetermining strategies to address cascading
crises is challenging. Three core areas of crisis
management research lend to our understanding
of cascading crises: normal accident theory, chaos
theory, and transboundary crisis.
Cascading Crisis
Cascading Crisis as Normal Accident
A cascading crisis is an unexpected event, or series Normal accident theory provides insight as to
of events, that creates a damaging domino effect of why cascading crises occur. Normal accident the-
failures within or across systems. Although some ory describes the ways in which normal, routine
cascading crises seem to stem from a single trigger failure may lead to catastrophic crises through
event, others are created by the compounding of the interactive complexity that develops around
multiple interaction effects. The waves of ensuing larger-scale sociotechnical systems. As systems
failures result from the growing complexity and become technologically intense, they increase in
increasing interdependence of society. Global mar- complexity and interactivity, creating tightly cou-
kets, increased mobility, and advanced technology pled systems. Tight coupling occurs when initial
have led to a complex network of social, corporate, failures can rapidly bring down other parts of a
industrial, financial, technical, infrastructural, and system because there is little to no slack or buf-
administrative systems. What once would have fer between the parts. Thus, crisis managers do
been classified as a localized crisis can have rever- not have the time or ability to make corrections
berating effects across these increasingly dynamic before failures affect interrelated parts or other
and interdependent systems. A cascading crisis can systems.
impact multiple industries and jurisdictions across Even on a small scale, cascading crises can have
geographic boundaries (local, regional, national, broad impacts across industries. For example,
international), policy and societal sectors (envi- the modern food production system has become
ronmental, health, economic, foreign policy), increasingly complex and susceptible to systemic
and critical infrastructures (energy, banking and breakdowns. The 2008–09 salmonella outbreak
finance, transportation, human services, telecom- in processed peanut products was caused by con-
munications). The complexity of internetwork tamination in two plants owned by one company
reliance creates systematic vulnerabilities prime supplying less than 2 percent of peanut products
for a cascading crisis. in the United States. And yet, because Peanut
 Cascading Crisis 97

Corporation of America (PCA) was an intermedi- giants until the entire financial industry was fac-
ary processor that sold ingredients to other com- ing either bailout or bankruptcy. The challenge in
panies, more than 3,900 products including snack understanding cascading crises is that there is not
crackers, granola bars, cookies, and ice cream from always a single identifiable trigger event or tip-
more than 200 companies were recalled. Jarred ping point that starts the domino slide. The but-
peanut butter, while unaffected by the recall and terfly effect described in chaos theory provides the
unrelated to PCA’s processing, also experienced a metaphor for how small variances in a system can
sharp sales decline. Poor crisis management by a cause much larger impacts. Potentially innocuous
company that supplied less than 2 percent of all changes in mortgage lending options, oil prices,
peanut products and a reliance on supplier testing and tax policies can lead to devastating effects on
systems sickened 714 people, contributed to nine a much larger scale.
deaths, and cost the peanut industry an estimated Although one trigger event may be difficult to
$1 billion. In a cascading crisis, organizations can- identify, debt crises do provide a clear example
not control how the actions of another entity will for how an industry can become so interdepen-
ultimately affect the bottom line. Directly affected dent. Subprime buyers were able to take out high-
organizations that purchased peanut products risk loans from local banks. Those banks sold
from PCA should have prepared for how a failure the loans to larger banks, which sold the loans to
in the supply chain could manifest into a crisis. even larger banks, which sold the loans to mort-
However, jarred peanut butter companies had no gage giants and financial investment banks, which
locus of control over the sanitation of PCA or the ultimately had to get loans from the U.S. govern-
quality of the products it shipped and no way to ment to avoid bankruptcy. Once the crisis was
silence the cascading crisis that echoed through triggered, strategies had to be determined for how
the peanut industry. to contain the damage as it rippled through the
financial sector.
Cascading Crisis as Chaos
Chaos theory provides additional insight into Cascading Crisis as Transboundary
understanding cascading crises by emphasizing Cascading crises are often transboundary, cross-
the complexity, nonlinearity, and lack of simple ing political, functional, and temporal boundar-
predictability associated with complex systems. ies. Political boundaries are commonly crossed in
When systems reach high levels of complexity and national disasters that overwhelm local govern-
nonlinearity, enacted through interdependent net- ment. Unfortunately, when assistance is requested
works, cascading crises are inevitable. The bifur- from state, national, or international govern-
cation point, or trigger event, is difficult to iden- ments, the response can become more complex
tify because so many fractals interact to create rather than more efficient, as was found in the
the cascading crisis. Chaos theory suggests that response to Hurricane Katrina in 2005. Cascad-
self-organization will ultimately occur as strange ing crises can also cross functional boundaries
attractors come together to bring the spiral under threatening multiple infrastructures, such as the
control; however, the new system creates a higher mortgage crisis tightening credit lines for auto-
level of order and another level of complexity that makers who also received bailout loans from
can contain the damage or produce more drastic the U.S. government. Finally, while some crises
effects at a later date. The 2008 nationalization have a defined timeline, others transcend tem-
of Fannie Mae and Freddie Mac to mitigate the poral boundaries. For example, the Chernobyl
mortgage crisis in the United States and the Euro- disaster was triggered in 1986, but the lasting
pean Union’s 2012 bailout plan for Greece and health effects can still be seen today as elevated
Portugal to save the euro are examples. cancer cases continue to be reported in areas
The root of a cascading crisis in the financial contaminated by the nuclear fallout. If a crisis
sector is difficult to identify. In 2007, as the hous- is transboundary, it may not even be recognized
ing bubble in the United States began to deflate as a potential risk by the affected entities. This
and subprime mortgage losses accumulated, little is why cascading crises can escalate so rapidly.
was done to prevent the inevitable fall of banking By the time entities recognize how they could
98 Cascading Crisis

be impacted by a cascading crisis, they are often technology firms, and several other industries.
already feeling the effects. As a major supplier of technical equipment parts,
The March 11, 2011, earthquake along the Japan’s shortages left manufacturers using just-in-
northeast coast of the Tohoku region of Japan pro- time strategies around the world without parts in
vides a devastating example of a transboundary the weeks and months following the crisis. The
cascading crisis. The 9.0 earthquake—the largest energy crisis created additional backlogs in the
ever recorded to have hit Japan—generated a wall supply chain. Before the crisis, nearly a third of
of water that swept away homes, businesses, and Japan’s electricity came from atomic energy. Roll-
almost 20,000 lives. The waves from the tsunami ing blackouts and brownouts to conserve energy
also triggered meltdowns of three reactors at the limited recovery as production was curbed by
Fukushima Daiichi nuclear power plant, releas- power shortages.
ing radioactive material and forcing the evacua- The crisis also crossed temporal boundaries.
tion of about 90,000 people from their homes. Thousands of people lost their lives in the imme-
The compounding natural disasters and technical diacy of the earthquake and tsunami, and hun-
disaster crossed political, functional, and tempo- dreds of thousands were still without homes a year
ral boundaries, and the cascading effects could be later. Across functional boundaries, the tourism
seen around the world. industry dropped nearly 60 percent in the months
The quake was felt hundreds of miles from following the earthquake. A year later, the indus-
the epicenter, but the tsunami caused the most try had almost fully recovered. Meanwhile, the
destruction as it swept over the political boundar- agricultural industry will continue to be impacted
ies of hundreds of cities and dozens of prefectures. by the nuclear fallout for years to come. Once
Local, regional, and national response efforts were prosperous farmland in the Fukushima Prefecture
quickly overwhelmed, and aid from the interna- now only grows toxic crops farmers cannot sell
tional community had to be coordinated. Political and are too afraid to eat. Lasting health effects
boundaries were also crossed as nuclear agencies from the radiation absorbed over time will take
and experts from around the world were brought decades to materialize in the form of increased
in to assist the Tokyo Electric Power Company cancer cases in the communities surrounding the
(TEPCO) in containing the radiation emitting power plant. The 2011 Japan earthquake, tsu-
from the damaged nuclear reactors. The plant was nami, and nuclear disaster is a prime example of
eventually shut down in December 2011, but the a cascading crisis.
crisis continued to spread throughout the nuclear According to normal accident theory, cascading
industry. A year after the disaster, all but two of crises will only increase in frequency and severity
Japan’s 54 commercial nuclear reactors had been as technology advances and systems and societies
taken off-line until safety could be assured. Ger- become more interconnected. Identifying vulner-
many halted its nuclear power industry, and the abilities to cascading crises will continue to chal-
U.S. plans to renew investment in nuclear power lenge crisis managers, but expanding the scope of
stalled. A tsunami, caused by an earthquake, trig- crisis management planning to incorporate addi-
gered the technical failures at Fukushima Daiichi tional slack and contingency plans can limit the
nuclear power plant, but the effects reverberated effects of cascading crises.
across the energy sector as reliance on domestic
and foreign fossil fuels increased. Shari R. Veil
Both the immediate effects of the earthquake University of Kentucky
and tsunami and the ensuing energy failures
crossed functional boundaries. The Tokyo Stock See Also: Chaos Theory; Coupling; Critical
Exchange plunged in the week following the Infrastructure; Damage Containment; Normal
earthquake, taking shares of Toyota, Nissan, Accident Theory; Supply Chain; Trigger Events.
Sony, and Panasonic to devastating low prices.
Japan’s manufacturing sector was hit particu- Further Readings
larly hard as property damage and workforce Ansell, C., A. Boin, and A. Keller. “Managing
displacement created shortages for automakers, Transboundary Crises: Identifying the Building
 Catastrophe, Definition of 99

Blocks of an Effective Response System.” Journal Haiti is the poorest country in the Western Hemi-
of Contingencies & Crisis Management, v.18/4 sphere and was quite unable to cope, it elicited
(2010). a response from 129 nations. Catastrophic disas-
Conrad, L. “Japan One Year Later: The Long View ters almost always result in an international
on Tech Supply Chains.” Forbes (March 3, 2012). appeal for aid and assistance. Commonly, about
http://www.forbes.com/sites/ciocentral/2012/03/13 70 nations may respond by sending cash, relief
/japan-one-year-later-the-long-view-on-tech-supply goods, or personnel. The exceptional impact, suf-
-chains/ (Accessed May 2012). fering, and international response involved in the
Hiroko, T. “Anniversary of ‘Heartbreaking Grief’ in Haiti earthquake surely qualifies it to be regarded
Japan.” New York Times (March 11, 2012). http:// as a catastrophe, hence a disaster of exceptional
www.nytimes.com/2012/03/12/world/asia/a-year magnitude and impact.
-later-effects-of-japans-disaster-are-still-unfolding There have been numerous attempts to quantify
.html?ref=hirokotabuchi (Accessed May 2012). the thresholds at which events become disasters.
Murphy, P. “Chaos Theory as a Model for Managing For instance, the EM-DAT database of the Cen-
Issues and Crises.” Public Relations Review, v.22/2 tre for Research on the Epidemiology of Disasters
(1996). at the Catholic University of Louvain in Belgium
Perrow, C. Normal Accidents. New York: Basic defines disaster as involving 10 or more deaths and
Books, 1984. 100 or more people affected, and requiring a dec-
Wittenberger, K. and E. Dohlman. “Peanut Outlook: laration of a state of emergency or a call for inter-
Impacts of the 2008–09 Foodborne Illness national assistance. Although it is sometimes nec-
Outbreak Linked to Salmonella in Peanuts.” USDA essary to come up with a means of differentiating
Economic Research Service. (2010). http://www.ers or classifying such events, disasters are sufficiently
.usda.gov/publications/ocs/2010/02feb/ocs10a01 complex events to defy efforts to constrain them to
(Accessed May 2012). specific thresholds, and that is even truer of cata-
strophic disasters. In other words, such events are
in some way exceptional, but what defines “excep-
tional” is open to many different interpretations.
The advent of the 3rd millennium gave rise to
Catastrophe, Definition of some ill-conceived predictions of global catas-
trophe, but it did redress the balance after two
In the disasters literature there is controversy centuries in which the doctrine of uniformitari-
about whether the term catastrophe can be dif- anism had the upper hand over catastrophism.
ferentiated from disaster or whether they are The latter advocates large, violent events as the
synonyms. The word catastrophe, which first source of global changes, while the former the-
appeared in the English language in the 1500s, ory argues for gentle, continuous processes as the
comes from the ancient Greek word katastrophe, main source of developments. In reality, both the
meaning “overturning” or “sudden turn,” and its physical and the social evolution of the world
Latin derivative catastropha. It denotes a moment are functions of both catastrophic and continu-
of sudden cataclysm, in which things change inex- ous processes and are complex enough for it to
orably. Setting aside exaggeration and hyperbole, be very difficult to discern which of these is the
a catastrophe can be considered to be an unusu- more important. Moreover, catastrophic events,
ally large disaster. such as major volcanic eruptions, that can have a
In functional terms, a catastrophe can be differ- significant impact on global climate or social pro-
entiated from a disaster in the needs and responses cesses are very rare and hence cannot adequately
it generates (see Table 1). It is likely to overwhelm be evaluated statistically.
the capacity to respond of the local area that it Nonetheless, events have occurred that show
affects. It may also overwhelm regional capacity how the interlinking of phenomena can increase
and demand a national or international response. the potential for catastrophe. The Great East-
For example, the Haiti earthquake of January 12, ern Japan (or Tohoku) Earthquake and Tsunami
2010, killed at least 230,000 people and, because of March 11, 2011, involved a magnitude 9.0
100 Catastrophe, Definition of

Case Study: Events That Have

Shaped the Definition of Disaster
The Indian Ocean tsunami of December 26,
2004, affected 12 countries over a vast area of
Asia and Africa, killed about 230,000 people,
injured 125,000, and displaced 1.69 million.
It was generated by one of the 10 strongest
earthquakes in recorded history, with an
estimated magnitude of 9.1–9.3. It thus fulfills
any reasonable definition of a catastrophe.
However, one might say the same of some
rather smaller events. Hurricane Mitch, which
struck eight Caribbean and Central American
countries in late October 1998, killed 11,000
people, many fewer than the Haitian earthquake,
yet it is reckoned to have set back economic
development in some parts of the region (notably
in areas of Honduras and Nicaragua) by 20 years.
If it were not something of a contradiction in
terms, one might call Mitch a “catastrophe at
the local level.” In this sense the occurrence of
catastrophe is in direct relation to the sum total
of human suffering generated, but this is not
easily measured or even adequately conceivable A woman searches in the rain through debris where her house
in robust scientific terms. Nor is it uniform even once stood in Banda Aceh, Sumatra, Indonesia, in January 2005.
within a single disaster. The December 26 catastrophic earthquake and tsunami affected
12 countries in Asia and Africa, killing about 230,000 people.

earthquake, a maximum wave height of almost known as bifurcation theory and a special case
39 meters, and widespread contamination by of singularity theory in geometry. In this, small
radioisotopes emitted from the damaged Fuku- changes in a nonlinear system can cause abrupt
shima nuclear power plant. This was obviously changes in system state or behavior, the so-called
an exceptional event and, with 19,500 deaths, catastrophes, of which eight different models have
well within the bounds of catastrophe. But both been identified. Despite the name, little is inher-
natural events and human-induced catastrophe ently catastrophic about the theory, and its utility
(particularly that which involves nuclear fission) for modeling catastrophic situations is severely
could cause significantly worse events, perhaps limited. The higher-order singularities are too
orders of magnitude larger. Moreover, very high abstruse to model the trajectories of relevant vari-
death tolls are forecast for future earthquakes in ables in real life. The lower-order bifurcations do
cities such as Istanbul and Tehran, again diagnos- little to improve models based on simple abrupt
tic of the potential for catastrophe. changes of state. Hence, after a burst of enthu-
siasm in the 1960s and 1970s, the theory has
Two Further Interpretations relapsed to the status of an elegant but neglected
Two other interpretations of the term catastrophe mathematical formulation.
deserve mention. Both are hardly compatible with Second, in insurance circles the term catastro-
the matters discussed above. First, catastrophe phe is more widely and loosely employed than
theory is a subset of the branch of mathematics it is in science. Catastrophe insurance refers to
 Catastrophe, Definition of 101

Table 1 Differentiation of size of event by process and impact

Incidents Major incidents Disasters Catastrophes
Impact Very localized Generally localized Widespread and severe Extremely large
Response Local efforts Some mutual assistance Intergovernmental Major international
response response
Plans and Standard operating Emergency plans Emergency plans fully Plans potentially
procedures procedures activated activated overwhelmed
Resources Local resources Some outside assistance Interregional transfer of Local resources
resources overwhelmed
Public Very little involvement Mainly not involved Public very involved Extensively involved
involvement
Recovery Very few challenges Few challenges Major challenges Massive challenges
Source: Based on Tierney, Kathleen. “Hurricane Katrina: Catastrophic Impacts and Alarming Lessons.” In Risking House and Home:
Disasters, Cities, Public Policy, J. M. Quigley and L. M. Rosenthal, eds. Berkeley, CA: Institute of Governmental Studies, Berkeley Public
Policy Press, 2008.

protection against damage and losses caused by See Also: Crisis, Definition of; Emergency, Definition
natural disasters, such as earthquakes, floods, of; Hazard, Definition of; Hurricanes, Typhoons, and
and hurricanes. It is by no means universal nor Cyclones; Impact, Definition of; Tsunamis.
entirely effective at cushioning losses. The term
catastrophe here implies a differentiation between Further Readings
payments that result from single losses (a house “Hurricane Mitch: Where Now for Central America?”
that burns down, wind or water damage to an London: Central America Report, 1999.
individual building, etc.) and collective losses Karplus, Walter J. The Heavens Are Falling: The
in which insurance companies must pay out to Scientific Prediction of Catastrophes in Our Time.
many policyholders. In general terms, catastrophe New York: Plenum, 1992.
insurance is controversial because it can involve Michel-Kerjan, Erwann O. “Toward a New Risk
unusually large risks of insolvency and because Architecture: The Question of Catastrophe Risk
there are problems of raising enough capital to Calculus.” Social Research, v.75 (2008).
cover the risks. Quarantelli, Enrico L. “Catastrophes Are Different
From Disasters: Some Implications for Crisis
Conclusion Planning and Managing Drawn From Katrina.”
Sociologist Enrico L. Quarantelli wrote “What In Understanding Katrina: Perspectives from the
Is a Disaster?” for the November 1995 issue of Social Sciences. New York: Social Science Research
the International Journal of Mass Emergencies Council, 2005.
and Disasters. He noted, “… to be concerned Quarantelli, Enrico L. “What Is a Disaster?”
about what is meant by the term disaster is not International Journal of Mass Emergencies and
to engage in some useless or pointless academic Disasters, v.13/3 (November 1995).
exercise. It is instead to focus in a fundamental Tierney, Kathleen. “Hurricane Katrina: Catastrophic
way on what should be considered important and Impacts and Alarming Lessons.” In Risking House
significant. …” The same is true of the term catas- and Home: Disasters, Cities, Public Policy, J. M.
trophe, although in both cases the controversies Quigley and L. M. Rosenthal, eds. Berkeley, CA:
about meanings are unlikely to be resolved, even Institute of Governmental Studies, Berkeley Public
by very well-informed debate. Policy Press, 2008.
Woo, Gordon. The Mathematics of Natural
David Alexander Catastrophes. London: Imperial College Press,
Global Risk Forum, Davos 1999.
102 Catholic Relief Services

Catholic Relief Services to helping individuals return to their neighbor-

hoods with a 30-month, $38-million Community
Catholic Relief Services (CRS) is an international Resettlement and Recovery Program. The project
nonprofit organization that provides support for will potentially assist 25,000 families to return to
survivors in all crisis phases, from mitigation to their communities with integrated shelter, water
recovery. This brief introduction discusses the and sanitation, infrastructure, protection, and
history and contemporary characteristics of CRS, livelihoods solutions.
the philosophy of the organization, and its crisis Crisis management, however, is only one of
management practices. 12 different ways CRS serves the global commu-
nity. With the goal of addressing issues ranging
Organization from agriculture to HIV/AIDS and public policy
Initiated in 1943 by the Roman Catholic bish- to education, this diversity is also reflected in the
ops of the United States to serve war refugees in manner in which CRS approaches crises. The
Europe, Catholic Relief Services continues to focus organization views emergencies as a symptom of
on the poor internationally. Although a Catholic larger problems, and therefore any disaster relief
organization, CRS serves those in need no matter or recovery must be implemented alongside other
a person’s race, nationality, or creed. The organi- development strategies. As is noted in its mission
zation has traditionally focused on crisis relief and statement, the organization’s goal is to “promote
mitigation, though by the 1960s it had moved into human development by responding to major
sustainable community development efforts and emergencies, fighting disease and poverty, and
capacity building strategies for broader civil soci- nurturing peaceful and just societies.”
ety. The most recent statistics illustrate the contin-
ued activities of Catholic Relief Services. Based in Crisis Management Practices
Baltimore, Maryland, CRS has an annual budget As noted above, CRS approaches crises with a
of $823 million (fiscal year 2010), approximately holistic vision. This vision, defined by 18 prin-
5,000 employees worldwide, and tens of thou- ciples, fits under four general themes: focus on
sands of volunteers. It assists more than 100 mil- vulnerable populations, work with local actors,
lion people annually in nearly 100 countries. increase capacity throughout the process, and cre-
In addition, CRS belongs to a much broader ate capacities that will last beyond the interven-
international coalition, Caritas International. tion of the organization.
Caritas, with 165 organizations in more than 200 First, CRS bases programming strategies and
countries, is one of the largest networks world- decisions on the needs of affected populations,
wide aimed at reducing poverty and injustice. doing so in a timely manner. In particular, the
This connection enables CRS to significantly scale organization targets assistance toward the most
up its support capacity during and after a crisis. vulnerable populations; specifically, the aim is to
serve marginalized social identities such as the
Governing Philosophy poor, women, and children.
CRS bases its crisis management on its 60 years of Second, CRS involves community members
experience and Catholic social teaching. Some of and leaders. The organization makes it a point to
the guiding principles most relevant to emergen- ensure a legitimate representation of target popu-
cies include subsidiarity (focus on grassroots level lation input within the planning, implementation,
decision making and development), solidarity (all and evaluation of activities. Additionally, CRS
people play a role in mitigating crises), and the attempts to build upon the strengths of local part-
option for the poor (the most vulnerable must be ners and to develop their capacity to mitigate and
considered when decisions are made). respond to emergencies, while also integrating
A recent example of this was CRS’ involvement peace-building approaches and reducing inter-
in Haiti after the 2010 earthquake. The immediate group tensions.
response was the provision of food, water, shelter, Third, Catholic Relief Services takes a criti-
and sanitation to survivors. Once the immediate cal tack toward crisis management. The organi-
threat had passed, the organization transitioned zation uses a Catholic social justice approach,
 Centers for Disease Control and Prevention (CDC) 103

implementing strategies based on its assessment

of justice issues. Similarly, while CRS does address
Centers for Disease Control
the immediate problems after a disaster, it fur- and Prevention (CDC)
thers its work by also assessing the root causes of
the human vulnerability that turned a hazard into The Centers for Disease Control and Prevention
a disaster. This is illustrated by its long-term com- (CDC) focus on practical, applied, and academic
mitment to various projects and nations; in Haiti, research and supporting public health activities in
for example, the organization has been work- the United States. The CDC is housed in the U.S.
ing since 1954 implementing disaster response, Department of Health and Human Services. The
health, safety net (grassroots development pro- CDC comprises over 15,000 employees in 168
grams), and, more recently, HIV/AIDS programs. different occupation classes, working in over 50
Finally, CRS has clear guidelines that struc- countries. The majority of employees work at the
ture and inform its management efforts. CRS CDC headquarters in Atlanta, Georgia.
states that organizational management programs
should coordinate with other agencies, follow the History
emergency planning cycle, and be designed with On July 1, 1946, the Communicable Disease
an explicit exit strategy in order to prevent depen- Center (CDC) was started in Atlanta, Georgia,
dency. In addition, all programs should demon- as an extension of the Malaria Control in War
strate technical expertise and measurable indi- Areas (MCWA) agency from World War II. The
cators of positive results. Combined, these four MCWA’s and the CDC’s primary focus was eradi-
themes outline the core principles that define CRS cating malaria. The occupational classes were pre-
crisis management practices. dominantly entomologists and engineers, with a
In sum, Catholic Relief Services, under the ban- few medical doctors. In 1948, the CDC was recog-
ner of Caritas International, is one of the largest nized worldwide for its enterobacteriaceae patho-
religious organizations to work with crisis man- gens classification (i.e., E. coli, salmonella, and
agement. Its global reach and religious roots pro- Yersinia pestis). In 1951, the Epidemic Intelligence
vide a strong foundation for the long-term partic- Service was formed to protect citizens against
ipation of the organization in all aspects of crisis human-made epidemics and living weapons (bio-
management. logical) warfare. In 1958, for the first time, a CDC
team traveled overseas to investigate a southeast
Ryan Alaniz Asia smallpox and cholera epidemic. The first
Cal Poly State University CDC “biocontainment lab” was constructed in
1969. In 1970, the name of the CDC was offi-
See Also: Disaster Recovery; Nongovernmental cially changed to the Center for Disease Control;
Organizations; Preparedness; Response. in 1981, Center became Centers; and the words
and Prevention were added in 1992. In 1976, the
Further Readings CDC investigated a new lethal hemorrhagic fever
Caritas International. “Emergencies.” http://www.cari in Zaire and Sudan, which later became known
tas.org/activities/emergencies (Accessed April 2012). as Ebola. The Morbidity and Mortality Weekly
Catholic Relief Services. “Emergency Preparedness Report (MMWR) on June 5, 1981, described the
and Response Handbook.” (2011). http://www.crs first case of what would become known as AIDS
programquality.org/storage/pubs/emergencies/Emer (acquired immune deficiency syndrome). In 1993,
gencyPreparednessAndResponseHandbook.pdf the CDC investigated a vector-borne disease (e.g.,
(Accessed March 2012). rodents) in the southwestern United States that
Catholic Relief Services. “Report on Emergency became known as hantavirus. On July 1, 2011,
Capacity: Analysis for the Interagency Working the CDC celebrated its 65th anniversary.
Group on Emergency Capacity.” (2004). http://
www.ecbproject.org/downloads/resources/emergen Organization of the CDC
cy-capacity-report-ver-july-14-final.pdf (Accessed The CDC as an organization comprises the Office
March 2012). of the Director (administrative), the National
104 Centers for Disease Control and Prevention (CDC)

Institute for Occupational Safety and Health antitoxins, chemical antidotes, IV administration,
(NIOSH), and the Center for Global Health. The and medical/surgical supplies. The SNS is made
NIOSH investigates and prevents workplace- available in emergencies and when public health
related illnesses and injuries. The Center for response efforts at the state and local levels are
Global Health is focused on managing and coor- overwhelmed. The DSNS provides technical assis-
dinating public health issues of infectious dis- tance to state and local jurisdictions. The DSNS
eases, noncommunicable diseases, public health also coordinates the delivery, storage, distribu-
emergencies, refugee health, and addressing and tion, and dispensing of the SNS pharmaceutical,
reducing injuries around the world. There are vaccines, and medical resources at the federal,
also five offices of the CDC: (1) Infectious Dis- state, and local levels.
eases; (2) Non-Communicable Diseases, Injury, The DEO is responsible for the CDC emer-
and Environmental Health; (3) Public Health Pre- gency public health management efforts of pre-
paredness and Response; (4) State, Tribal, Local, paredness, assessment, response, recovery, and
and Territorial Support; and (5) Surveillance, Epi- evaluation. Like other emergency management
demiology, and Laboratory Services. Under each groups, the DEO is in operation before, during,
of these offices are a number of specialized divi- and after a public health emergency. The DEO
sions and departments. operates the CDC’s Emergency Operations Cen-
ter (EOC) and develops response plans, conducts
Public Health Preparedness and Response training and regular exercises, and performs after-
All CDC offices focus on crisis management and action reports. The CDC EOC is a slight varia-
emergency/disaster preparedness. The coordinat- tion of NIMS EOC because it is focused on public
ing body is the Office of Public Health Prepared- health, such as acts of terrorism (i.e., dirty bombs)
ness and Response (PHPR; formerly known as the and noncommunicable and infectious disease out-
Coordinating Office for Terrorism Preparedness breaks. The CDC EOC is staffed 24 hours a day,
and Emergency Response). The PHPR manages, can staff up to 230 people during an emergency,
prepares, and supports (monetary and nonmone- and is able to deploy medications, collect samples
tary) activities addressing terrorism and emergen- and specimens, and transport expert staff to any-
cies across international, federal, state, and local place on the planet. Deployment for domestic
public health offices. Under the PHPR are sev- issues occurs within two hours after notification
eral divisions and offices, such as the Division of and in six hours for international emergencies.
State and Local Readiness (DSLR), the Division Another program of the PHRP is the Divi-
of Strategic National Stockpile (DSNS), the Divi- sion of Select Agents and Toxins (DSAT), which
sion of Emergency Operations (DEO), the Divi- operates the Select Agent Program. The DSAT
sion of Select Agents and Toxins (DSAT), and the promotes laboratory safety and security through
Office of the Director (OD). Each of these divi- inspection and enforcement of special agent regu-
sions plays a supportive role in crisis management lations, including the possession, use, and trans-
and emergency/disaster preparedness. port of toxins (called special agents) and bio-
The DSLR is responsible for managing and logical agents that pose a serious threat to public
coordinating Public Health Emergency Prepared- health. The CDC works with the U.S. Department
ness (PHEP) cooperative agreements that provide of Justice, Criminal Justice Information Services
funding to state and local public health in emer- Division (CJIS), to aid in regulation, compliance,
gency preparedness and response efforts. The and enforcement. The CJIS approves individu-
PHEP works in the National Incident Manage- als/groups requiring access to select agents and
ment System (NIMS) framework in conjunction performs security risk investigations. DSAT also
with state and local response efforts. The DSNS works in conjunction with the U.S. Department
is responsible for the Strategic National Stock- of Agriculture agency called the Animal and Plant
pile (SNS), which is a national repository for Health Inspection Service (APHIS) to regulate the
antibiotics (oral and IV), vaccines, airway equip- possession, use, and transport of special and bio-
ment (i.e., oral airway, endotracheal tubes, and logical agents that are a serious threat to plant
bag valve masks), ventilators, serum containing and/or animal populations or products.
 Chaos Theory 105

The Office of the Director (OD) is the admin- management, this article explains the major com-
istrative body of the CDC. Among many other ponents of chaos theory that are widely applied
administrative activities, the OD runs the Career metaphorically to crisis situations.
Epidemiology Field Officer Program, which uti-
lizes PHEP funds to recruit, train, and develop Sensitive Dependence on Initial Conditions
epidemiologists for state and local public health Sensitive dependence on initial conditions is com-
departments. The OD also oversees the Prepared- monly referred to as the “butterfly effect.” Com-
ness and Emergency Response Learning Centers, plex systems are open and sensitive to environ-
which is a network of higher education depart- mental influences, and these stimuli may affect
ments throughout the United States that prepares many parts of the system directly or indirectly. The
the public health workforce. butterfly effect explains that within systems are
complex relationships between the parts, which
Andrew Hund may cause some parts of the system to interact and
Umea University behave in unexpected or seemingly random ways.
The butterfly effect explains that small variations
See Also: Cholera; Ebola Virus; Epidemics; in the initial conditions of the system can have a
Infectious Disease; Influenza; Malaria; Measles; large and disproportional impact on a system’s
Noncommunicable Diseases; Pandemics; Public future behavior. For example, the introduction of
Health Surveillance; Quarantine; Severe Acute a new species to an ecosystem can radically change
Respiratory Syndrome (SARS); Smallpox; the entire ecosystem because of the complex rela-
Tuberculosis; Vaccinations. tionships within the system. As applied to crisis
management, the butterfly effect illustrates the
Further Readings need for emergency professionals to remain mind-
Clements, B. Disasters and Public Health: Planning ful of how crises are complex and different and to
and Response. Oxford: Butterworth-Heinemann, avoid treating similar crises as identical.
2009.
McCormick, J. and S. Fisher-Hoch. Level 4: Virus Fractals
Hunters of the CDC. New York: Barnes & Noble, Fractals are naturally occurring phenomena that
1999. are used by crisis management scholars to rep-
Zhang. D. Public Health Preparedness, Emergency resent and explain complex system behavior. A
Response, and the CDC: Public Health in the 21st natural fractal that is commonly referred to in the
Century. Hauppauge, NY: Nova Science, 2011. crisis literature is a head of Romanesco broccoli.
Looking at the head of broccoli, several scales are
visible simultaneously. “Scale” refers to the van-
tage from which we observe an object or phenom-
enon. The scale at which something is observed
Chaos Theory dramatically affects the perceptions or reality of
what is being viewed. For example, looking at
Chaos theory recognizes there is a natural ten- our first scale of the entire head of broccoli, we
sion between order and disorder. Where one see there is an identifiable, repeating pattern in
expects to find order, one find chaos, and where the broccoli’s overall design. As we move toward
one expects to find chaos, one finds order. Chaos a smaller scale, the individual florets, there is a
theory is an extension of systems theory; however, similarity in the pattern between the head and
it adds a fundamental paradigmatic shift from a the floret. At an even smaller scale, the buds on
worldview comprising linear systems to that of the florets repeat the same pattern as those found
nonlinear systems. This shift in paradigm allows at the previous two scales. Although the design
for a more complex understanding of how sys- of the broccoli may change slightly from scale to
tems work but reduces the scientific certainty that scale, the “self-similar” pattern is repeated. Chaos
cause-and-effect relationships offer. To explain theory holds that if one observes a single event at
chaos theory and how it relates to the area of crisis too close a scale, it is impossible to determine an
106 Chaos Theory

Fractals allow multiple scales to be viewed simultaneously. An example of a naturally occurring fractal that is commonly used in crisis
literature is a head of Romanesco broccoli. Several scales, or vantage points, are simultaneously visible in the whole head of broccoli,
which shows a repeatable design. On a smaller scale, there is a similarity in the pattern between the head and each individual floret.
At an even smaller scale, the buds on the florets repeat the same pattern as those found at the previous two scales.

underlying pattern. Fractals allow multiple scales The search for order revolves around “strange
to be viewed simultaneously, revealing the true attractors,” which in the field of crisis manage-
complexity of the system and the underlying pat- ment may be agencies such as the police and fire
terns that are repeated throughout the system. departments or values such as corporate mission
The word fractal comes from the Latin word statements and community values.
fractus, which literally means broken or frac- Crisis scholars have applied fractals to a vari-
tured. This ironic definition reveals a central tenet ety of crisis management issues such as safety
of chaos theory: there is order in disorder. The and maintenance procedures that were unable
underlying order of a system is revealed in the to detect changes in the system before a crisis
repeating patterns of fractals. In times of rapid occurred, community emergency preparedness
systemic change, this underlying order of the sys- activities that were not robust enough to confront
tem works to restore stability, or “equilibrium,” complex emergencies, and flood prediction meth-
within the system. The pattern of the system’s ods that did not account for the natural complex-
behavior may change in response to changes in ity of the environment to accurately predict flood
the system (self-organizing); however, each new levels. These applications of fractals to emergency
pattern is similar to the previous pattern (self- situations illustrate that a macroscopic view of a
referencing), so that the identity of the system is system is useful for understanding the true magni-
preserved in the search for restored equilibrium. tude of crises.
 Chaos Theory 107

Feedback and stabilize the system before it escalates into a

Systems theory recognizes two distinct forms of crisis situation.
feedback: positive and negative. Even though the An example of positive feedback can be under-
types of feedback are called negative and positive, stood through the feedback noise of a micro-
the type of feedback does not place a value on phone. The squealing noise is the result of the
the content of the message. Instead, the types are same noise being amplified over and over, and
differentiated by how a system uses the feedback. something must be changed in the system for the
Negative feedback is seen as regulatory, while squealing to stop. Adjusting the volume of the
positive feedback is seen as a signal to change. amplifier, moving the location of the speakers, or
Although these theoretical components are changing the way the voice enters the microphone
originally from systems theory, they are widely is necessary for the squealing noise to subside and
used in the application of chaos theory to crisis normal operations to resume. While the squealing
management. noise is occurring, the entire system is disrupted
“Negative feedback” refers to signals that reg- and unable to function. Some examples of posi-
ulate a system. The dashboard of an automobile tive feedback in the practice of crisis management
has many negative feedback instruments designed may include strange instrument readings that
to regulate the consistent operation of the vehicle. may be disregarded because they are unexpected,
The fuel gauge provides feedback on the amount small failures that are temporarily fixed but the
of fuel in the tank, so that the vehicle does not root causes are ignored or unknown, or strange
run out of fuel. The same type of negative feed- variances in system behavior that do not cause
back loop works in the human body. When a immediate harm and are not pursued because the
body needs food, the stomach may growl and the system temporarily recovers. Such positive feed-
individual feels hungry. This negative feedback back is often ignored for continued efficiency;
is intended to regulate energy and maintain the however, the cost of ignoring positive feedback
system’s equilibrium. Examples of negative feed- may be great when a crisis results.
back loops are commonly found in the regulatory
instruments used in industry to keep operations Bifurcation
running smoothly, the observation instruments Bifurcation refers to the process when a system
used in environmental scanning (e.g., water lev- radically changes its behavior, identity, and/
els or temperature changes) to make necessary or structural makeup to respond to changes in
adjustments in dam levels or power needs, and the environment. When a system’s routine is no
maintenance procedures used to regulate safe, longer able to maintain the status quo of opera-
efficient operating conditions. tions, the system adapts its behavior creatively to
“Positive feedback” is a signal that a change evolve with purpose (greater resiliency). These
is needed within the system. Positive feedback adaptations are bifurcations, which split from
is often missed or ignored by negative feedback the status quo. “Bifurcation” means to split into
loops designed to regulate specific conditions. two, but a system can undergo rapid bifurcation
Positive feedback is usually outside the norm of in times of crisis to provide the system with mul-
what regulators commonly look for, and over time tiple options for adaptation. Bifurcation points
these ignored signals are amplified throughout the are often met with fear because the system can
system. Eventually, the system reacts in a massive change so radically that individuals lose the abil-
and surprising reorganization in an attempt to ity to make sense of the situation. However, in
adapt to the change in the system. This reorgani- organizations that survive bifurcation, the system
zation is often found to be the cause of bifurcation evolves creatively with increased complexity to
points (see below) that lead to many large and a new environment. If a system is successful in
complex crises, because the surprising behavior its evolution, it will be more resilient to similar
of the system often overwhelms the expectations events in the future. After a bifurcation, the sys-
and preparations of organizations. By recognizing tem will not return to the status quo. Instead, the
positive feedback through mindful observations, a system will be changed forever and operate in a
system can help organizations recognize problems “new normal.”
108 Chemical Risk

Crisis management scholars use the component also be utilized to monitor the ambient conditions
of bifurcation to explain how the onset of a cri- for the presence of chemical hazards. Toxicologi-
sis or trigger event occurs, magnifies, and radi- cal effects can be localized or systemic, immedi-
cally affects the entire system. Bifurcations result ate or delayed, and may require specific antidotes
in increased complexity and restructuring that for treatment. Crisis management of chemical
enable surviving organizations to be more suc- risk therefore requires a thorough understanding
cessful in a new normal. of the various hazards presented by the specific
properties of the chemical or chemicals involved.
JJ McIntyre Ultimately, individuals properly trained to handle
University of Central Arkansas hazardous chemicals should conduct emergency
response operations.
See Also: Cascading Crisis; Cosmology Episode;
Interdependence; Nonlinearity. Physical Properties
The physical form of a chemical (i.e., liquid, solid,
Further Readings gas) and other physical properties such as smell,
Gleick, J. Chaos: Making a New Science. New York: density, and volatility can affect the level and
Viking, 1987. nature of chemical risk. Gases that are heavier than
Murphy, P. “Chaos Theory as a Model for Managing air can concentrate in low-lying areas, while those
Issues and Crises.” Public Relations Review, v.22/2 lighter than air will be more likely to disperse and
(May 1996). minimize potentially hazardous exposure concen-
Perrow, C. Normal Accidents: Living With High-Risk trations. Liquids need to be contained to prevent
Technologies. Princeton, NJ: Princeton University uncontrolled migration. Dense liquids will sink to
Press, 1999. the bottom of waterways, while less dense liquids
Sellnow, T. L., M. W. Seeger, and R. R. Ulmer. will float and affect the shoreline. Miscible liquids
“Chaos Theory, Informational Needs, and Natural like ethanol can severely alter oxygen content,
Disasters.” Journal of Applied Communication, affecting aquatic life. Highly volatile liquids can
v.39/4 (November 2002). create inhalation hazards. While some chemicals
Wheatley, M. J. Leadership and the New Science: have odor thresholds that provide good warning
Discovering Order in a Chaotic World. 2nd ed. properties, many others are hazardous when no
San Francisco, CA: Berrett-Koehler, 1999. odor is detectable. Solids are typically less mobile
than gases or liquids, but powders, granules, or
dusts can create significant airborne particulate
hazards during windy conditions.

Chemical Risk Chemical Properties

Chemical risks are frequently defined by the
Transportation incidents, industrial accidents, chemical properties of flammability, corrosivity,
plant fires, natural disasters, and terrorist attacks decomposition, and pH. Corrosives are chemicals
can result in the high-level release of chemicals. with extremely high or extremely low pH that
When a crisis arises following an accidental or can cause irreversible tissue destruction at the site
intentional chemical release, the specific physi- of contact. Many irritants are diluted corrosive
cal, chemical, radiological, and toxicological chemicals present at a more neutral pH. Hazard-
risks must be identified. Whether the chemical is ous decomposition products can be formed when
a solid, liquid, or gas can present significantly dif- a chemical compound breaks down because it is
ferent oral, dermal, and inhalational risks. Chem- unstable, or reacts with common environmental
ical properties such as flammability, pH, and reac- chemicals such as water or oxygen. There are
tivity with water or other chemicals are crucial flammable gases, liquids, and solids.
characteristics to understand in order to mitigate Chemical properties can also be utilized to mon-
the hazards they represent. Chemical properties itor airborne levels of chemicals. Lower explosive
of ionization, flammability, and reactivity can limit (LEL) detectors can be used to monitor for
 Chemical Risk 109

flammability and explosive hazards. Photoioniza- also provides a variety of chemical information.
tion detectors (PID) are portable chemical moni- Long-term environmental cleanup levels are pub-
tors that can be used to measure the concentration lished by federal and state agencies for air, soil,
of a wide range of volatile organic compounds. and water. These include the risk-based screening
Colorimetric detector tubes take advantage of levels (RSLs) published by the U.S. Environmen-
specific chemical reactions to quantify chemical tal Protection Agency (EPA).
concentrations.
Emergency Response
Toxicological Properties All workers who are involved in operations that
Toxicological properties are properties of a chemi- may involve exposures or potential exposures to
cal that can manifest adverse health effects if indi- hazardous chemicals should receive specific train-
viduals are exposed over sufficient concentrations ing to ensure that they are able to perform their
and time frames. Toxicological risks are investi- duties without endangering themselves or others.
gated and quantified by a variety of regulatory, In the United States, the OSHA Hazardous Waste
industry, and advisory organizations. Risk assess- Operations and Emergency Response Standard
ments extrapolate from epidemiologic, clinical, (HAZWOPER) mandates this training. The spe-
toxicological, and environmental research and cific physical, chemical, radiological, and toxico-
infer the risk of potential harm to people. This logical risks as well as the site-specific consider-
process results in formulation of health-protec- ations are all factored into a plan to mitigate the
tive guidelines. Toxicological effects tend to vary hazards of the chemical release. Appropriate types
depending on the length of exposure. As such, and levels of personal protective equipment (PPE)
exposure guidelines are published for specific need to be determined and available to workers
time frames to account for short-term (acute) and involved in the remediation. Environmental test-
long-term (chronic) effects. Additionally, expo- ing will ultimately reveal when the site has been
sure guidelines are determined for different popu- adequately remediated.
lations such as workers and the general popula-
tion, which includes sensitive subgroups such as David Cawthon
children and the elderly. Center for Toxicology and Environmental Health
In the United States, the Occupational Safety
and Health Administration (OSHA) Permissible See Also: All-Hazards; Chemical Weapons;
Exposure Limits (PELs) are legally enforceable Evacuation; Hazardous Materials; Hazardous Waste
values set to protect worker health and safety. Disposal; Health and Medical Response Scenarios;
However, the regulatory process limits timely Nuclear and Radiological Weapons; Petrochemical
updates of these values, and therefore, exposure Risk; Safety Policies; Terrorism.
levels published by member-based organizations
like the American Conference of Governmental Further Readings
Industrial Hygienists (ACGIH) are frequently American Conference of Governmental Industrial
more representative of the current understanding Hygienists. http://www.acgih.org/home.htm
of the hazards presented by workplace exposure (Accessed March 2012).
to hazardous chemicals. The American Industrial American Industrial Hygiene Association.
Hygiene Association (AIHA) publishes Emergency “Emergency Response Planning Guidelines.” http://
Response Planning Guidelines (ERPGs) that esti- www.aiha.org/insideaiha/GuidelineDevelopment
mate the concentrations at which most people in /ERPG/Pages/default.aspx (Accessed March 2012).
the general population will begin to experience European Commission. “ESIS: European Chemical
health effects if they are exposed to a particular Substances Information System.” http://esis.jrc.ec
chemical for one hour. Protective Action Crite- .europa.eu (Accessed March 2012).
ria (PAC) and Acute Exposure Guideline Levels National Library of Medicine. “WebWiser.” http://
(AEGLs) are additional guidance values aimed webwiser.nlm.nih.gov (Accessed March 2012).
at protecting the general public. The European U.S. Environmental Protection Agency. http://www
Chemical Substances Information System (ESIS) .epa.gov (Accessed March 2012).
110 Chemical Weapons

Chemical Weapons During the Iran–Iraq War in 1980, Saddam

Hussein ordered the use of mustard gas and the
Chemical weapons involve the use of chemical nerve agent tabun. An estimated 100,000 Iranian
agents and their toxic properties against military solders were victims of chemical attacks. Many
forces or specific populations during chemical war- were casualties of mustard gas, and approxi-
fare. Chemical agents used as weapons have been mately 20,000 were killed by the nerve agent.
called “the poor man’s atomic bomb,” primarily In the spring of 1995, the Japanese cult and
because chemical agents are easier to acquire than terrorist group Aum Shinrikyo perpetrated an
a nuclear weapon but can have devastating effects attack on the Tokyo subway with the nerve
on their target population. Additionally, chemical agent sarin. Even though the group’s method
agents can exist in gaseous, aerosol, and liquid of dispersing the sarin was not as effective as
states and can be dispersed through a variety of planned, it still resulted in the death of 12 per-
routes depending on their desired effects. sons and exposure of approximately 160 to the
The following expands on the concept of chem- nerve agent; another 5,000 worried and thought
ical warfare by providing a history of chemical they had been exposed. The medical facilities
warfare and the use of chemical agents; the dif- were overwhelmed, and the city was in a panic.
ferent categories of chemical agents, including The Aum Shinrikyo had succeeded in terrorizing
their health effects and treatment; and essential Japanese society.
elements to identify chemical agents.
Categories of Chemical Warfare Agents
The History of Chemical Warfare There are six categories of chemical warfare
Research tells us that chemical weapons have agents. Originally there were five, but tearing
been used for over a thousand years. They have agents are often listed separately from incapaci-
been used to conquer armies and to terrorize soci- tating agents.
ety throughout history.
Ancient history reveals numerous cases of the 1. Nerve agents include sarin, tabun, soman,
use of chemical weapons. In the fourth century and VX. They have properties similar to
b.c.e. during his campaign in India, Alexander pesticides in high concentrations. Their
the Great and his army were attacked with poi- health effects include the following:
son arrows and incendiaries that created suffo- »» Exposure through inhalation and/or
cating smoke. There is also evidence that as far direct contact with skin
back as 1000 b.c.e. China used burning balls of »» Loss of bodily fluids through vomiting,
mustard and other toxic plants to smoke out its diarrhea, and saliva
enemies hiding in tunnels. Additionally, the Spar- »» Abdominal pains
tans attacked Athens, Greece, using a combina- »» Muscle twitching and weakness
tion of wood, pitch, and sulfur to create a nox- »» Visual difficulties
ious smoke, hoping to incapacitate their enemy. »» Loss of consciousness
Later, during the American Civil War, a New »» Convulsions
York schoolteacher proposed the use of chlorine »» Difficulty breathing
gas in artillery shells. However, there is no evi- Treatments for nerve agents include the
dence that this idea was ever used. following:
The Germans were the first to use chemi- »» Remove victim from source of
cal agents in artillery shells during World War exposure
I. There is evidence that they used a form of »» Decontaminate clothing and skin
bromide against the Russians and chlorine gas »» Administer antidotes: atropine,
on the French, Canadian, and Algerian troops. pralidoxime, and diazepam
However, it is a fact that chlorine, phosgene, and »» Ventilation
mustard gas were used by both sides, resulting in 2. Blister agents include mustards, lewisite,
over a million casualties and tens of thousands of and phosgene oxime. Their health effects
fatalities. include the following:
 Chemical Weapons 111

»» Exposure through inhalation and/or intended victim(s). These types of agents

direct contact with skin and eyes include hallucinogens such as LSD and
»» Reddening of skin vomiting agents like Adamsite. Their
»» Blisters filled with liquid health effects include the following:
»» Sloughing of skin »» Hallucinogenic agent effects can last
»» Damage to lungs with pulmonary for an hour to days
edema »» Confusion
»» Immediate severe pain with lewisite »» Sleepiness
Treatments for blister agents include the »» Hallucinations
following: »» Loss of concentration
»» Remove victim from source of »» Delirium
exposure »» Vomiting
»» Decontaminate immediately to prevent »» Headache
damage »» Nausea
»» Irrigate eyes »» Diarrhea
»» No antidote for mustards or phosgene »» Abdominal cramps
oxime—only supportive care »» Changes in mental status
»» Antidote for lewisite is dimercaprol »» Death can occur with excessive
3. Choking agents include ammonia, exposure
chlorine, hydrogen chloride, nitrogen Treatments for incapacitating agents include
oxides, phosgene, and phosphine. Their the following:
health effects include the following: »» Supportive care
»» Irritate and damage throat, airways, »» Symptoms may dissipate over a few
and lungs hours to days
»» Choking and shortness of breath 6. Tearing agents include tear gas and pepper
»» Can also irritate eyes spray, which are used for riot control or
Treatments for choking agents include the to defend against individual attackers.
following: Their health effects include the following:
»» No antidote available »» Severe burning sensation and tearing
»» Only supportive care of eyes
4. Blood agents include hydrogen cyanide »» Irritation of nose and throat
and cyanogen chloride. Health effects of »» Coughing
blood agents include the following: »» Difficulty breathing
»» Hyperventilation »» Vomiting
»» Headache »» May cause scarring and permanent
»» Dizziness damage
»» Vomiting Treatments for tearing agents include the
»» Convulsions following:
»» Breathing may stop within 3–5 »» Remove victim from source of
minutes exposure
»» Cardiac arrest »» Irrigate eyes
»» Cyanogen chloride may also irritate
eyes, airways, and lungs Identifying Chemical Agents
Treatments for blood agents include the There are six essential elements that assist in iden-
following: tifying the chemical agent.
»» Ventilate
»» Administer antidotes: sodium nitrate 1. Characteristics
and sodium thiosulfate »» Descriptive elements:
5. Incapacitating agents are chemical agents »» Color (i.e., VX is amber in color)
used to incapacitate rather than kill their »» Odor (i.e., mustard smells)
112 Chief Security Officer

»» Consistency (i.e., VX is oily) Agency (FEMA); Food Security; Health and Medical
»» Physical state: Response Scenarios; National Response Framework;
»» Vapor (i.e., sarin can be dispersed as Terrorism.
a vapor)
»» Aerosol (i.e., Adamsite is Further Readings
disseminated as an aerosol) Mayor, A. Greek Fire, Poison Arrows, and Scorpion
»» Liquid (i.e., VX is a liquid hazard) Bombs: Biological and Chemical Warfare in the
»» Persistency (i.e., VX can remain on Ancient World. Rev. ed. New York: Overlook
the ground for weeks, while sarin Press, 2008.
evaporates quickly) Office of the Surgeon General. Textbook of Military
2. Toxicology Medicine: Medical Aspects of Chemical and
»» Average incapacitating dosage Biological Warfare. Part I. Washington, DC:
»» Average lethal dosage Department of the Army, 1997.
3. Physical findings (see above) Sidell, F., W. Patrick, T. Dashiel, K. Alibek, and
»» Symptoms of the victims S. Layne. Jane’s Chem-Bio Handbook. 2nd ed.
»» Large number of dead animals in an Alexandria, VA: Jane’s Information Group, 2002.
area U.S. Army Medical Research Institute of Infectious
4. Protection required Diseases. USAMRIID’s Medical Management
»» Personal Protective Equipment (PPE) of Biological Casualties Handbook. 4th ed.
may be mask only or protective suit Washington, DC: U.S. Army, 2007.
»» Immediate action(s) may include U.S. Defense Threat Reduction Agency. Weapons
moving out of the contamination of Mass Destruction Handbook—Terms and
5. Medical management (see above) Operational Overview. Washington, DC: U.S.
»» Antidotes Defense Threat Reduction Agency, 2005.
»» Treatments Venzke, Ben N. First Responder Chem-Bio
6. Decontamination Handbook: A Practical Manual for First
»» Neutralize using copious amounts of Responders. Alexandria, VA: Tempest Publishing,
soap and water 1998.
»» Chemical destruction by using a
solution of bleach for contaminated
surfaces

Conclusion Chief Security Officer

This overview on chemical warfare, including
some of the history of chemical warfare and the Organizations must go beyond managing risks
use of chemical agents; the different categories in silos and build an enterprise-wide risk man-
of chemical agents, including health effects and agement (ERM) function so that a full spectrum
treatment; and the essential elements to iden- of risks is addressed wisely, systemically, and
tify chemical agents provides only a baseline for professionally. As a business enabler, corporate
understanding chemical warfare. Further study security should be integrated into the overall
and research is required to identify the essential risk management framework, resulting in deeper
elements for each chemical agent and to know penetration into business risks. The demand has
how to effectively respond in the event of a chem- grown for a more holistic approach to corporate
ical attack. security management. For example, the conver-
gence of information technology (IT) security
Bruce A. Thompson needs to be more closely aligned with physical
Joint Task Force National Capital Region Medical security and other corporate security functions
under the umbrella of ERM. Such a convergence
See Also: Chemical Risk; Department of Homeland is especially necessary for the protection of an
Security (DHS); Federal Emergency Management organization’s brand and reputation as a result
 Chief Security Officer 113

of improved risk intelligence sharing, collabora- blunders continue to show that reputational risk
tive decision making, and strategic risk focus and can pose the greatest threat to an organization’s
oversight from the top. stability and value and result in drastic implica-
Former Deloitte Chief Executive Officer (CEO) tions for the companies involved. It is important
Bill Parrett also provides new insights into corpo- for reputational risk to be fully integrated into
rate security and risk management. In his book risk assessments. During a crisis, business lead-
The Sentinel CEO: Perspectives on Security, Risk, ers may also overconcentrate on the impacts on
and Leadership in a Post-9/11 World (2007), facility and business at the expense of people
Parrett gives his views that following 9/11, the risk. For example, the lack of a robust crisis
security of physical assets and other major secu- management plan and team could lead to a full-
rity events such as pandemics and terrorism, as blown situation that is discernible to the public
well as technology hackers, are top of mind for and ultimately become a trust issue both inter-
business executives today. ERM has become an nally and externally.
increasingly visible and important management
solution, especially for the newer and more com- Enterprise Security Risk Management
plex risks. Parrett also recognizes the ascension of Enterprise security risk management (ESRM)
the chief security officer (CSO) as a new senior- exists to ensure that the risks traditionally associ-
level position on the corporate organizational ated with security but not always covered by ERM
chart that is fast becoming a key decision maker are properly considered and treated. In order for
in the top management of many U.S. companies ESRM to be successful, corporate security needs
and an indispensable ally of the CEO. to be able to collaborate seamlessly with other
control functions, such as compliance and inter-
The “FIBER” Corporate Security Model nal audit, to enhance the organization’s security
One corporate security approach is found at posture. In the course of implementation, corpo-
Deloitte, where FIBER is a practical model for the rate security would also need to build effective
protection of all organizational assets with physi- interfaces with other key support functions, such
cal, personnel, and information security mecha- as human resources, communications, legal, IT,
nisms as well as crisis management and business safety, and facilities management. Not only does
continuity strategies. This model provides com- the CSO need to understand the security threats
bined security and safeguards as needed to pro- and risks to the organization and its people, but
tect the five asset classes: facility, information, he or she should also take an active role in under-
business, employee, and reputation (FIBER). standing the nature of business operations, envi-
According to this model, security is a value- ronments, and events in order to be able to ana-
added service with an emphasis on proactive lyze any potential reputational risk implications.
prevention rather than reactive enforcement. All An organization should focus on the following
security programs are based upon threat and key areas to maximize the value of security and
risk assessments and security recommendations pursue security risk mitigation proactively:
tailored to individual and facility requirements.
Security is everybody’s business. The vigilance • Physical security
and involvement of every employee is needed • Information security
under the leadership and guidance of a profes- • Personnel security
sional and competent security organization. The • Crisis management
key protection principles of “deter, detect, delay, • Business continuity
and respond” are used to provide a total security
risk mitigation response. In addition, there should be a systematic
The FIBER corporate security model dem- approach to acquiring and analyzing the risk intel-
onstrates that for risk assessment purposes, the ligence necessary to support senior leaders of the
consequence analysis should estimate the poten- organization in the protection of assets and the
tial impacts on all five primary asset classes. allocation of security resources. A corporate secu-
Recent high-profile international crises and rity risk assessment methodology consistent with
114 Cholera

that used by risk management should be adopted See Also: Reputational Risk; Risk Assessment; Risk
to analyze threats and vulnerabilities, assess risks Treatment.
to the organization, and develop recommenda-
tions for enterprise-wide risk mitigation. Senior Further Readings
management also needs to engage with the secu- ASIS International. “Enterprise Security Risk
rity agenda to set its risk appetite in navigating Management: How Great Risks Lead to
the risk landscape. Great Deeds.” The CSO Roundtable of ASIS
International. (2010). http://www.asisonline.org
Corporate Security Programs /education/docs/CSORT_ESRM_whitepaper_2010
In greater detail, the following corporate security -04.pdf (Accessed July 2012).
programs should form the baseline security initia- Deloitte and Touche LLP. “The Convergence of
tives that a CSO should focus on the following: Physical and Information Security in the Context
of Enterprise Risk Management.” Report. Alliance
• Security strategy planning for Enterprise Security Risk Management, 2007.
• Security planning for significant events Parrett, William. The Sentinel CEO: Perspectives
• Security review/capability assessment/gap on Security, Risk, and Leadership in a Post-9/11
analysis World. Hoboken, NJ: Wiley, 2007.
• Security risk assessment
• Physical security threat and vulnerability
assessment
• Emergency response planning
• Crisis management planning Cholera
• Travel security program
• Private executive protection program Following every natural disaster, one of the most
• Pandemic planning common and rapidly spreading outbreaks, affect-
• Business continuity planning ing hundreds of people around the developing
• Security education and awareness countries of Africa, Asia, and Latin America, is
workshop/training cholera, contracted after a person is infected by
• Privacy and information protection the Vibrio cholerae bacterium. Patients suffer
• Corporate investigation from frequent diarrhea, which often escalates into
• Drills and exercises dehydration and even death. Treatment options
for the disease generally include oral rehydration
A Risk-Intelligent Chief Security Officer and a course of antibiotics to reduce the effects
A risk-intelligent CSO should understand the of the disease. However, during any post-disas-
dynamics between corporate security and enter- trous event, providing victims access to both can
prise risk management. All primary asset classes be challenging and requires proper management;
should be duly considered for a total asset protec- coordination is needed before, during, and after
tion under ERM. According to the FIBER security an outbreak occurs.
concept, the consequence analysis should cover
any impacts on facility, information, business, Pre-Outbreak Management
employees, and reputation. A simple, consistent, In preparing for any disastrous situation, the
and effective security risk assessment methodol- key step that needs to be taken is to identify the
ogy, an early security warning system, and the people who will likely be affected by the disas-
supporting major corporate security initiatives ter, the services and resources that are likely to
that a CSO should focus on in his/her everyday be needed, and, finally, the responsible party
professional life are important elements for enter- who is willing and has the capacity to provide
prise security risk management to be successful. the required services. Before a cholera outbreak
occurs in vulnerable areas, it is therefore neces-
Paul Yung sary to first identify highly populated areas with
Independent Scholar possibly contaminated drinking water and poor
 Cholera 115

sanitary conditions. Once these areas are identi- appropriate. These facilities should keep large
fied, the next step is to form a monitoring team quantities of safe running drinking water, good
that can confirm possible outbreaks. Members of sanitation facilities, medicines, IV and rehydra-
this team should include doctors, epidemiologists, tion fluids and energy drinks, and trained medi-
microbiologists, and water contamination and cal professionals (a full list of required resources
sanitation experts. Using modern database and can be found in the World Health Organization’s
mapping software, including geographic informa- (WHO) required cholera supply list). In situations
tion systems (GIS) and remote sensing, the team where clean water supplies are not available, vari-
should try to identify the locations of the possi- ous types of on-site purification chemicals (such
ble victims, locations of the contaminated water as chlorine) would need to be gathered and pre-
sources, and locations of sanitation facilities, as pared for any possible outbreaks. Oftentimes,
well as the nearest possible clinics and hospitals international and governmental organizations,
that are able to take care of patients in case an along with local nongovernmental organizations
outbreak occurs. GIS can also be used to iden- (NGOs), are responsible for taking care of such
tify locations that would be suitable for setting mitigation and preventive measures.
up new treatment facilities. Although hospitals
and clinics are ideal locations for treating chol- Outbreak Management
era victims, sometimes larger facilities capable of Usually, a cholera outbreak is confirmed by epide-
handling large numbers of people (e.g., schools, miologists and medical professionals once 10–20
churches, and mosques, etc.) would be more cases are reported. Once confirmed, the first step

A Centers for Disease Control and Prevention Public Health Prevention Service cholera treatment center in Haiti, November 2010. Cholera
is easily controlled in most settings, but because of the poor water quality and sanitation problems in the aftermath of the January 2010
earthquake, cholera had an ideal setting in which to spread. As a result, tens of thousands of Haitians contracted cholera.
116 Civil Protection

is to notify the nearest health officials as well as deaths. Post-outbreak studies should also be con-
the WHO. Emergency management teams need to ducted in order to identify areas, age groups, and
be formed, and these teams need to collect data on socioeconomic conditions of the affected victims.
the victims in terms of their locations, attack rate, The agencies that were involved in monitoring,
areal extent of the patients, age, gender, and any testing the water contaminants, and taking care
other medical conditions they may be reporting. of the victims, as well as the funding agencies that
It is also essential that the general public be made provided the funds and the appropriate use of
aware of the outbreak. Various media outlets, such funds, should all be examined. Looking at
including television and radio, newspapers, flyers, all of these critical issues will then facilitate effec-
billboards, and loudspeakers, can all be used to tive management of future cholera outbreaks.
notify the public. The public also needs to be noti-
fied of the symptoms and the actions they can take Muhammad Tauhidur Rahman
to save the lives of victims. The message needs King Fahd University of Petroleum and Minerals
to be clear, concise, and simple to understand so
that poor and uneducated people (as this is often See Also: Epidemics; Infectious Disease; Mass Care;
the case in developing countries) can understand Public Awareness and Education.
and follow the instructions. As mentioned above,
during the time of the outbreak, careful attention Further Readings
needs to be given to the purity of drinking water Bhunia, R. and S. Ghosh. “Waterborne Cholera
supplies. Separate male and female public toilets Outbreak Following Cyclone Aila in Sundarban
and latrines also need to be provided if they are Area of West Bengal, India, 2009.” Transactions
not available, and they need to be cleaned on a of the Royal Society of Tropical Medicine and
regular basis. The users should also have access to Hygiene, v.104/4 (2011).
antibacterial soaps and sanitizers so that the public Sack, D., R. B. Sack, G. B. Nair, and A. K. Siddique.
can clean their hands after defecation. When pre- “Cholera.” The Lancet, v.363/9404 (2004).
paring foods, kitchen areas should be clean, and World Health Organization. “Cholera Outbreak:
raw fruits and vegetables should be separated from Assessing the Outbreak Response and Improving
cooked foods to prevent contamination. The chol- Preparedness.” (2004). WHO/CDS/CPE/ZFK/2004
era bacterium grows very well in moist environ- .4. http://www.who.int/topics/cholera/publications
ments at room temperature; therefore, foods such /cholera_outbreak/en/index.html (Accessed April
as milk, potatoes, beans, and eggs should never 2012).
be prepared more than an hour before eating. For
babies, breastfeeding is the most hygienic choice
for food during the outbreak. Victims who die
during the outbreak should have proper funerals
with preventive measures taken in order to avoid Civil Protection
contaminating other people with the bacterium.
In the field of emergency response, basic terminol-
Post-Outbreak Management ogy is used somewhat loosely and often in ways
After any natural disaster and epidemic out- that translate poorly between one language and
breaks, it is important to reflect on the past events another. Although the following two basic defi-
in order to prepare future mitigation and emer- nitions may not be adhered to in the naming of
gency management plans. In cholera-endemic particular services, they are used for the sake of
areas, it is essential to monitor rivers, ponds, fish developing logical arguments. Civil defense sig-
farms, and other virus-causing agents so that an nifies an emergency response system that is cen-
outbreak can be contained. Also, crisis manage- tralized at the level of national government and
ment personnel should study previous outbreaks is designed to protect vital national institutions
in order to assess what worked and what did not and their functionaries, and eventually the gen-
in terms of saving human lives. Past victims should eral public, against acts of armed aggression
be monitored for their health conditions and any by foreign powers or particular groups. Civil
 Civil Protection 117

protection is a locally based emergency response bag containing a gas mask, and a few torches and
system designed to protect the general public and ropes. The personnel mainly consisted of men
key institutions against the effects of emergen- who, for one reason or another, were deemed
cies, crises, and disasters of all kinds and to help unfit to send to the front as soldiers.
ensure safety at large events such as mass gather- On March 5, 1946, during a speech at Westmin-
ings. Other terms used include civil security, pub- ster College, Fulton, Missouri, Winston Churchill
lic safety, and emergency preparedness. Hence, noted that “From Stettin in the Baltic to Trieste
civil defense is usually a centralized, “top-down” in the Adriatic an iron curtain has descended
system managed by a national government, while across the Continent [of Europe].” The 1940s
civil protection is a “bottom-up” system that has thus ended with the rise of the Cold War and a
its roots in local organization, although it will radically new role for civil defense. Preparations
need harmonization, support, and coordination were made to survive a thermonuclear exchange
at the national level. The primacy of national (if such were ever possible). The emphasis was
laws, and the distinctive legal and administrative placed on underground refuges and command
systems used in different countries, means that centers; robust, secure, and encrypted communi-
these systems are rarely pan-national, although cations systems; a general air of secrecy; military
interoperability across national borders is becom- forms of command and the use of paramilitary
ing increasingly desirable. auxiliaries; and extraordinary powers ready to be
assumed by governments—or their remnants. The
Evolution of Emergency Response Systems entire system assumed that nuclear war would be
To understand the distinction between civil survivable, but that there would be an instanta-
defense and civil protection, it is necessary to neous breakdown in public order.
look back some decades into history. The ante-
cedents of modern civil defense can be found at The 1970s and 1980s
various points in history, including, for example, In the 1970s and 1980s, civil defense under-
during the American Civil War. However, in its went a gradual decline. First, there was a slow
modern form, civil defense probably began on a withdrawal from the mentality of the Cold War,
particular morning in April 1937. This is when coupled with a growing sense of détente between
a flight of new Axis Messerschmitt aircraft took the superpowers. Second, people and planners
off from Germany to bomb the Basque town began to recognize the demonstrable futility of
of Guernica, where there was a meeting of the many of the preparations made to survive a puta-
Spanish Republican government. It was the first tive nuclear strike, and the waste of resources
concerted aerial bombardment in history, and that these entailed. Third, the growing effect of
Pablo Picasso depicted the agony and destruction natural disasters demanded new and more effec-
in his famous painting of the event. The quasi- tive forms of organization. However, in many
spontaneous organization of protection for the countries progress in this last field was slow as a
noncombatant population was the beginning of result of political polarization (a remnant effect
a process that grew enormously during the bom- of the Cold War) and the effects of corruption
bardments of 1940 through 1945. Indeed, Ger- and, when it was unmasked, very public scan-
many ended World War II with one of the best- dals. Nevertheless, the fall of the Berlin Wall in
organized and most extensive civil defense forces 1989 ushered in a new period of the decline of
of all countries. the authoritarianism that had motivated the civil
The purpose of civil defense forces in the 1940s defense of the Cold War. For a period of about
was to conduct search-and-rescue operations, five years there was also a “peace dividend,” and
cordon off damaged areas, put out incendiary resources could be devoted to new means of pro-
bombs, look after the survivors, and maintain tecting the public.
public order in areas subject to bombardments. As a movement, civil protection began to emerge
These processes were known in Great Britain as in the 1970s in response to the cumulative effect
Air Raid Precautions (ARP). The equipment used of natural disasters in causing misery, casualties,
was rudimentary: often only a helmet, a canvas destruction, and disruption of daily life. The end
118 Civil Protection

of the Cold War, and the temporary cessation of Counterterrorism Activity

associated “proxy wars” supported in third world
countries (e.g., Afghanistan) by the great pow- Organization Stockpiling
ers, led to a reduced risk of coups d’êtat at home • procedures • equipment
• event scenarios • supplies
and hence fewer excuses to repress the domestic
• emergency plans
population. Meanwhile, the age of the interna-
tional disaster began, with increased participation Training
Intelligence
in major catastrophes (eventually, after the 2010 • plan dissemination
• collection
Haiti earthquake, 129 countries sent aid). • interpretation • exercises
One catalyst was the United Nations’ Inter- • warning Involvement of
national Decade for Natural Disaster Reduc- civil protection
tion (IDNDR, July 1990–June 2000). This was Surveillance Analysis
first proposed in 1984 as a decade for moni- • automatic (OCTV) • laboratory
toring extreme natural phenomena, but once it • manual (personnel) • forensic
reached the UN’s General Assembly, the repre-
sentatives of low- and middle-income countries Figure 1 Involvement of civil protection forces in typical civil
had it transformed from a technology-based sci- defense activities
entific initiative into one that offered a chance
of improving the relationship between develop-
ment and disasters. In the end, 140 countries
set up national committees for the IDNDR and local organization of civil protection services, and
some large transnational projects were inaugu- in diverse countries also the quality of national
rated, as were several large conferences designed coordination structures.
to review and promote strategy. The effects were
mixed, as the Decade did not greatly reduce the Twenty-First Century
effects of disaster, but it did promote interna- In synthesis, in the 2000s, civil protection finally
tional collaboration and strategic aims for disas- distinguished itself from civil defense. It is orga-
ter risk reduction. The Decade was followed by nized at the local level (predominantly that of the
the consolidation of international mechanisms municipality), with support and harmonization
into the UN’s permanent International Strategy from higher levels of government. It is explicitly
for Disaster Reduction (UNISDR), which con- a service for the general public, and it tackles
tinues to do much good work in this field. UN- natural and anthropogenic risks of a nonbellicose
level international disaster response, as opposed nature. Figure 1 indicates how civil protection
to disaster reduction, remains the preserve of the participates in only some of the actions attribut-
Office for the Coordination of Humanitarian able to civil defense. Hence, there is a connection,
Affairs (UN-OCHA). but it should not lead to the subsuming of civil
Civil protection (often in all but name) has protection into the civil defense system.
benefited from several trends: increased global The events of September 11, 2001, in the United
collaboration and the sharing of knowledge, the States rapidly consolidated a trend that had begun
increasing impact of information and communica- to emerge a handful of years before. This was the
tions technology, and improved agendas for train- return of civil defense in a new form. The name
ing. Under civil defense, the typical protagonist chosen for it in the United States was Homeland
was a middle-aged, ex-military man of a certain Security. The threat of armed aggression from
rank, now enjoying a second or third career in particular nation-states had lessened (other than
civilian life. Finally, trained young people began in covert form by proxy), and it had increased
to appear, including those from particular eth- from dissident groups. This required reorganiza-
nic backgrounds. In many cases, women proved tion on the part of national forces to combat the
to be particularly good emergency managers, emerging and mutating threats of domestic and
but unfortunately they remain in the minority. international terrorism. In the United States, the
There remained a pressing need to improve the Federal Emergency Management Agency (FEMA),
 Civil Protection 119

responsible in all but name for civil protection, the EU’s Monitoring and Information Centre
was subsumed under the mantle of Homeland (MIC). A report written in 2005 by Michel Barnier,
Security, which encompassed 150 national orga- the former French foreign minister, recommended
nizations and required the greatest reorganiza- the setting up of a transnational European disaster
tion of the federal government since the creation response force, but it has not been implemented.
of the Department of Defense in 1947. For bet- The EU’s 27 nations and various affiliates have
ter or worse, other countries followed the lead of five different legal systems and all the differences
the United States. Many failed to note that forms in public administration that stem from contrasts
of organization that are appropriate for a fed- between monarchies, federal republics, island
eral state are not necessarily ideal in a nonfederal states, centralized republics, and so on. A single
one, in which the relationship between the central European civil protection organization is thus vir-
government and the regions is different from that tually impossible, although advances in interoper-
pertaining under federation. This problem was ability are both possible and sorely needed.
graphically illustrated by the debacle of Hurricane Two models of organization pioneered by Italy
Katrina, in which federal aid to the affected states have gained traction in other European countries
was slow and inefficient, but the states themselves and elsewhere. Commonly, at the national level,
lacked sufficient resources and organization to civil protection is an organ of the ministry of the
respond adequately to the disaster. interior (or similar agency), with the minister as
nominal head of the service. In 2000, Italy briefly
Current Organization experimented with making the national civil pro-
The two words safety and security are clearly dif- tection organization an independent agency but
ferentiated in English, but not necessarily when found that the level of financial dependency on
translated into other languages. In the simplest other organs of government was too great for
terms, civil protection deals with the former and this to be effective. Hence, it made the Italian
civil defense with the latter. Some countries, nota- Department of Civil Protection a dependency
bly Italy, have clearly articulated and fully insti- of the national cabinet under the nominal head-
tutionalized distinctions between the two systems, ship of the prime minister. The advantage lies in
but many do not. New Zealand, for example, has increased efficiency of relationships with other
a Ministry of Civil Defense and Emergency Man- ministries, notably health, public works, and eco-
agement, whose main competencies lie in provid- nomic affairs. This arrangement was made a non-
ing civil protection support to regions, districts, binding directive of the European Union and was
and municipalities affected by natural disaster, a adopted by, among others, the United Kingdom
typical civil protection role. Likewise, the Defensa and Sweden.
Civil of Colombia enjoys a typical civil protection The second model involved a fusion between
structure, with decentralized committees at local domestic and overseas disaster response (and
and regional levels. Some other countries have in the case of Italy also cross-boundary Euro-
left their disaster response with a paramilitary pean response). As the same forces and com-
structure redolent of earlier forms of civil defense. mand structures have often been used in both
China effectively began to modernize its emergency (or all three) kinds of operations, it made sense
response in the wake of the May 2008 Wenchuan to amalgamate their administrative structures.
earthquake in Sichuan Province. It remains depen- Subsequent to this, the European Commission
dent on the People’s Liberation Army because of created a new Directorate General that fused
the need for copious organized human resources. the civil protection arm, formerly under DG
Despite the internationalization of disaster Environment, and the European Communities
response, civil protection remains a national Humanitarian Office (ECHO).
competency virtually everywhere. In the Euro- The essence of good emergency response and
pean Union (EU), for example, there is a Direc- management is that there be a complete system,
torate General of the European Commission (the with a strong base at the local level, especially
executive body of the EU) that deals with disaster that of the municipality. There also needs to be a
response at the supranational level, largely through cascade of information, resources, and command
120 Civil Protection

such that the national and international levels of procedures. Ever since then, there has been a grad-
disaster response are properly connected to the ual process of demilitarization of civil protection.
regional and local ones. In virtually all countries, The extent to which it has occurred is virtually a
the system is a mosaic of different levels of devel- measure of the degree of evolution of an emer-
opment, in which there are points of innovation gency response service. One reason is that it is now
and areas of laggard underdevelopment. The widely recognized that authoritarian approaches
worst cases are those in which international forces to the management of civilian emergencies are
and United Nations Disaster Assistance Response counterproductive. Second, the impact of informa-
Teams (DARTs) must take over because of a lack tion and communications technology, now widely
of local and national forces. The international used in emergency management, has been to flatten
disaster response system is by nature inefficient, the chain of command. There is now more empha-
as resources (e.g., search-and-rescue forces) that sis on autonomous task forces than on command
should be present locally need to be flown long and control. More weight is given to collaboration
distances, with attendant delays and possible logis- and information sharing than to obeying orders.
tical shortcomings upon arrival. Other countries, Third, training and improvements in equipment
such as Colombia, have systems that are excellent have greatly increased the professionalism of
on paper but largely absent when one arrives in civil protection operatives, whether they are first
the regions and searches for the relevant agencies responders or emergency managers. Finally, emer-
and organizations. gency planning has begun to emerge as a distinct
Civil protection is a cooperative enterprise that profession and to differentiate itself from military
requires the conjunction of government forces, planning (it bears a stronger resemblance to urban
the private sector, and civil society organizations. and regional planning than to battlefield tactics).
In the United Kingdom, key private companies At the same time, new challenges have emerged
are required by law to prepare for disaster and that will doubtless endow the process of adapta-
participate in the emergency response system. tion with yet more stimuli. Natural and anthro-
These include the providers of public utilities and pogenic hazards are constantly changing, and so
transportation. The role of civil society organi- is the balance between vulnerability and resilience
zations is highly variable from one country to in society. Civil protection forces must participate
another. Most of these are voluntary organiza- in the emerging endeavors of disaster risk reduc-
tions. Whereas the age of spontaneous volun- tion, the creation of resilience, and the promo-
tarism in disasters is well and truly over, the tion of safe, sustainable lifestyles. Climate change
degree to which volunteer societies are organized, may increase the imperative to bring the disas-
given a role in disaster response, and endowed by ters problem under control. Emerging risks—for
law with rights and responsibilities varies mark- example, those associated with pandemic influ-
edly. In Germany and Italy, volunteer organiza- enza—threaten to change the civil protection
tions are the backbone of the system. Technisches landscape abruptly and radically, and they require
Hilfswerk (THW) has 630 bases in Germany; the substantial adaptation of plans and organization.
Venerable Company of the Misericordie has been Meanwhile, the general public’s demand for safety
providing volunteer disaster assistance in Italy and security fluctuates with the varying salience
since 1244 c.e. Voluntarism is a key element of of disasters on the public agenda.
the civil protection system in Australia, where In the near future, the relationship between
many communities are too small and isolated civil protection and civil defense (however they
to be served adequately by salaried forces. Else- are referred to and dealt with in each country) will
where, it is much less significant. In Abu Dhabi, continue to be an uneasy one. Civil defense has
for example, organized voluntarism is a newly responded to asymmetric threats with a series of
established element of the civil protection system. measures designed to provide security to the public
that have instead put civil liberties seriously under
New Trends in Civil Protection threat. Yet the biggest challenge of the present cen-
The civil defense forces of the 1940s were para- tury is to democratize the response to the threat of
military and governed by military command disaster. The risks are simply too large to be borne
 Civil War 121

solely by professional planners and responders: Waugh, William L., Jr., and Kathleen Tierney.
The general public must necessarily assume part of Emergency Management: Principles and Practice
those risks itself. This requires not reduced liberty for Local Government. 2nd ed. Washington,
but participatory governance. The public must be DC: International City/County Management
induced to take disaster risk seriously and ensure Association Press, 2007.
that civil protection is a well-supported service
that is applicable to all constituencies in society
and is sustainable through economic downturns
and all other socioeconomic changes.
Civil War
David Alexander
Global Risk Forum, Davos A civil war is a war between organized groups
within the same nation-state. It is a high-inten-
See Also: Collaboration; Command and Control; sity conflict, often involving the armed forces
Contingent Coordination; Coordination; Coping of the state against irregular armed forces, that
Capacity and Response Capability; Department of is organized, large scale, and sustained over a
Homeland Security (DHS); Emergency Management, fairly lengthy period of time, for example, Leba-
Principles of; Emergency Management Agencies, non in 1975–90. The aim of one side may be to
City and County; Emergency Management System; take control of the country, for example, Libe-
Emergency Manager; Emergency Responders; ria from 1989 to 1996 and again from 1999 to
Federal Emergency Management Agency (FEMA); 2003, or to achieve independence for a region, for
International Strategy for Disaster Reduction, UN example, Biafra from Nigeria from 1967 to 1970,
(UNISDR); Interoperability; National Response or to change a government, for example, Libya
Framework; Office for the Coordination of in 2011, or its policies. It generally results in a
Humanitarian Affairs (OCHA), UN; Political large number of casualties and uses significant
and Organizational Leadership; State Emergency resources. On average, civil wars, since the end of
Management Agencies; Volunteer Coordination. World War II, have lasted for at least four years.
According to the 1949 Geneva Conventions,
Further Readings four conditions define an armed conflict amount-
Alexander, David. “From Civil Defense to Civil ing to a civil war. First, at least one side must have
Protection—And Back Again.” Disaster Prevention control over a part of national territory; second,
and Management, v.11 (2002). the insurgents must exercise some authority over
Alexander, David. “The Voluntary Sector in the population within a section of that national
Emergency Response and Civil Protection: Review territory; third, the insurgents must be recognized
and Recommendations.” International Journal of as having a fighting capability; and fourth, the
Emergency Management, v.7 (2010). recognized government uses its regular military
Farazmand, Ali. Handbook of Crisis and Emergency forces against the insurgents, who must them-
Management: Public Administration and Public selves be organized as a military force.
Policy. Boca Raton, FL: CRC Press, 2011.
Miller, DeMond S. and Jason D. Rivera, eds. Causes of Civil War
Comparative Emergency Management: Examining Between 1945 and 1999, there were 25 wars
Global and Regional Responses to Disasters. Boca between different countries in which at least 100
Raton, FL: CRC Press, 2011. people were killed on each side and the overall
Organisation for Economic Co-operation and total exceeded 1,000. The total number killed in
Development (OECD). Italy: Review of the Italian battle during these 25 wars is estimated to be 3.33
National Civil Protection System. Paris: OECD, million. In contrast, in the same period, there were
2010. approximately 122 civil wars in which at least
Trim, Peter R. J. “Disaster Management and the Role 1,000 people were killed, and the total number
of the Intelligence and Security Services.” Disaster killed, at a conservative estimate, is 16.2 million.
Prevention and Management, v.12 (2003). Excluding anticolonial wars, which amounted
122 Civil War

Case Study: Civil War in Angola

It was not until the early 1940s that the country which was a colony of South Africa at the time,
of Angola—a Portuguese colony for 400 years— had been used as a military and strategic support
was constituted as it is known today. Although base for operations against the MPLA. Later, a
independence was not achieved until November largely U.S.-brokered treaty signed in New York by
1975, two groups—the People’s Movement for the protagonists paved the way for independence
the Liberation of Angola (MPLA) and the National for Namibia and the withdrawal of Cuban troops,
Front for the Liberation of Angola (NFLA), operating which by then numbered 50,000, from Angola.
from neighboring countries—commenced a The United Nations agreed to a verification mission
guerrilla campaign, known as the Angolan War of (UNAVEM I; Security Council Resolution 435
Independence, as far back as 1961. Five years [1988]}, which oversaw the complete withdrawal
later, a third group, the National Union for the Total of Cuban troops. However, despite a cease-fire
Independence of Angola (UNITA), was formed. The agreement, the fighting continued. With the Cold
civil war can be broken into three periods separated War still ongoing, whatever its internal causes,
by two periods of relative peace. The first period, Moscow and Washington saw the Angolan civil war
from 1975 to 1991, was followed by less than a as a subplot in the global balance of power. As a
year of relative calm before hostilities occurred result, UNITA leader Savimbi made a number of
again from 1992 to 1994. This was followed by trips to the United States, where he met with both
three years of peace until 1998. There was then Presidents Ronald Reagan and George H. W. Bush.
renewed conflict until, in 2002, the MPLA finally In May 1991, Savimbi and President Santos met
prevailed. in Lisbon, with the Portuguese government acting
as mediators. The result was the Bicesse Accords,
The Early Years which laid out transition to a multiparty democracy
The Alvor Accord, signed by Portugal and the three under the supervision of the Security Council’s
independence movements—the MPLA, UNITA, UNAVEM II Mission (Resolution 696 [1991]),
and FNLA—in 1974, called for a transitional which lasted until February 1995. Elections for
government comprising all three. However, when president were held in which Santos received
the Portuguese left in 1975, the leader of the 49.57 percent of the vote and Savimbi 40.6
MPLA, Agostinho Neto, backed by the Soviet Union percent. Savimbi, together with a number of other
and Cuba, declared the formation of the People’s election observers, claimed that there had been
Republic of Angola. UNITA, led by Jonas Savimbi, irregularities but, in any event, because no one had
and supported by the United States and South received 50 percent, another round was necessary.
Africa, declared the country would be known as Negotiations on how and when another election
the Social Democratic Republic of Angola with its should be conducted quickly broke down, and there
headquarters in Huambo, and the FNLA declared was renewed fighting.
that the country would be known as the Democratic The following year, 1993, a major battle between
Republic of Angola, based in Ambriz. Twelve government forces and UNITA, which lasted from
days later, the FNLA and UNITA became allies, January to March and which cost 12,000 lives,
proclaiming a coalition government in Huambo with ended with UNITA victorious. Although by this time
co-presidents and co–prime ministers. the United States and South Africa had stopped aid
Neto died in 1979 and was succeeded by Jose to UNITA, military supplies continued to come from
Santos, and throughout the next nine years there Zaire. By August, UNITA controlled 70 percent
were continuous hostilities between the MPLA, of territory, but government forces rallied and, in
claiming to be the legitimate government, and just over a year, were back in control of 60 percent
UNITA. In 1988, South Africa, Cuba, and Angola of the country, forcing UNITA to sue for peace.
agreed to cease-fires in Angola and neighboring The result was the Lusaka Protocol of October
Namibia as part of a regional peace deal. Namibia, 1994, under which there was to be a government
 Civil War 123

of reconciliation, joint armed forces (FAA), and a including the loss of UN aircraft over UNITA-
national police force (ANP). In February 1995, held territory, meant the Security Council finally
UNAVEM III (Security Council Resolution 979 terminated MONUA’s mandate, and most of its
[1995]) took over from UNAVEM II to assist in the forces left by the end of March 1999, although
restoration of peace and to oversee the achievement the UN maintained a presence there through the
of national reconciliation. establishment of the United Nations Office in
In March 1996, Santos and Savimbi agreed to Angola (Resolution 1268 [1999]).
form a coalition government, and in June, Savimbi Dissatisfied with Savimbi’s leadership, a number
was offered the post of vice president under of UNITA commanders formed a breakaway group,
Santos. Savimbi accepted the position in August UNITA Renovada, in late 1998, after which Santos
and announced the end of the civil war in Angola. refused to negotiate with Savimbi, only talking
However, he had second thoughts and refused it, as to the breakaway group. Over the next two years,
a result of which Parliament abolished the position. many more deserted Savimbi, and in February
Nevertheless, in April 1997, the Government 2002, he was killed by government forces. The
of Unity and National Reconciliation (GURN) leadership of UNITA was briefly taken over by the
was formed, but further progress was seriously vice president, but he died of natural causes less
undermined by UNITA’s failure to comply with the than a month later, so the leadership passed to
terms of the Lusaka Protocol. As a consequence, Secretary-General Paulo Lukamba. The following
in August 1997, the UN Security Council imposed month, the government announced the cessation
sanctions on UNITA (Resolution 1135 (1997), of military operations, and commanders from both
prohibiting UNITA leaders from traveling abroad, sides met to agree on the terms of a cease-fire; a
closing UNITA embassies abroad, and making the Memorandum of Understanding was signed as an
area controlled by UNITA a no-fly zone. In June addendum to the Lusaka Protocol. UNITA’s new
1998, UNITA’s bank accounts abroad were frozen leadership demobilized its armed forces in August
(Security Council Resolution 1173 (1998). and declared itself a political party.
To assist with the peace and reconciliation
process, the Security Council authorized the setting Illegal Arms
up of a peacekeeping force, MONUA, on June 30, During the latter stages of the conflict, a ban on
1997 (Resolution 1118 [1997]), to oversee the weapons was violated on numerous occasions,
extension of government control over the whole with the Angolan government acquiring arms and
country, and the demilitarization of UNITA forces, equipment from, among others, the Ukraine, the
and to ensure the neutrality of the Angolan National Czech Republic, India, Kazakhstan, and Slovakia,
Police. Meanwhile, the United Nations, with the while UNITA acquired its arms and equipment from
support of three observer states—Portugal, the countries such as North Korea. False documents
Soviet Union, and the United States—continued were used to describe the contents of the freighters
its efforts to bring Santos and Savimbi together to delivering the arms.
overcome their deep-rooted mistrust of each other.
A lack of significant progress, for which, Funding the War
again, UNITA was held responsible, meant that UNITA’s funding for the war, particularly when
the United Nations extended MONUA’s mandate support from the West declined, came primarily
every three months until February 26, 1999. In from the mining of diamonds. Despite international
June 1998, the secretary-general reported to the sanctions, it is estimated that UNITA received
Security Council that there had been a marked nearly $4 billion from diamond sales, much of
deterioration in the security situation in the which was spent on the acquisition of arms. Hence
country, which included new mine-laying activities, came the term sometimes used with regard to
the deaths of civilians and the destruction of Angola and other diamond-producing African states
property, and displaced persons fleeing into involved in civil wars: blood diamonds.
neighboring countries. Further deteriorations, (Continued)
124 Civil War

(Continued) to clean water supplies, and 30 percent of children

Effects of the Angolan Civil War were dying before reaching the age of 5 years; life
Between 1975 and 2002, an estimated 500,000 expectancy was less than 40 years. A product of
people were killed during the war and well over this particular war, as has been the case in other
4 million people—approximately one-third of the parts of Africa, was the use of child soldiers by all
population—were displaced. The war devastated the sides and the forceful marriage of underage girls to
infrastructure and administrative setup left behind soldiers, particularly to those belonging to UNITA. It
by the Portuguese and effectively prevented any is estimated that during the war, approximately 15
economic growth. At the end of the war, the United million land mines were laid. A demining operation
Nations claimed that up to 80 percent of Angolans that commenced as far back as 1994 is not
lacked basic medical care, 60 percent lacked access expected to be completed until 2014.

to 13, the regions most prone to civil war dur- Collier and Anke Hoeffler on one side and by
ing this period were Asia and sub-Saharan Africa James Fearon and David Laitin on the other. The
(over 30 each); north Africa and the Middle East, Collier-Hoeffler model suggests that civil war is
followed by Central and South America (17 and more likely where one ethnic group in the country
14, respectively); Eastern Europe and the former is dominant, as was the case in the Rwandan civil
Soviet Union (9); and finally, Western Europe (2). war (1990–93).
Some of the early civil wars following the end However, the Fearon-Laitin model suggests
of World War II were, in fact, anticolonial wars; that it is not the ethnic makeup of the country
some people suggest these were wars of liberation that is important in the lead-up to civil war;
but, given the above definition, they consisted rather, it is a country’s prosperity or lack of it.
of the armed forces of the state against irregular Those countries that enjoy a reasonable standard
armed forces, such as the French military forces of living appear almost impervious to civil war
against the National Liberation Front (FLN) in no matter what the ethnic mix is. Rather, it is the
Algeria (1954–62). On a number of occasions, poor countries where civil war is most likely. Even
these civil wars have also been described as insur- there, they only occur where the government is
gencies or guerrilla campaigns. In such cases, at brutal, overtly corrupt, or so weak that it does
least during the early stages, those opposing the not have control over the whole country, such as
government forces were often quite weak, being, in Sudan from 1955 to 1972 and 1983 to 2005.
as they were, lightly armed and either hiding
within a sympathetic population or making use Effects of Civil War
of terrain (mountains or forests) that was difficult The effects of a civil war can be catastrophic for
for the conventional government military forces the civilian population. Whole communities can
to penetrate, or they used cross-border sanctu- be displaced, making millions of people homeless.
aries. An important aspect in terms of whether Women and children invariably bear the brunt;
an insurgency or a guerrilla campaign is likely the number of widows and orphans can increase
to grow into a full-scale civil war, in which both dramatically. Civil wars also interfere with both
sides become roughly equal, is the efficiency of the physical and mental development of children
the government’s police and military forces at the by destroying schools and immersing children in a
beginning of the campaign. Insurgents are more culture of violence. Worse still, some children are
likely to survive and grow if the government either forcibly recruited into or willingly join the
forces are brutal, corrupt, poorly equipped, and armies of one side or the other because they see
not particularly efficient. no alternative. People are prevented from meeting
There are two main schools of thought as to their basic needs because crops are destroyed or
the causes of modern-day civil war, led by Paul large sections of land become unusable. Although
 Civil War 125

it may sometimes be the by-product of war, it is save thousands of lives, it is an extremely haz-
often an intentional act by one side to reduce or ardous operation for the aid agencies because
destroy the other side’s support base. Such tactics there have been occasions when the combatants
include the planting of land mines on farmland; on one side or the other have deliberately tar-
the deliberate destruction of crops and livestock, geted aid workers to gain control over relief sup-
poisoning wells; terrorizing civilians through exe- plies. But it can also prolong civil wars because
cutions, torture, rape, conscription, and resettle- of what is known as “aid taxation.” This is a
ment; and denying food as a weapon to displaced form of tax, paid by an aid agency to the side
and starving populations. controlling the area, frequently by way of a per-
centage of the relief supplies, to gain access to
Humanitarian Aid the affected civilian population, which is then
Humanitarian aid or relief aid is an attempt by used to feed combatants.
the international community to reduce the suf- Although the International Committee of the
fering during civil wars. It normally involves Red Cross (ICRC) has constantly reminded both
the provision of tents, food, and sanitation, sides in civil wars that they should abide by the
thus reducing the effects of the weather, hunger, rules of international law and make a clear dis-
thirst, and disease. Frequently, those in greatest tinction between civilians and combatants, this
need are in a conflict zone during a civil war. has rarely been heeded.
Therefore, although an effective and well-timed
humanitarian relief operation has the capacity to Famous Civil Wars
There have, of course, been a host of civil wars
over the centuries. England underwent three civil
wars between 1642 and 1651 between the Par-
liamentarians (Roundheads) and the Royalists
(Cavaliers) that ended with the execution of King
Charles I and the declaration of the Common-
wealth of England (from 1649 to 1653), which
itself was replaced by the Protectorate, from 1653
to 1659, under the rule of Oliver Cromwell.
The American Civil War, which took place
between 1861 and 1865, occurred following the
election of Abraham Lincoln as president when
seven southern states, in which slave labor was
used, declared their secession from the United
States and formed the Confederate States of Amer-
ica; these were closely followed by the remaining
four states in which slave labor was used. Even-
tual victory for the North meant the end of slav-
ery, but not until the death on both sides of some
620,000 soldiers and an undetermined number of
civilians.
The Spanish Civil War, between Nationalists
and Republicans, took place between 1936 and
1939, resulting in the establishment of a dictator-
ship under General Francisco Franco, which was
to last for over 35 years. The Chinese Civil War
A World War II poster from the Pennsylvania State Council of was fought between the Chinese Nationalist Party
Defense, printed between 1941 and 1943, emphasizes the and the Chinese Communist Party between 1927
primary idea of civilian protection: a locally based emergency and 1949, except for a brief period during the
response system designed to protect the general public. Second Sino–Japanese War when the two sides
126 Civilian Protection, Post-Conflict

joined together to form the Second United Front. those nations. With the end of the Cold War,
Once Japan was defeated in 1945, the two sides however, conflicts between states began to decline
renewed the conflict until the Communists occu- as conflicts within nations increased. The levels
pied the whole of mainland China, leaving the and types of violence that characterized these
Nationalists in Taiwan. conflicts were increasingly complex, states were
often collapsed or on the verge of failure, and
Tony Moore civilians were frequently displaced and/or threat-
Institute of Civil Protection ened with physical violence. In response to this
and Emergency Management trend, the Security Council—the United Nations’
organ responsible for the maintenance of interna-
See Also: Arms Control; Border Disputes; Doctors tional peace and security— began to authorize the
Without Borders; Drought; Ebola Virus; Ethnic deployment of multidimensional peacekeeping
Cleansing; Failed States; Famine; Global Food operations, designed to support the implemen-
Crisis; Interstate War; Land Mines; Office for the tation of peace agreements and to set countries
Coordination of Humanitarian Affairs (OCHA), UN; emerging from conflict on a path to sustainable
Peacekeeping; Poverty; Red Cross and Red Crescent; peace.
Religious Violence; Suicide Bombings; Terrorism; War
Crimes; Weapons Trafficking. Security Council Mandate
These multidimensional peacekeeping opera-
Further Readings tions—operations made up of military, police,
Collier, Paul and Anke Hoeffler. Greed and Grievance and civilian components—are generally deployed
in Civil War. Washington, DC: World Bank, in the dangerous aftermath of a violent internal
Development Research Group, 2001. conflict, in which the physical security of civilians
Fearon, James D. and David D. Laitin. “Ethnicity, is often at risk. Recognizing that United Nations
Insurgency, and Civil War.” American Political (UN) peacekeepers could have an important role
Science Review (2002). to play in protecting civilians in these situations,
Regan, Patrick M. “Interventions Into Civil Wars: the Security Council began to authorize peace-
A Retrospective Survey With Prospective Ideas.” keeping operations with the mandate to protect
Civil Wars, v.12/4 (December 2010). civilians “under the imminent threat of physical
violence.” The first such peacekeeping operation
(or “mission” in UN parlance) to have received
this mandate was the United Nations Assistance
Mission in Sierra Leone (UNAMSIL) in 1998.
Civilian Protection, Since that time, 11 missions have received the
protection of civilians mandate. In September
Post-Conflict 2012, there were eight peacekeeping operations
authorized to protect civilians.
United Nations peacekeeping operations have
become one of the international community’s pri- The Nature of Protection of Civilians Crises
mary instruments to assist countries in emerging Where modern, multidimensional peacekeeping
from conflict and securing sustainable peace and operations are deployed, civilians often suffer dis-
stability. proportionately from physical violence. In some
This has not always been the case. The first 40 situations, civilians are caught in the midst of hos-
years of the organization’s peacekeeping efforts tilities between two or more parties undertaking
were largely oriented toward keeping the peace some military objective. This may lead to casu-
between two sovereign nations that had been in alties among the civilian populations who have
conflict with one another. This was done largely been unsuccessful in avoiding the hostilities taking
through deploying peacekeeping operations with place where they are living or gathered. Increas-
military components whose principal task was to ingly, however, civilians have become the direct
supervise cease-fires and act as a buffer between targets of belligerents. They may be targeted by
 Civilian Protection, Post-Conflict 127

rebel groups that are looking to resupply or are focus on situational awareness. Peacekeeping
interested in forcibly conscripting locals into their operations must utilize all of the tools at their
ranks. They may be targeted by groups wishing disposal to obtain a comprehensive picture of
to achieve some psychological impact on a par- the situation on the ground and analyze how the
ticular people, including through the use of sexual various factors that pertain may affect the physi-
violence. In some cases, they may even be targeted cal security of the civilian population. The tools
by elements of the armed forces from the very that peacekeepers can use to achieve greater situ-
government whose job it is to protect these civil- ational awareness range from face-to-face com-
ians. Whatever the motivation, attacks on civilian munication with the local population to more
populations have increased at an alarming rate advanced applications of technology that use sat-
over the past two decades. ellite imagery to track potential perpetrators or
Incidents in which civilians come under threat map hot spots.
of physical violence can materialize rapidly and In any case, determining threats and vulner-
without warning and can degenerate into crisis abilities to civilians is a multidisciplinary effort
situations with tremendous speed. These cri- involving the work of all components—military,
sis situations can present enormous challenges civilian, and police alike. The military compo-
for large peacekeeping operations, which often nent, for example, can gain an understanding
lack critical mobility assets required to respond of the types of threats that civilians in its area
quickly and decisively. Frequently, by the time of responsibility may face through its contacts
a mission becomes aware that a protection of with its counterparts in the national military
civilians crisis is unfolding, it may be too late structure, through talking to local populations
to save lives or to intervene. For these reasons, during routine patrols, and through monitor-
the United Nations has been putting tremendous ing the movements of armed groups in the area.
effort into developing policy, guidelines, and Likewise, United Nations police officers, who are
training for its peacekeepers, with the objective often stationed in or near camps for refugees or
of helping them to prevent protection of civil- internally displaced persons, can track the types
ians crises from arising in the first place. Rather of incidents that civilians in their areas have been
than being forced to respond to crisis situa- facing. Civilians working in the operation, such
tions in which the lives of civilians may be at as civil affairs officers, generally have strong con-
risk, peacekeeping operations with protection of tacts with the local authorities, who themselves
civilians mandates are putting increasing focus have an intimate knowledge of the security issues
on prevention, which is ultimately the best form facing civilians.
of protection. When peacekeepers have good situational
awareness, they can prioritize the threats to civil-
Analyzing Threats and Vulnerabilities ians they wish to address. This prioritization
In order to prevent civilian crises from arising, will be based upon the likelihood that the threat
peacekeeping operations must have a strong will materialize, the types of violence the civil-
understanding of the threats and vulnerabilities of ians may face, and the number of civilians likely
the civilians they are mandated to protect. While to encounter the particular threat, among other
this would seem obvious, it is in fact an extremely things. Making decisions on which civilians to
challenging undertaking in the countries where protect can be an extremely challenging endeavor,
missions work; these countries often have vast ter- in both operational and moral terms, but protect-
ritory over which civilian populations are thinly ing civilians must be undertaken on the basis of a
spread, unforgiving terrain that makes ground strong understanding of the threat landscape and
movement extremely difficult, and undisciplined a corresponding analysis of how those threats are
armed groups roaming the area with diverse and likely to affect civilians.
unsavory motives.
Understanding the various threats that civil- Managing Protection Crises Once They Arise
ians in a particular area may face, and their vul- Often, in spite of a peacekeeping operation’s best
nerabilities to those threats, requires a sustained efforts, protection of civilians incidents can arise
128 Civilian Protection, Post-Conflict

without warning, or without sufficient time for Protecting Civilians in South Sudan
the mission to react in a way that would elimi- The response of the United Nations Mission in
nate the possibility of the loss of civilian life. In South Sudan (UNMISS) to a protection of civil-
extreme cases, these incidents can degenerate into ians crisis in Jonglei, in what is now South Sudan,
major crisis situations, where the risk to civilian that began in late 2010 and unfolded over the
lives can climb to alarming proportions. Although first half of 2011, is a good illustration of how a
every situation requires a different response, ori- peacekeeping operation can effectively engage the
ented to the particular circumstances, there are government to protect its civilian population.
certain elements of addressing protection of civil- In late 2010, members of the Murle tribe con-
ians crises that are essential for peacekeeping ducted a number of small-scale raids against the
operations to engender. Lou Nuer tribe, during which hundreds of cattle
Most important, the response to a protection were stolen, dozens of people killed, and several
of civilians crisis must be a whole-of-mission women and children abducted. Tension mounted
effort. By the time a situation has escalated to in the Lou Nuer community, who sought revenge
crisis proportions, in which civilians are already for what they viewed as Murle aggression, as
being killed, military intervention from a peace- well as the government’s failure to protect them.
keeping operation alone will likely not be suf- More than 1,000 Lou Nuer attackers organized
ficient to bring it under control. While a show of and marched into Murle territory, burning vil-
force from the United Nations is an important lages and killing hundreds. Murle raiders then
deterrent measure, missions must also use the launched an attack on a string of villages in Lou
political levers at their disposal to deescalate the Nuer territory, including a village home to a Lou
violence. Nuer “prophet” who was accused of organizing
Critical in this respect is the political advocacy many of the raids.
of the head of mission, usually designated as a The mission recognized the likelihood of a repri-
special representative of the secretary-general, sal attack by the Lou Nuer and took action to pre-
who must work with her or his government coun- vent further violence. This took place along multi-
terparts to call for a halt to the violence. This ple tracks, including political action by the special
can be an extremely difficult task for the special representative of the secretary-general, who lob-
representative. It is not infrequent for groups bied the government to recognize the scale of the
affiliated with the government to be involved issue and take appropriate action. For its part, the
in the violence in some way, however oblique. mission deployed a number of integrated (military,
In situations in which those groups may have police, and civilian) teams to hard-to-reach areas
helped the government to come to power or fend to gather information, and sent multiple air recon-
off a putsch, the government may be less willing naissance flights to survey the landscape from
to discourage them from engaging in violence, above and determine the position of forces on the
much less threaten to hold them to account for move. As it became clear that an attack was immi-
any crimes committed during the violence. nent, UNMISS also deployed a number of military
In other cases, the host government simply may units to the area to deter the attackers.
have the will to respond, but may lack the capac- From the outset, the mission recognized that it
ity to do so in a timely or efficient manner. In the alone could not hope to prevent another attack.
contexts in which peacekeeping operations are The number of attackers involved would likely
deployed, governments are often in the process be too large, and the area too vast, and the pri-
of rebuilding and are focused on the most basic mary protection responsibility belonged to the
governmental operations as they put in place the government. However, the government’s military
national, state, and municipal infrastructure. In and police forces lacked the logistical capacity
these situations, missions are sometimes required to move across Jonglei’s swampy terrain (South
to act independently to protect civilians. In oth- Sudan is home to some of the world’s largest
ers, peacekeeping operations can provide impor- floodplains). The mission’s military and police,
tant support to their government counterparts to along with the South Sudan Armed Forces and
address protection of civilians crises. South Sudan police, developed a plan to deploy
 Classification of Systems 129

government military and police at strategic cross- Hordijk, Michaela, Maartje van Eerd, and Kaj
ing points between Lou Nuer and Murle territory. Hofman, eds. The Role of the United Nations
The mission supported the logistical deployment in Peace and Security, Global Development,
of government forces to these areas so that they and World Governance: An Assessment of the
could respond. Evidence. Lewiston, NY: Edwin Mellen Press,
Given the range of challenges in addressing 2007.
this crisis (UNMISS was a new mission and only Jenkins, Rob. Peacebuilding: From Concept to
deployed at a fraction of its mandated strength, Commission. New York: Routledge, 2012.
the number of Lou Nuer attackers that eventu- MacQueen, Norrie. Humanitarian Intervention and
ally marched on Murle territory grew to around the United Nations. Edinburgh, UK: Edinburgh
5,000 people, air assets were limited, the overland University Press, 2011.
terrain was extremely difficult, etc.), additional Rizal, Dhurba P. Contemporary Governance
civilian casualties did occur. UNMISS’s action, Challenges and the United Nations: Peace Building
however, in conjunction with the government of in Conflict and Post Conflict Countries. New
South Sudan, was able to provide a degree of pro- Delhi, India: Adroit Publishers, 2012.
tection for civilians caught in the fighting. Addi- United Nations. “United Nations Mission in South
tional civilian lives would undoubtedly have been Sudan.” http://www.un.org/en/peacekeeping
lost had the mission not undertaken a number of /missions/unmiss (Accessed September 2012).
concerted, multidimensional efforts in support of United Nations. “United Nations Peacekeeping.”
its mandate to protect civilians from the immi- http://www.un.org/en/peacekeeping (Accessed
nent threat of physical violence. The mission’s September 2012).
response to this crisis provides a good example of United Nations Department of Public Information.
how all of the tools at a peacekeeping operation’s The Blue Helmets: A Review of United Nations
disposal can be leveraged to protect civilians, not- Peace-Keeping. 3rd ed. New York: United Nations,
withstanding the massive challenges that it inevi- 1996.
tably faces in this endeavor.

Michael Chu
United Nations
Classification of Systems
See Also: Arms Control; Border Disputes; Catholic
Relief Services; Civil War; Civilian Protection; Doctors A system is an organized collection or arrange-
Without Borders; Ethnic Cleansing; Failed States; ment of elements that control and distribute
Foreign Policy Crises; International Children’s Fund, resources such as energy and information in order
UN (UNICEF); Interstate War; Nongovernmental to achieve some result. Systems generally involve
Organizations; Office for the Coordination of multiple inputs and outputs, may involve feedback
Humanitarian Affairs, UN (OCHA); Peacekeeping; loops, and, in general, are resistant to simple, lin-
Red Cross and Red Crescent; Religious Violence; ear solutions to problems. In the last 50 years, sys-
Scapegoating; Vulnerable Populations; War Crimes. tems thinking has become common in many pro-
fessions, from basic science to applied engineering,
Further Readings and professions such as systems design and systems
Bothe, Michael and Thomas Dörschel, eds. UN analysis have been developed to meet this need.
Peacekeeping: A Documentary Introduction. Systems thinking is particularly useful when trying
Boston: Kluwer Law International, 1999. to understand the workings of complex processes,
Burgess, Stephen F. The United Nations Under whether they relate to the economic functioning of
Boutros Boutros-Ghali, 1992–1997. Lanham, MD: a country, the operation of a hospital, or the func-
Scarecrow Press, 2001. tioning of a business, when decisions must take
Durch, William J., ed. UN Peacekeeping, American into account the interactions of many separate sys-
Politics, and the Uncivil Wars of the 1990s. New tems and when the consequences of a single action
York: St. Martin’s Press, 1996. may be felt across many systems.
130 Classification of Systems

Different Ways to Classify Systems side effects of the dam’s creation and might have
There are many different ways to classify systems: come up with a better solution or mitigated the
open versus closed, static versus dynamic, natu- problems.
ral versus human-made, etc. Of course, a system
may be classified along several dimensions, and Classification of Systems for Recovery
few systems created by people are purely one The normal functioning of any organization may
type of system only, but thinking through the dif- be disrupted for any number of reasons, including
ferent types of systems involved in any enterprise natural disasters (e.g., a flood or tornado), equip-
can help develop plans for operations, includ- ment failures, human error, and acts of malice
ing plans to respond to emergency or disaster (e.g., computer hacking, arson). The key to a suc-
situations. cessful disaster recovery plan is focusing on how
A closed system has no significant interactions to best resume normal activities after the disrup-
with its environment; one example is a chemical tion and making preparations to respond to the
reaction in a closed glass container. The results common elements in how any disruption might
of interactions within a closed system are deter- affect the unit (e.g., loss of information, loss of
ministic and can be predicted from initial condi- equipment, loss of personnel), rather than cre-
tions. An open system, in contrast, interacts with ating a separate plan for each type of potential
its environment, allowing information, matter, disruption.
and energy to cross its boundaries; examples of One type of classification that is useful when
open systems include business organizations, eco- planning for or responding to an emergency or
logical systems, and plants. A static system such disaster situation is the classification of systems as
as a bridge has structure but not activity, while a critical, essential, necessary, or desirable. Going
dynamic system such as a school has both struc- through the process of classifying the systems
ture and activity. Of course, any system is static in any enterprise, whether it is a business or a
only in a limited frame of reference: although a relief effort, helps set priorities so that effort and
bridge does not move, it is constructed and will resources can be directed efficiently and the most
break down over time, both dynamic processes; in important systems restored first.
addition, it may be deliberately altered or main- To take a practical example, Michigan State
tained, both dynamic processes. University has published guidelines to assist dif-
Natural systems are created through natural ferent units of the university in developing a con-
processes and have a high degree of order and tinuity of operations plan (COOP) as a tool in
equilibrium; examples include the food chain planning for and responding to disasters or inci-
and the natural water cycle. Elements within a dents that severely disrupt normal operations.
natural system adapt to their environment and Part of the process of creating a disaster recovery
to events within it, and materials are continually plan for a unit is conducting an impact analysis for
recirculated; natural systems survive if they adapt all functions of the unit, based on their criticality.
to changes in the environment; those that do not Activities are classified according to the time they
become extinct. Human-made systems are rela- can remain interrupted: “critical” activities can
tively recent in origin, as the rapid development remain disrupted for less than one day, “essential”
of technology has multiplied the impact of mod- activities can remain interrupted for two to four
ern humans on the environment. Human-made days, “necessary” activities can remain disrupted
systems often produce unintended consequences; for five to seven days, and “desirable” activities
for instance, the construction of the High Aswan can remain interrupted for 10 days or longer.
Dam on the Nile River achieved its goals of pro- Functions of each unit are also classified in
ducing hydroelectricity and controlling flooding, three other ways. First, they are classified accord-
but also produced negative, unanticipated con- ing to whether they depend on the availability of
sequences, including harming the fishing indus- specific resources of the university (e.g., the main-
try, increasing erosion in the Nile Delta, and fos- frame computer system, the telephone network,
tering epidemics of bilharzia along the Nile. A paper records) and their degree of dependency on
systems view would have taken into account the each resource (high, medium, or low). Second,
 Classification of Systems 131

systems are also classified in terms of what would available as soon as possible after such a disas-
be impacted if they were not performed: human ter. Although the terminology is sometimes dif-
life, federal funding, students, operating effi- ferent, the approach to planning is similar to that
ciency, laws broken, and reputation. Finally, for recommended in the two classification systems
systems that generate revenue or receive external already discussed—list the functions provided by
funding (e.g., federal grants), it must be specified an agency or provider, evaluate them in terms of
how much and which revenue would be lost were the consequences if they were not performed, and
the function not performed for different time prioritize them so that after a disaster, resources
periods (1 hour, 1 day, 2 days, 3 days, 1 week, can be directed to the functions that are most
1 month) and how much additional cost would immediately critical.
be incurred if the function were not performed The first step in the network’s guidelines is to
for each time period (e.g., loss of funding, fines). conduct a vulnerability analysis, dividing vulner-
Finally, functions are ranked numerically, with abilities into three categories: impact on humans
critical functions receiving a score of 1 (i.e., they (including staff, clients, and community reputa-
should be the first priority), essential functions a tion), impact on property (including records and
score of 2, necessary functions a score of 3, and electronic databases as well as physical facilities
desirable functions a score of 4 (i.e., they are the and supplies), and impact on agency operation
last priority). (likelihood of essential functions being per-
Susan Snedaker provides a system for classify- formed following a disaster; for example, if elec-
ing systems within a company, using similar cat- tricity were shut off or normal means of trans-
egories as those provided in the Michigan State portation were not available). Vulnerabilities
guidelines. In Snedaker’s system, a category 1 or can exist in six major categories: location (e.g.,
“critical” system is mission critical, meaning that access to major roads and bridges), finances
the system must be present for the company to (e.g., fluidity of cash flow, availability of addi-
remain in business, and the goal to restore this tional emergency funds), communications (e.g.,
system to functioning following a disaster would phone network, emergency communications
be expressed in hours rather than days. A cat- equipment), facility (e.g., conditions of build-
egory 2 system is considered “essential,” not so ings, availability of space to shelter staff and/or
much for immediate functioning as for long-term others), daily resources (e.g., vehicles, computer
operations; for instance, in a business the payroll equipment), and disaster resources (e.g., avail-
system might be classified as essential. Category ability of generators, number of staff trained in
3 or “important” functions are required for the first aid and CPR).
business to function at top efficiency and would To assist an organization in identifying vulner-
disrupt the business if they were lost for days or abilities, the network suggests using a worksheet
weeks, but are not so critical to be restored imme- in which different threats (e.g., hurricane, cyber
diately; examples might include e-mail and Inter- attack, terrorism, disease epidemic) are evaluated
net access. Category 4 or “minor” functions will in terms of the impact on humans, property, and
not be missed in the short term, although they operations, and the strength of internal and exter-
may make it easier for the business to deal with nal resources to respond to the threat. The degree
some relatively small issues; the process of classi- of impact is quantified on a scale from 1 to 5,
fying systems for disaster planning may also iden- with higher numbers signifying more impact; for
tify minor functions that are no longer needed by instance, 1 is described as “minor; agency opera-
the business and can be dropped. tions not affected,” while 5 is described as “cata-
The Health and Human Services Disaster strophic; critical systems off-line for extended
Recover Leadership Network for Pinellas County period; data lost or irreparably corrupted; pub-
(western Florida) provides guidelines for health lic health and safety affected.” The strength of
and human services providers to prepare for a resources available is also evaluated on a scale
disaster; their focus is on preparing so that high- from 1 to 5, with 1 signifying that resources
priority human services (including the provision are strong and easily available and 5 signify-
of shelter, food, and medical assistance) will be ing resources are weak and difficult to find even
132 Climate Change Adaptation

outside the disaster area. The totals for each type World Health Organization. “Guidance for Health
of disaster are summed, and higher totals indicate Sector Assessment to Support the Post Disaster
greater vulnerability. Recovery Process.” Version 2.2. (December 17,
The network also provides guidelines for clas- 2010). http://www.who.int/hac/techguidance/tools
sifying functions in terms of “essential” or “not /manuals/pdna_health_sector_17dec10.pdf
essential”; essential functions include providing (Accessed May 2012).
food, water, information, counseling, clothing,
shelter, and medical care. Agencies then make a
list of essential functions, prioritized to indicate
which functions should be restored within 24
hours, which within one week, and which within Climate Change Adaptation
one month. To determine which functions are
most important to restore quickly, the network Climate change adaptation refers to the need to
provides a series of questions addressing the adapt to the future climatic conditions that will
consequences if that function were not restored affect all regions of the world in order to mini-
within the specified time period, the probability mize the impact of disasters associated with cli-
that demand for that function will increase fol- mate change. Ever since Earth formed 4.4 billion
lowing a disaster (for instance, the need for tem- years ago, climate change has occurred. Several
porary shelter would be expected to increase after factors contribute to climate change, including
a tornado), which resources would be needed to the distribution of the continental plates, height
sustain a given function, and whether less essen- of mountains, and cyclic changes in Earth’s orbit
tial functions could be suspended or moved in around the sun. Natural mechanisms have con-
order to concentrate on more essential functions. tributed to climate change during the Quater-
nary Period (roughly the last 2.4 million years),
Sarah Boslaugh with particular scientific interest in the Holocene
Kennesaw State University epoch (the last 12,000 years).
Human (anthropogenic) activities are contrib-
See Also: Contingency Planning; Critical Business uting to climate change, such as vehicle emis-
Functions; Decision Making Under Stress; Disaster sions, industrial plants, and land use practices.
Assessment; Disaster Recovery; Operational However, adaptive strategies can be employed to
Readiness. prepare for future climate change. The Norse set-
tlement of Greenland during the Medieval Warm
Further Readings Period (MWP) and later abandonment following
Blanchard, B. C. and W. J. Fabrycky. Systems the onset of the Little Ice Age (LIA) provides an
Engineering and Analysis. Englewood Cliffs, NJ: example of past adaptation to climate change in
Prentice Hall, 1990. the Arctic.
Federal Emergency Management Agency. Combined, natural and anthropogenic forc-
“Continuity of Operations Division.” http://www ing mechanisms of climate change are plac-
.fema.gov/about/org/ncp/coop/index.shtm ing people at great risk from climate-induced
(Accessed May 2012). disasters. Historically, the majority of natural
Health and Human Services Disaster Recovery disasters are caused by climate-related events:
Leadership Network. The Scoop on COOP. hailstorms, snowstorms, extreme cold, torna-
St. Petersburg, FL: Health and Human Services does, hurricanes and typhoons, monsoon rains,
Disaster Recovery Leadership Network, 2007. heavy rains, high winds, avalanches, rock slides,
Michigan State University. “Disaster Recovery mudslides, drought, wildfires, and infestation by
Planning.” http://www.drp.msu.edu (Accessed May vectors (insects). With climate change, many of
2012). these types of events will occur with greater fre-
Snedaker, Susan. Business Continuity and Disaster quency and intensity, placing the lives of people
Recovery Planning for IT Professionals. Burlington, who live in areas impacted by these disasters at
MA: Elsevier. 2007. increasing risk.
 Climate Change Adaptation 133

Coastal flooding in Narragansett, Rhode Island, April 2007. Increases in atmospheric carbon dioxide are projected to cause Earth to
warm by 6.1 degrees C from now to between 2060 and 2090, similar to the last interglacial period, between 125,000 and 115,000
years ago. That period experienced a significant sea level rise, one of the concerns of scientists who predict adverse effects of climate
change. A similar sea-level rise in the coming years would cause severe flooding of coastal cities and even submerge low-lying islands.

Celestial Mechanics extreme seasonal variation. When Earth’s orbit

The astronomical theory developed by Milutin is eccentric, seasonal variation in temperature is
Milankovitch in the early 1900s is widely accepted more extreme. In an eccentric orbit, the Earth is
by climate scientists as the best theory for explain- closest to the sun at perihelion and farthest from
ing changes in the seasons, as well as climate the sun at aphelion. If perihelion occurs during
change over hundreds of thousands of years. Mila- Northern Hemisphere’s summer, this accentuates
nkovitch identified seasonal and longer-term sys- the length and intensity of the summer season. If
tematic variations in Earth’s orbit around the sun aphelion occurs during Northern Hemisphere’s
based on meticulous measurements of the posi- summer, the season is shorter and less intense.
tions of stars and equations that explained how Precession refers to a wobble of the Earth in
the gravitational pull of other planets and stars its orbital path around the sun that occurs every
affected Earth’s orbit. Through his calculations, 19,000 to 23,000 years. This wobble affects the
Milankovitch identified three primary celestial point when Earth’s orbit is nearest the sun (the
mechanisms that affect long-term cycles of cool- location of perihelion) and shifts from the North-
ing and warming on Earth, including eccentricity, ern to the Southern Hemisphere approximately
precession of the equinox, and obliquity. every 9,500 to 11,500 years. Obliquity refers to
Eccentricity refers to a systematic shift in Earth’s cyclic changes in the angle of the Earth relative to
orbit around the sun from an ellipse to a circular its rotational axis around the sun. The obliquity
pattern and back to an ellipse every 95,000 to varies over a roughly 41,000-year period from
136,000 years, averaging 100,000 years. When 22 degrees to 24 degrees, 6 minutes. Changes in
Earth’s orbit is circular, its distance from the sun is Earth’s axial tilt result in cyclic changes in the
relatively steady throughout the year, minimizing length and intensity of the seasons.
134 Climate Change Adaptation

Case Study: The Norse Settlement and Abandonment of Greenland

Multiple lines of evidence (historical documents the skeletal remains of buried Norsemen indicate
and archaeological records) indicate the Norse that during the MWP, the Norse modified their diets
settled Greenland around 985 c.e., during the MWP to become less reliant on livestock and crops and
when the Arctic was warmer than present. Although to become more reliant on fish and sea mammals.
there is still some dispute about the geographic The skeletal studies indicate that during the
extent of warming associated with the MWP, initial period of Norse settlement, marine sources
most scholars agree that North Atlantic water was provided 20 percent of the diet. During the final
approximately 1.8 degrees F (1 degree C) warmer decades of Norse settlement, marine sources
than present for the period spanning ca. 900 to provided 80 percent of the diet. The change in
1250 c.e. The warmer water melted the northern diet is in part attributed to degradation of the land
ice packs, making the North Atlantic easier and and loss of arable land to sea level rise (geologic
safer for exploration and navigation. evidence indicates that for the past 3,000 years,
In their synthesis of Icelandic and Norwegian Greenland has been rapidly subsiding). Susanne
historical documents, Paul Buckland and his Lassen and coauthors speculate that the Norse
coauthors found documentation indicating that became increasingly dependent on marine animals
Norse farmers first settled Einarsfjörður, the modern because the climatic conditions were conducive to
area of Igalikup Kangerlua, located in the extreme supporting a strong population of seals. Through
southeastern reaches of Greenland, in roughly 985 their examination of marine plankton in sediment
c.e. Norse settlement of Greenland was led by a cores recovered from the Arctic Ocean, Lassen
Viking explorer commonly known as Eric the Red. and colleagues determined that there were high
The landscape of Greenland is harsh, and wind conditions later in the MWP, which resulted
the climate harsher. To survive, it was essential in mixing of the near-shore surface water, which
for the Norse settlers to adapt to the severe increased nutrients needed to support fish and
climatic conditions of the region by modifying the marine mammals.
landscape so that it would support crops, and to Lassen and coauthors also speculate that
rely increasingly on sea mammals for protein. The high winds during the late MWP kept the Norse
Norse needed to grow enough hay during the short from developing an economy that relied almost
summers to feed their cattle, sheep, and goats exclusively on intensive fishing of the fjords.
through the long, cold winters. The feed needed The increased winds would have made the seas
to be of adequate quality to keep the livestock more treacherous, increasing the risk of losing or
healthy enough to breed successfully and to provide damaging boats and potentially resulting in the loss
milk, meat, and hides to the settlers. According of fishermen’s lives. In contrast, seal hunting could
to archaeological investigations, to grow adequate be undertaken onshore or near shore and thus
crops for their livestock, the Norse implemented posed less risk to the boats and lives of the Norse,
agricultural technologies that had been used in and hence this is the strategy they adopted.
their homeland of Norway. They cleared the land of Although the timing of the demise of Norse
native vegetation, developed water control projects settlement on Greenland is uncertain, historical
with dams and irrigation networks, and fertilized documents and the archaeological record indicate
the soils by spreading a combination of human and the land was abandoned in the early 1400s.
animal waste on the fields. Many scientists and historians speculate that
Despite the agricultural ingenuity of the abandonment occurred as a result of increasingly
Norse, the harsh climate of Greenland required colder and harsher conditions, as well as a return
additional adaptive measures be adopted. Faunal of sea ice to the fjords. Paleoenvironmental
remains recovered from archaeological sites show reconstructions indicate that by 1450 c.e. there
a dependence on caribou, fish, and sea mammals was a significant increase in sea ice and a marked
to supplement the farm diet. Chemical analyses of reduction in the marine food supply. These
 Climate Change Adaptation 135

conditions, combined with a loss of arable land paleoenvironmental and archaeological evidence
due to subsidence, would have made survival on indicates that a rapidly cooling climate, increased
Greenland extremely difficult. Although historical, sea ice, and a reduction in available marine
social, and political factors also likely contributed resources were important factors contributing to the
to the Norse abandonment of Greenland, Norse abandoning Greenland.

Solar Cycles emissions (e.g., industry and vehicles) and land

Solar cycles refer to changes in the number and use practices (e.g., deforestation and agriculture)
intensity of sunspots, which are caused by the dif- have contributed to climate change during the
ferential rotation of the sun. According to David past century. To better understand how people
Hathaway, the sun’s poles rotate slower than the affect climate, in 1988 the United Nations Envi-
sun’s equator, causing its magnetic field to become ronment Programme (UNEP) and the World
distorted and twisted over a period of years. Dis- Meteorological Organization (WMO) formed
torted magnetic lines within the sun twist like rub- the Intergovernmental Panel on Climate Change
ber bands and eventually break through the vis- (IPCC). This organization was formed to review
ible surface of the sun and are commonly referred and summarize climate studies that analyze
to as sunspots. the effects of anthropogenic GHG emissions,
The number of sunspots observed on the sun’s including carbon dioxide (CO2), methane (CH4),
surface varies from year to year, following an nitrous oxide (N2O) and various chlorofluoro-
11-year cycle referred to as the Schwabe cycle. A carbons (CFCs), and human land use on climate
22-year cycle is referred to as the Hale cycle. There change.
are also lower-amplitude cycles referred to as The IPCC reports indicate that anthropogenic
Grand Maxima and Grand Minima. These cycles emissions of CO2 are increasing the percentage
may range from 70 to 300 years and are believed of CO2 in the atmosphere. To understand how
to have affected some of the more significant this increase in CO2 will affect future climate, the
short-term climate cycles on Earth. For example, IPCC developed climate models. Although the
the MWP (ca. 950–1250 c.e.), is believed to have IPCC climate models have not yet been perfected,
been caused by a Grand Maxima cycle. In con- these increases in CO2 are projected to cause Earth
trast, the LIA (ca. 1450–1850 c.e.) is believed to to warm by up to 6.1 degrees C from now until
have been caused by a Grand Minima cycle. between 2060 and 2090. Warming of this magni-
The impacts of the MWP and LIA on people tude is similar to conditions that occurred during
were considerable, causing changes in where the last interglacial period, between 125,000 and
agriculture could be practiced, as well as changes 115,000 years ago. Sea level during this period
to the fishing industry and other economic activi- was approximately 5 meters (16 feet) higher than
ties. Since around 1900 c.e., the amplitude of at present—a level that would result in devastat-
the sunspot cycle has been higher than it was ing flooding of major coastal cities and the com-
for the preceding five centuries, indicating that plete inundation of low-lying islands.
the sun is now in a Grand Maxima cycle similar In addition to direct impacts on coastal cit-
to the MWP. Today, however, unlike the MWP, ies, estuaries, beaches, and cultural sites, warm-
human activities are accentuating climate change ing of the magnitude predicted by the IPCC has
and making future climate conditions more the potential to effect changes in atmospheric
unpredictable. and oceanic circulation, resulting in more intense
storms in some regions and drought in others.
Anthropogenic Causes of Climate Change Changes in atmospheric and oceanic circulation
For several years, many scientists have argued will also affect the distribution of arable lands
that greenhouse gases (GHG) from anthropogenic and the distribution of shellfish, fish, and other
136 Cluster

marine organisms that people rely upon for food. See Also: All-Hazards; Avalanches and Landslides;
The IPCC panel predicts devastating effects to the Blizzards; Deforestation; Disaster, Definition of;
world economy as a result of stresses to global Drought; Floods; Wildfire.
food and potable water supplies, and social and
political stresses associated with the need to relo- Further Readings
cate millions of people from coastal communities Buckland, Paul, et al. “Palaeoecological and
and low-lying islands. Historical Evidence for Manuring and Irrigation
at Garðar (Igaliku), Norse Eastern Settlement,
Conclusion Greenland.” The Holocene, v.19/1 (2009).
Climate change poses a significant threat to human D’Andreaa, William, et al. “Abrupt Holocene Climate
populations worldwide. Studies of past climate Change as an Important Factor for Human
change clearly indicate that cycles of warming and Migration in West Greenland.” http://www.pnas
cooling are driven by driven by natural forcing .org/cgi/doi/10.1073/pnas (Accessed April 2012).
mechanisms. The amplitude, timing, and extent Dugmorea, Andrew J., et al. “Cultural Adaptation,
of natural climate change to a large degree are Compounding Vulnerabilities and Conjunctures in
driven by changes in Earth’s orbit around the sun Norse Greenland.” http://www.pnas.org/cgi/doi
and changes in the intensity and duration of sun- /10.1073/pnas (Accessed April 2012).
spot cycles. For generations, people have adapted Fagan, B. The Little Ice Age: How Climate Made
to climate change by adopting new technologies, History, 1300–1850. New York. Basic Books, 2001.
moving to newly opened landscapes after glaciers Fagan, B. The Long Summer: How Climate Changed
retreated, and moving from areas that were no Civilization. New York: Basic Books, 2004.
longer habitable due to any number of factors Hathaway, David. “The Sunspot Cycle.” (2012).
(e.g., prolonged drought, glacial advances, sea http://solarscience.msfc.nasa.gov/SunspotCycle
level rise). The case study on the Norse, included .shtml (Accessed February 2012).
in this article, provides an example of how humans Lassen, Susanne J., et al. “Late-Holocene Atlantic
have adapted to climate change in the past. The Bottom-Water Variability in Igaliku Fjord, South
Norse migrated to Greenland during the MWP, Greenland, Reconstructed From Foraminifera
a period when the Northern Hemisphere was as Faunas.” The Holocene, v.14/2 (2004).
warm as or warmer than present, and the arctic Solomon, S., et al., eds. Climate Change 2007: The
seas were open for exploration. At the onset of Physical Science Basis. Contribution of Working
the LIA, they left Greenland because they could Group I to the Fourth Assessment Report of the
no longer sustain their families. Intergovernmental Panel on Climate Change.
Current climate change in many ways repli- Cambridge: Cambridge University Press, 2007.
cates the conditions of the MWP. Whether cur- United Nations International Strategy for Disaster
rent conditions are being driven by anthropogenic Reduction. “Disaster. Terminology on Disaster
or natural forces is still debated among scientists, Risk Reduction.” http://www.unisdr.org/we/inform
but most scientists agree that climate is changing. /terminology (Accessed February 2012).
People can perhaps learn from the Norse, that
flexibility may be required to adapt to the shifting
landscape—although we may live along beauti-
ful coastlines now, in the future these coastlines
may be inundated by seawater. To adapt, we must Cluster
move or build barricades to keep the sea at bay.
The key to adaptation, however, is understanding The word cluster stands for congregation, or
how climate change may impact an area in the grouping of people or organizations coming
future and recognizing the power of nature and together around a specific interest to be fulfilled
the need to adapt to its forces. in a joint manner. Considering this definition, the
word cluster in disaster and crisis management
Diane L. Douglas refers to a field of specialization around which
Independent Scholar multiple actors (governments, international
 Cluster 137

nongovernmental organizations (INGOs), the cluster approach is that it favors collaboration,

International Federation of Red Crosses and the making cluster members equal partners. In the
Red Crescent Movement, and the United Nations past, strategic response in emergencies was based
(UN) agencies) operate. The idea of operating in a on a first-come, first-served basis; now the system
joint manner in both disasters and complex emer- is aimed at improving predictability.
gencies by unifying efforts, resources, and exper-
tise is known as the cluster approach. Cluster Structures
The cluster approach consists of nine clusters cre-
Background, Aim, and Scope ated on the basis of identified needs and, therefore,
The cluster approach is one of the fields of inter- services to be provided. In particular, the identifi-
vention that came about as a result of reform in cation of specific clusters/sectors over others has
the humanitarian sector in 2005 by the Inter- been done on the basis of those sectors experienc-
Agency Standing Committee (IASC). In particu- ing difficulties in coordination and accountability.
lar, IASC—together with other organizations— Sectors at a satisfactory level of accountability and
decided to implement a mechanism through coordination have already been achieved, such as
which international and national agencies could the agriculture sector, led by the Food and Agricul-
improve their response to disasters and complex ture Organization of the United Nations (FAO);
emergencies in support of the affected govern- the food sector, led by the World Food Program
ments. Past experience, such as the 2004 and (WFP); the education sector, led by the United
2005 Darfur crisis, in conjunction with the evalu- Nations International Children’s Fund (UNICEF);
ation of the humanitarian response, carried out and refugee welfare, led by the United Nations
by the Humanitarian Response Review (HRR) on High Commissioner for Refugees (UNHCR).
the behalf of the emergency response coordina- These are not included in the global cluster.
tor (ERC), highlighted the inadequacies of col- Clusters can be grouped into three main areas:
laborative efforts in certain sectors (shelter, water technical, cross-cutting, and common services.
and sanitation, etc.). Thus, the aim of the clus- Each cluster is paired with an agency that is the
ter approach is to improve preparedness, avoid cluster leader. The cluster or sector lead does not
duplication of efforts, improve the accountability necessarily have to be assigned to a UN agency
and the quality of humanitarian services, better and can be entrusted to any organization. For
coordinate the efforts of the humanitarian sector, instance, the International Federation of Red
and strengthen its predictability. Cross (IFRC) shares the lead of the emergency
Preparedness refers to the ability of the interna- shelter cluster with UNHCR. The IFRC leads the
tional system to respond to more than one emer- cluster in case of natural disaster and the UNHCR
gency per year. For instance, IASC established leads in case of conflicts. The following is a list of
that each cluster should be able to respond to areas and related clusters:
three emergencies per year, two of them happen-
ing simultaneously, with provisions of service for 1. Technical areas:
500,000 beneficiaries. One of the most important »» Nutrition (UNICEF)
characteristics of the cluster approach is predict- »» Health (WHO)
ability. Predictability refers to the ability of the »» Water/sanitation (UNICEF)
cluster to fill the gaps in the humanitarian sec- »» Emergency shelter (UNHCR for
tor at a global as well as at a country level. One conflicts); in case of natural disaster
important characteristic of the cluster is that of (IFRC).
being a “provider of last resort.” This means that 2. Cross-cutting areas:
when there are gaps that cannot be filled by the »» Camp coordination and management
entire international community, the cluster lead (UNHCR for conflicts; IOM for
will step in to take care of it. If this is not possible natural disasters)
due to a lack of financial resources, the cluster »» Protection (UNHCR for conflicts;
lead is still obliged to make an appeal to meet the UNHCR/OHCR/UNICEF in case of
specific need. Thus, the strategic relevance of the natural disasters)
138 Cluster

»» Early recovery (UNDP) intervention of multiple international organiza-

3. Common service areas: tions, gaps in the humanitarian needs pointed out
»» Logistics (WFP) by governments and cluster agencies or as a result
»» Emergency communications (OCHA/ of consultation among the resident and humani-
UNICEF/WFP) tarian coordinator (RC/HC) and the country
team members. Cluster activation is a “six-step
The cluster approach operates at two levels: process” resulting from consultation among the
global and local/country level. The above list of HC, ERC, cluster leads, hosting governments,
clusters is generally transposed at a local level as and relevant IASC partners at the country level.
well. Global and local/country-level clusters ful- The humanitarian coordinator provides the ERC
fill different tasks. At the global level, the clus- with analysis of the gaps and recommends a spe-
ter works to build global capacity; at the country cific cluster in the country. The ERC then consults
level, it is focused on building relationships with with global cluster lead agencies, giving them 24
local actors, such as governments, NGOs, grass- hours to respond before activation is approved.
roots, and citizens. Subsequently, the ERC informs the IASC of new
In particular, the global cluster lead covers three developments and ensures that appropriate guid-
main areas: standards and policy setting, building ance and support are provided. Finally, although
response capacity, and operational support. The there are 11 global clusters, this does not mean
global cluster lead’s work within the area of stan- that an emergency will require the activation of
dards and policy setting is related to the devel- all of them.
opment or improvement of standards and their There is no clear guidance on when and how a
dissemination. Response capacity is achieved cluster should end its activities.
through maintaining surge capacity, standby ros-
ters, and material stockpiles. Finally, the global Lucia Velotti
cluster leads are also responsible for the provi- University of Delaware
sion of operational support, a task accomplished Edmondo Perrone
through long-term planning; human, financial, World Food Program
and capacity needs assessment; and advocacy.
Country cluster leads are tasked with infor- See Also: Food and Agriculture Organization of
mation management and operational support of the United Nations (FAO); International Children’s
the coordination mechanisms, which are imple- Fund (UNICEF); Office for the Coordination of
mented through the 3Ws: who, what, and where. Humanitarian Affairs (OCHA), UN; Red Cross and
The creation of such a mechanism makes the iden- Red Crescent; World Health Organization (WHO),
tification of organizations and of the structures of UN.
the whole response system easier. At the country
level, it is important to understand who takes the Further Readings
lead for each sector. Inter-Agency Standing Committee (IASC). “Guidance
In term of accountability, the global cluster Note on Using the Cluster Approach to Strengthen
leads report to the emergency response coordina- Humanitarian Response.” Geneva: IASC,
tor (ERC) operating through the Office for the November 24, 2006.
Coordination of Humanitarian Affairs (OCHA). Inter-Agency Standing Committee (IASC).
All the clusters are directly accountable to the “Operational Guidance on Designating Sector/
humanitarian coordinator (HC), who in turn is Cluster Leads in Major New Emergencies.”
accountable to the ERC. The only exception to Geneva: IASC, May 23, 2007.
this system of accountability is the IFRC, which is Inter-Agency Standing Committee (IASC).
a “convener” rather than a cluster lead. “Operational Guidance on Designating Sector/
Cluster Leads in Ongoing Emergencies.” Geneva:
Cluster Activation and Closeout IASC, May 23, 2007.
The activation of the clusters occurs when the Inter-Agency Standing Committee (IASC).
emergency and complexity of an event require the “Operational Guidance on Responsibilities of
 Cognitive Novelty, Engaging in 139

Sector Cluster Leads and OCHA in Information a novel situation (i.e., one that is not covered by
Management.” Geneva: IASC, December 2008. a standard operating procedure), the decision
Steets J., F. Grünewald, A. Binder, V. de Geoffroy, D. maker may create a new solution, which is then
Kauffmann, S. Krüger, et al. “Cluster Approach implemented and evaluated. When these solu-
Evaluation 2 Synthesis Report.” Geneva: Inter- tions are presented to implementers or evaluators
Agency Standing Committee, April 2010. to be executed, some degree of learning may be
Stoddard A., A. Harme, K. Haver, D. Salomons, and required, in which implementers or evaluators
V. Wheeler. “Cluster Approach Evaluation Final.” (such as training personnel) attempt to discover
OCHA Evaluation and Studies Section. New York: how the proposed solution might be executed and
Office for the Coordination of Humanitarian validated in the real world. In order to streamline
Affairs, November 2007. the training process, training programs in crisis
management increasingly rely on computer-based
systems to provide feedback to trainees, as occurs
in gaming simulations.
The inclusion of computer-based systems in
Cognitive Novelty, training creates considerable challenges when
one of the training goals is to engage cognitive
Engaging in novelty. As finite-state machines, computer-based
systems are not designed for “out of the box”
There are several pitfalls and saving graces in reasoning. Accordingly, research in cognitive sci-
studying how to engage in cognitive novelty: that ence and artificial intelligence has been concerned
is, either the processes by which new and useful with developing computational approaches to
ideas are generated or the impression that the situ- interpreting and evaluating novel ideas created by
ation presented to a decision maker is novel. Par- human operators. Similarly, gaming simulations
ticular attention is given to the role of computer- in crisis training are slowly becoming more adap-
based systems in this process (or, perhaps more tive and thus capable of generating novel scenar-
precisely, the role of the task and how it is pack- ios with little human intervention.
aged and presented via a computer-based system). To understand the dynamic tension between
There are important perspectives on processes for human and computer in this context, it is useful
negotiating the development of the task and its to introduce the concept of engagement: partici-
computer implementation. pants’ utilization of their attention, effort, and
In crisis management, the need to engage cog- knowledge in undertaking the task set before
nitive novelty arises in many situations. In crisis them. The domain of the participants in emer-
planning, it is frequently desirable to generate gency response operations stirs up some very
unplanned-for scenarios (i.e., highly nonroutine human dichotomies: heroism/cowardice, life/
but plausible crisis scenarios) as a prelude to iden- death, truth/lies—not merely in the general popu-
tifying how they may be addressed. Similarly, in lation but also in the participants themselves. It is
crisis response, situations on the ground rarely not unreasonable to expect that systems seeking
match exactly those encountered in planning or engagement must reflect designers’ understanding
training exercises. It is therefore desirable for of the domain (if not their actual experience in it)
response personnel to be able to generate new and if such systems are to be successful.
useful ideas—often under tight time constraints. A process for negotiating the development of
Development of the skills for addressing this the task and its computer implementation may
need may occur in the field, but also in training begin with identifying elements of the task, the
situations. environment within which it is presented, and the
The highly skilled decision maker—whether participants that foster engagement. In research
coming from jazz improvisation, firefighting, on emergency response, for example, time con-
or field medicine—is remarkably adept at con- straint and variable levels of emergency event
founding attempts to draw broad conclusions severity may be highly salient—and thus key ele-
from his or her novel behaviors. Presented with ments to include in a simulation. Other possible
140 Cold Site

factors include commitment to decision (i.e., a facility and, in most cases, two one-day disaster
situation where decisions cannot be “undone”). recovery tests. Although this is a less expensive
The environment for delivery of the task may site recovery strategy, it should be noted that it
also foster or hinder engagement. Participant also takes some extra time to get the organiza-
background and expectations are likely to dic- tion’s systems up and running after the outage
tate, ultimately, whether engagement is achieved. because new systems have to be installed. Nor-
Indeed, it is often worthwhile to examine whether mally, the organization should expect full recov-
participants are positively inclined to engage the ery of its work environment within 48 hours from
task. Such an assessment may be made by con- disaster declaration, making this solution more
sidering whether they view their performance as suitable for organizations that can sustain a few
tied to their feelings of self-efficacy or to other days of downtime before business resumption
incentives. and for those that, following a major disaster, lose
their primary site for quite a long time. A further
David Mendonca limitation of cold sites is that the testing of the
Rensselaer Polytechnic Institute service can become very expensive because it can-
not take place unless all equipment and systems
See Also: Decision Making Under Stress; Decision are expedited and communications lines installed
Stream; Decision Support Tools; Improvising. and configured according to the organization’s
needs. Equipment and systems must be temporar-
Further Readings ily rented or leased and then, at the end of the test,
Mendonca, David and William A. Wallace. “A returned to their owners. Alternatively, they can
Cognitive Model of Improvisation in Emergency be sourced from the primary site, but this solution
Management.” IEEE Transactions on Systems, may cause disruption to the business (unless a test
Man, and Cybernetics Part A, v.37/4 (2007). is run on nonworking days, for example, during
Springer, Sally P. and Georg Deutsch. Left Brain, a weekend) and transportation to and from the
Right Brain: Perspectives From Cognitive cold site increases the risk of damage.
Neuroscience. New York: Freeman, 1997. Cold site service vendors may have multiple
subscribers contracted to use their sites. In the
advent of a widespread disaster, only one of these
will be able to relocate in every site. It is therefore
important that the organization require the ven-
Cold Site dor to clearly state in the contract the limits on
the number of clients from the same geographical
A cold site, also known as a “shell site,” is a des- area entitled to use the cold site services offered.
ignated standby recovery facility (a warehouse, The organization may also consider including a
an empty office building, or a similar construc- “no lockout” clause in the contract, something
tion) large enough to host the mission-critical that, on one hand, will increase the cost of the
activities and applications of an organization’s service but, on the other hand, will guarantee a
primary site. It is essentially a reserved main- cold site even in periods of high demand.
tained space (raised floors with electricity, air con- An attractive alternative to a cold “shell” site
ditioning, humidity controls, fire protection, and service is the use of mobile sites or “porta-sites.” In
pre-installed wiring) ready for the installation of this scenario, self-contained trailers or other eas-
workstations, office equipment, and networking ily relocated units equipped with the appropriate
and computer systems that will be shipped in the environmental controls, electrical generators, and
event of a primary site outage. telecommunication systems are transported to the
As a cold site does not come set up with hard- primary site so that equipment can be obtained
ware, software, or backed-up versions of the and installed near the original location. Business
organization’s data, it requires minimal start- continuity plans should reflect how long it will
up costs. Vendors offer cold site services on an take for the mobile site to be set up and running
annual subscription fee that includes access to the in the disaster location and all pre-configurations
 Collaboration 141

required for this. The service usually costs the responsibility along with the government. They
same as a cold site but brings the work environ- support, coordinate, and interact with each other;
ment to the end user, thus saving travel time for they also provide and receive information and all
the recovery personnel and offering greater flex- types of assistance from each other before, dur-
ibility to organizations with multiple sites nation- ing, and after a disaster.
ally and internationally. An additional advantage Collaboration is essential in addressing both
this option offers is that it makes testing more fea- natural and human-made disasters. In the man-
sible. Mobile sites may also be configured to offer agement and coordination of disaster prepared-
“warm” or “hot” site recovery services. ness, response, and recovery, governments need to
work closely with nonprofit organizations and the
Alexandros Paraskevas private sector. Citizens should also be included in
Oxford Brookes University the entire process. The National Fire Protection
Association (NFPA) of the United States 1600
See Also: Business Continuity Management; Business and the Emergency Management Accreditation
Continuity Planning; Business Continuity Planning Program (EMAP) standards define emergency
Life Cycle; Business Resumption Planning; Warm Site. management programs as “a jurisdiction-wide
system that provides for management and coor-
Further Readings dination of prevention, mitigation, prepared-
Hile, Andrew N. Business Continuity: Best Practices— ness, and response and recovery activities for all
World-Class Business Continuity Management. hazards”(EMAP Standard 3.3.3). The standard
Brookfield, CT: Rothstein Associates, 2005. also requires an advisory committee to “ensure
Snedaker, Susan. Business Continuity and Disaster that the program is developed and maintained in
Recovery Planning for IT Professionals. collaboration with program stakeholders, both
Burlington, MA: Elsevier, 2007. from policy and operational levels” (EMAP Stan-
Whitman, Michael E. and Herbert J. Mattord. dard 4.3.2). The president; Congress; federal,
Principles of Information Security. 4th ed. Boston: state, local agencies; nonprofit organizations;
Cengage Learning, 2011. the private sector; and individual citizens are all
stakeholders of emergency programs in practice.
Generally, intergovernmental collaboration,
public-nonprofit collaboration, and public-pri-
vate collaboration are the three most usual pat-
Collaboration terns of collaboration.

Since the 1940s, crisis management has been Intergovernmental Collaboration

evolving from a top-down bureaucratic model Federal, state, and local agencies share the respon-
toward a more collaborative system. One impor- sibility of crisis management when facing a disas-
tant feature is that, instead of a command or con- ter. Different levels of governments need to work
trol system, collaboration brings a more dynamic with each other toward an effective and efficient
and flexible network model that facilitates multi- crisis management system. Interstate collabora-
organizational, intergovernmental, and inter- tion is also necessary in some cases.
sectoral cooperation. Dynamic and efficient Since the 1940s, with the start of the Cold War,
strategies have been adopted in the field of crisis the U.S. federal government has been increas-
management to replace hierarchy and standard ingly involved with state governments in crisis
procedures. Another feature is the changed rela- management. By that time, the Federal Disas-
tionship between government, nonprofit orga- ter Act and the Civil Defense Act were passed,
nizations. and the private sector. Calls for open and the Federal Civil Defense Administration
communication and broad cooperation dispel the was established to provide assistance during
authoritarian air that long hung over the field of disasters. Natural and human-made disasters
crisis management. Nonprofit organizations and during the 1960s and 1970s, such as the 1964
the private sector take shared partnership and Alaska earthquake, increased the demands for
142 Collaboration

comprehensive disaster management. Actually, State governments usually play the role of
the federal government was not involved in the intermediaries. They assist in federal policy imple-
costly phase of disaster response work until the mentation, local community training, and federal
1964 Anchorage, Alaska, earthquake. Executive grant funneling. The state’s governor’s declaration
Order 12127 established the Federal Emergency is also required for federal assistance, according
Management Agency (FEMA) comprising sev- to the Stafford Act.
eral federal agencies, to provide broader disaster Although the federal government provides
management and comprehensive assistance to substantial resources, local agencies still carry
local communities. For most federal assistance the greatest responsibility for disaster manage-
during disasters, a Presidential Disaster Declara- ment. Disaster preparation and response is widely
tion is required, which initiates mechanisms for viewed as the appropriate role of government,
collaboration and use of all-level government and most citizens expect government, especially
resources. Federal assistance includes individual their local government, to take an active role. At
and public assistance, but mostly it serves as a the local level, the department of emergency man-
source of funding. In some cases, federal depart- agement plays a key role in disaster management
ments and agencies can provide immediate life- as the main coordinator of all agencies. Some-
saving assistance to states without a formal pres- times a task force may be set up with officials
idential declaration. from local emergency management departments,

An elderly woman is rescued on May 14, 2008, after being trapped for more than 50 hours in the destruction caused by the 2008
earthquake in Dujiangyan City, Sichuan Province, China. Collaboration was at work in this crisis: Nongovernmental organizations
provided assistance to victims and raised $6 billion in aid. Private companies provided free temporary housing, permanent home
construction, and cell phones to survivors. Finally, over 75 percent of victims were rescued by mutual aid from local citizens.
 Collaboration 143

related governmental agencies such as the depart- nongovernmental organizations (NGOs) leads
ment of health, department of civil affairs, and to more effective and efficient disaster response
fire and police departments, as well as representa- and recovery activities. NGOs are agile and less
tives of the private and nonprofit sectors. These bureaucratic than government agencies; however,
agencies take on specific tasks in the event of a NGOs’ limitations in resources, accountability,
disaster, from placing road closure signs to pro- and coordination sometimes undermine their
viding food, building shelters, and the like. effectiveness and efficiency as well as the equi-
The 2009 Georgia flood demonstrates a suc- table distribution of services. Also, donors tend
cessful intergovernmental collaboration. In Sep- to be interested in immediate disaster relief rather
tember 2009, Georgia experienced historic flood- than longer-term recovery and mitigation, so the
ing. Following the emergency, the Governor’s voluntary sector alone is not capable of both
State of Emergency Declaration was issued, fol- coordinating and guaranteeing a just and effec-
lowed by the Presidential Disaster Declaration. tive social response to disasters.
Fourteen counties were qualified for federal assis- Nonprofit organizations and faith-based orga-
tance. During the disaster, local agencies such as nizations (FBOs) have a long history in disaster
the Georgia Emergency Management Agency, relief work and collaboration with government
Georgia Department of Community Health, agencies in the United States. The history can be
and Georgia Department of Community Affairs traced back to 1905, when the American Red
played a proactive role in the response and recov- Cross declared to receive the Congressional Char-
ery process. A Unified Command System was set ter that asked the American Red Cross to carry
up to help coordinate interactions among these on “a system of national and international relief
agencies with “jurisdictional, geographical, or in time of peace and apply the same in mitigating
functional responsibilities” toward joint efforts. the sufferings caused by pestilence, famine, fire,
For example, firefighters in Taylor County assisted floods, and other great national calamities, and
local authorities with road damage assessments. to devise and carry on measures for preventing
They also assisted the Department of Natural the same.” The congressional charter still oper-
Resources in water rescues in Douglas County ates today.
and other areas. In addition, Georgia received The Federal Emergency Management Agency
interstate assistance from North Carolina and (FEMA), as the main governmental disaster
Alabama, which provided public assistance response agency, has a long and close relationship
coordinators. The successful management of the with the National Voluntary Organizations Active
2009 Georgia flood is to a great extent attrib- in Disaster (NVOAD), which is the main national
uted to effective and efficient intergovernmental network of NGOs related to disaster activities. In
collaboration. October 1979, soon after FEMA was established,
John Macy, the director of FEMA, met with the
Public–Nonprofit Collaboration NVOAD membership. In response to this meet-
For a long time, people considered natural disas- ing, NVOAD appointed a committee to work
ters as “God’s action,” and disaster preparedness closely with FEMA on an ongoing basis. Now the
and response were mainly the responsibility of relationship has grown to the point that FEMA
individuals and local communities. However, the currently participates actively in NVOAD’s board
disruptive and dynamic nature of disasters often meetings, committee meetings, annual meetings,
exceeded the capacity of the community level. and the annual VOAD leadership conference. At
Multiorganizational responses become essential, the national level, the NVOAD offers a forum for
especially the collaboration between the govern- communication between the many active volun-
ment and nonprofit sectors. No single department tary agencies on a wide number of issues. At the
or agency has sufficient resources to deal with the regional level, FEMA participates in state VOAD
major disaster at hand. activities and encourages close working relation-
Developing close working relationships ships. Through these methods, FEMA has devel-
and strong collaboration between governmen- oped strong rapport with local and state-level
tal emergency management departments and VOADs throughout the country.
144 Collaboration

Also, FEMA continues to maintain its memo- connections with enterprises and governments
randa of understandings with individual volun- nationwide and internationally. They can effec-
tary agencies and works closely with NVOAD tively raise money or resources by organizing
members individually. FEMA contributes to the donation of money, clothes, or food. In the Wen-
public awareness of NVOAD, contributes to the chuan earthquake, NGOs such as the Red Cross
training of NVOAD and VOAD members, assists raised about $6 billion, which accounted for 31
NVOAD in helping its members contribute to percent of total funding. What is more, participa-
disaster mitigation, and assists NVOAD in the tion of NGOs in disaster management fosters the
development of a partnership between its mem- consolidation of the society and increases people’s
bers and the business community. And NVOAD sense of responsibility.
agreed to lead and encourage the mitigation of
natural hazard risks through outreach, education, Public–Private Collaboration
and local community involvement both before The private sector also plays a key role in every
and after disaster occurs; encourage linkages phase of crisis management. Many private-sec-
between governments, the business community, tor organizations are responsible for operating
and the state and substate VOADs; assist FEMA and maintaining the nation’s critical infrastruc-
when a major disaster or emergency is declared; ture. Privately owned critical infrastructure, key
encourage its members to regularly share infor- resources, and other private-sector entities are
mation about field disaster response and recovery significant to local, regional, and national eco-
activities with FEMA regional offices; and dis- nomic recovery from incidents. Examples of
seminate FEMA emergency management infor- privately owned infrastructure include trans-
mation through its membership. portation, telecommunications, private utilities,
NGOs play a vital role before, during, and financial institutions, and hospitals. Also, many
after a disaster. NGOs have direct contact with private sectors have their own continuity plans to
the mass population. Their informing of the pub- deal with disasters, which ensure their continuous
lic and a close relationship with local communi- operation.
ties makes it much easier for NGOs to integrate Participation of the private sector during a
people into disaster preparedness and training. response varies based on the nature of the orga-
During and after a disaster, NGOs collaborate nization and the nature of the incident. Gener-
with first responders, governments at all levels, ally, there are three types of collaboration of the
and other agencies and organizations providing private sector with the government and nonprofit
relief services and fund-raising to sustain life, organizations. First, owners of certain regulated
reduce physical and emotional distress, and pro- facilities or hazardous operations are usually
mote recovery of disaster victims when assistance legally responsible for preparing for and prevent-
is not available from other sources. NGOs have ing incidents from occurring and responding to an
their specific target groups with a focus on a cer- incident once it occurs. For example, federal reg-
tain social problem, and they clearly understand ulations require owners of nuclear power plants
the needs of disadvantaged groups such as the to maintain emergency plans and facilities and to
elderly, children, and the disabled. Also, because perform assessments, prompt notifications, and
NGOs provide professional service in daily life, training for a response to an incident. In the his-
they are more professional and efficient in provid- torical snowstorm in South China, electric power
ing services for victims. For example, in the 9/11 companies were required to clean the ice on the
World Trade Center attack in 2001, volunteer power poles to maintain the electricity provided
psychological organizations provided psycho- to local communities.
logical counseling for emergency responders and Second, many private-sector companies volun-
victims afterward. In the 2008 Wenchuan earth- tarily participate in disaster preparedness, miti-
quake in China’s Sichuan province, Save the Chil- gation, and recovery for no profit. This embod-
dren focused on providing assistance to the child ies the sense of corporate social responsibility
victims. Moreover, NGOs play an important role (CSR). Nowadays, as the private sector becomes
in collecting funding and resources. NGOs have the main fosterer in economic development, it
 Collaboration 145

has much more involvement in social develop- mutual aid from citizens. Less than 17 percent of
ment than ever before. Not only does the private the survivors were rescued by professional groups,
sector provide better technology, products, and who arrived hours or days later.
service to the society, it also relies more and more To promote citizens’ role in all phases of emer-
on the development of the society that provides gency management, it is necessary for them to
it with a safe and stable social environment and receive training in advance. The residents should
consumers with affordability. Also, enterprises be educated in disaster procedures and mitigation
with a good image among the mass population endeavors. Through this process, they become
tend to attract more consumers. This interde- more self-reliant and supportive of what emer-
pendence motivates many private-sector firms to gency services can provide.
volunteer for disaster response activities. In the
Wenchuan earthquake, many companies volun- Achieving Successful Collaboration
teered to provide free tents and movable shelters Collaboration of varied governmental agencies
for temporary victim housing. The telecommuni- can be better reached with preestablished frame-
cation company offered free cell phones to survi- works such as mutual aid agreements and mem-
vors to reach out to their relatives. Construction oranda of understanding to provide or receive
companies promised to rebuild houses for the assistance in disasters. A good example is the
victims at no charge. Emergency Management Assistance Compact
Finally, other private-sector companies par- (EMAC), a state-level mutual aid agreement.
ticipate in disaster management in the form of a According to this agreement, states can share
paid contract with the government. The contract resources in the event of a disaster. States that
requires the companies to promise to provide cer- provide assistance can be reimbursed by FEMA
tain products or services to the community once for their expenses. For example, FEMA reim-
a disaster strikes. The government pays for their bursed more than $30.4 million to the state of
expenses. This encourages enterprises to produce Mississippi for receiving more than 24,000 vic-
or store products specified by the government tims from other states in the event of Hurricane
that are mostly needed by local communities, not Katrina.
only during and after a disaster, but also before a Successful collaboration also requires excellent
disaster. For example, local government can sign personal skills in leadership and communication
a contract with companies producing extinguish- of emergency managers. Matching organizations’
ers, fire hammers, and wires. This contract form skills and abilities to the tasks at hand is no less
provides a more agile and efficient model and important than matching employees’ skills and
largely reduces either shortage or waste of neces- abilities to their job descriptions. Successful col-
sary resources. laboration depends on a clear understanding of
each entity’s roles and responsibilities in emer-
Collaboration With Citizens gency management. Thus, emergency managers
Citizens, whether affiliated with a group or inde- must be familiar with the functions and capabili-
pendent, are an indispensable part of disaster ties of all departments, agencies, and organiza-
management collaboration. They have a strong tions at various levels of government as well as of
desire to make efforts to increase their safety and other entities in the private and nonprofit sectors.
that of their families and communities. The mobi- Emergency managers not only must be aware of
lization of organizational and individual volun- the number and diversity of agencies involved in
teers also serves a social-psychological purpose disasters but also must improve their administra-
in that it brings communities together and gives tive skills and their ability to improvise in coop-
them a sense of efficacy. eration with others. Different organizations have
Citizens are always the first responders at the their unique missions and values, different cul-
disaster scene—before other assistance such as the tures, and running models. Misunderstanding of
military or medical groups arrive. In the Wench- a key word in disaster management among orga-
uan earthquake, 70,000 survivors out of 84,000 nizations could cause big trouble. Also, conflict
trapped in the debris or injured were rescued by among agencies could greatly lower the efficiency
146 Command and Control

of disaster response activities. Thus, emergency U.S. Department of Homeland Security. “National
managers need to sharpen their skills in leader- Response Framework.” Washington, DC: FEMA
ship and communication to reach a better collab- Publications, 2008.
oration in crisis management. U.S. Department of Homeland Security. “Securing
Our Homeland: U.S. Department of Homeland
Qiujie Zhang Security Strategic Plan.” Washington, DC: DHS,
Beijing Academy of Science and Technology 2004.
Ziqiang Han U.S. Federal Emergency Management Agency.
University of Delaware “Robert T. Stafford Disaster Relief and
Emergency Assistance Act, as Amended, and
See Also: Agency Notification and Mobilization; Related Authorities.” Washington, DC: FEMA
Business Continuity Planning; Business Continuity Publications, 2007.
Planning Life Cycle; Command and Control; Waugh, W. L., Jr. “Coordination or Control:
Coordination; Crisis Communications; Disaster Organizational Design and the Emergency
Declaration; Disaster Recovery; Emergency Management Function.” International Journal of
Management Agencies, City and County; Emergency Disaster Prevention and Management (1993).
Manager; Emergency Responders; Federal Emergency Waugh, W. L., Jr., and G. Streib. “Collaboration and
Management Agency (FEMA); Nongovernmental Leadership for Effective Emergency Management.”
Organizations; Political and Organizational Public Administration Review (2006).
Leadership; Preparedness; Prevention; Public Wolensky, R. P. and E. J. Miller. “The Everyday
Relations; Red Cross and Red Crescent; Stafford Act; Versus the Disaster Role of Local Officials.“ Urban
State Emergency Management Agencies; Volunteer Affairs Review (1981).
Coordination.

Further Readings
Bryson, J. M., B. C. Crosby, and M. M. Stone. “The
Design and Implementation of Cross-Sector Command and Control
Collaborations: Propositions From the Literature.”
Public Administration Review (2006). In the context of emergencies, “coordination”
Chertoff, Michael. “National Incident Management means conducting processes and operations so
System.” Washington, DC: U.S. Dept. of that their functionality is guaranteed, usually
Homeland Security, 2008. by ensuring that people and organizations work
Comfort, L. K. and T. W. Haase. “Communication, together to good effect. The term command
Coherence, and Collective Action: The Impact means giving formal orders and instructions to
of Hurricane Katrina on Communications people and groups so that they will take particu-
Infrastructure.” Public Works Management & lar actions. Principles of command and control in
Policy (2006). civilian emergency management are derived from
Fagnoni, C. M. “National Disaster Response: FEMA military practice and reflect the need to ensure that
Should Take Action to Improve Capacity and response operations are orderly and disciplined.
Coordination Between Government and Voluntary Systems need to be designed to ensure that the
Sectors.” Washington, DC: U.S. Government commanders do not lose sight of the “big picture”
Accountability Office, 2008. (i.e., the context of emergency operations). This
Quarantelli, E. L. “Ten Criteria for Evaluating the is achieved by ensuring that command decisions
Management of Community Disasters.” Disasters are based on sound procedures, experience, and
(1997). information relayed from the field of operations.
Samba, Mamadou M. “Intergovernmental Emergencies tend to be chaotic situations char-
Collaboration in Emergency Management: The acterized by the imperative need to limit casual-
Case of the September 2009 Georgia Flood.” MPA ties, destruction, and damage. Data on the evolv-
Thesis. Kennesaw, GA: Kennesaw State University, ing crisis may be insufficient, uncertain, and
2010. ambiguous, and there may be sudden, unexpected
 Command and Control 147

developments to which the response mechanisms In the modern world, emergency conditions
must adapt with great rapidity. In crisis situations, favor uncertainty, diversity, informality, and
emergency managers will probably suffer from decentralization. Therefore, emergency manage-
stress and tiredness, but they must maintain clear ment means coordinating more than controlling.
objectives, interact effectively with many people, Moreover, in general terms, everyone wants to
and communicate lucidly. Emergency response command and control, but not everyone is happy
organizations may have shifting, competing to be commanded and controlled. This is evident
goals, yet in managing them, emergency com- at the grass-roots level of relief efforts, where
manders need to be aware of the terrible potential decision-making processes tend to be pluralistic
consequences of errors, inefficiency, negligence, and decentralized. At the same time, information
or inactivity. and communications technologies have become
This article considers the nature of emergency an important and accepted part of crisis response,
command (including changing trends in the mod- and their effect has been to reduce the need for
ern era). It reviews two models of emergency centralized or hierarchical decision making and
command (incident command system and the promote a more collaborative approach. In brief,
gold-silver-bronze model) and will conclude with they have flattened the chain of command.
some remarks on contemporary challenges in The modern emergency manager is more a con-
command and control. troller of resources than of people. Besides per-
sonnel, the resources consist of light and heavy
Anatomy of Emergency Command vehicles (possibly including aircraft), specialized
There are two basic models of emergency manage- equipment, materials and supplies, buildings and
ment that constitute the end members of a spec- structures, and the means of rapid communica-
trum, along which many different permutations tion. Stated in other terms, the “raw material”
are possible. The “command function model” of emergency command is made up of structures,
groups the emergency functions around a locus things, and tasks.
of control, the chain of command, which com- The choice of management model depends on
prises a hierarchy of tiers determined by decision- the forms of public administration that prevail
making competencies at each level. Typically, the in a particular country, and also on cultural fac-
levels are strategic, tactical, and operational. The tors. Where autonomy and individualism prevail,
“support function model” is nonhierarchical and a more collaborative model is required; where
relies more on collaboration than on command. people are accustomed to waiting for orders, a
Relationships between emergency managers are more command-based model is appropriate. In
based more on specific functional sectors than either case, there will be a “lead agency,” either
on position in a hierarchy of decision makers. by default or by design. This is the reference
Examples of the sectors include search and res- organization for basic command in the incident.
cue, materials and supplies, logistics, transporta- It will be charged with assuming a coordinat-
tion, communications, and shelter. The command ing role and presiding over decision processes,
function model assumes that the responses of the above all at the site of emergency operations. The
many organizations that participate in emergency lead agency could be any of the main emergency
operations need to be centralized and formally response organizations, and which of them is cho-
directed by a hierarchy of authoritative people. sen depends on both the national culture of emer-
The support function model assumes that a crisis gency response and the problems encountered
can be managed by allotting competencies to task in typical national emergencies. In Italy, the Fire
forces and ensuring that they exchange informa- and Rescue Service is the lead agency, as in major
tion adequately and address all needs generated disasters such as earthquakes, firefighters have
by the emergency. As these are end members of a the lead role in search and rescue and making
spectrum, most forms of crisis management that environments safe for other responders to enter.
are actually used are less extreme than a purely In Britain, the lead agency is usually the police,
command-based or purely collaborative approach because emergencies are seen first and foremost
and thus represent a compromise between models. in terms of the need to maintain public order.
148 Command and Control

Arrangements exist to let the other services take

over the lead role in specific kinds of emergency. Incident
Commander
In the Islamic Republic of Iran, the Red Crescent
is usually the lead agency, as earthquake disasters Information Planning Safety
are usually major mass casualty events. Officer Officer Officer
A common emergency management system is
the incident command system (ICS), in which the Planning Operations Operations
Logistics Accountability
lead agency role is in many cases occupied by a Section Section Section
Section Administration Section
fire service. Resources Field Operations Communications Accounting

Incident Command System Situations Ariel Operations Field Support Acquisitions

The incident command system (ICS) began with a
Documentation Assembly Area Mgt Materials Resupply Salaries
radical reorganization of wildfire-fighting activi-
ties in California after a particularly difficult day
in August 1970 when centralized command was Figure 1 Simplified diagram of an incident command system
unable to cope with almost 200 simultaneous
environmental fires. The ICS is a modular sys-
tem with command instituted at the site of the
incident. Emergency operations grow with con- the incident commander can communicate effi-
tinuing assessments of needs and the arrival of ciently with the emergency operations center that
new resources at the site. The ICS offers a means provides support and backup to the field team.
of coordinating the work of organizations and Finally, the accountability and administration
task forces and ensuring that they strive toward section monitors and registers expenditures and
common objectives, such as stabilization of the manages administrative processes. A simplified
incident and protection of lives, property, and diagram of the ICS is shown in Figure 1.
environments. In this way, the ICS is designed to ensure that
At each site there is an incident commander, command processes are logical, acceptable, and
who provides local leadership and should be the transparent; that responsibilities for action are
most appropriate person to do so, on the basis of fully assigned; and that emergency responders are
rank, experience, and training. He or she coordi- able to divide up tasks, collaborate, and provide
nates operations at the scene. A planning officer each other with any mutual assistance that may
acts as the point of contact between the incident be required. Flexibility is ensured by the fact that
commander and the organizations that respond on-site command and competencies can be passed
to the emergency. He or she collects and evalu- instantaneously from one person to another by
ates information on the incident, helps the inci- the mere act of taking off or donning a reflective
dent commander to define operational priorities, tabard, and also that the system embodies the
and disseminates information on the progress of delegation of responsibility to individuals, teams,
the incident and the corresponding operational and task forces. Compared with many other
response plan. The plan is put into action by the forms of command, the ICS has improved infor-
ICS operations section. At the same time, the mation sharing, collaboration, communication,
logistics section acquires and manages the materi- efficient use of resources, and safety and security
als, equipment, and services required to support of responders. It has reduced the span of control
the emergency responders. The logistics team fol- and favored realistic forms of management, espe-
lows the instructions of the incident commander cially across different organizations (in very large
and the operations section. At the flank of these disasters, more than 100 of these may be present
workers, a safety officer monitors risks associated in the field).
with operations at the site and ensures that all The ICS is satisfactory when its objectives are
emergency responders are properly protected. An clearly defined, reasonable, consistent, and ade-
information officer liaises with any mass media quately prioritized. Critics of the ICS have argued
representatives who are present and ensures that that it does not function well in large disasters
 Command and Control 149

(i.e., that it is inherently suited to small, self-con- which it works (police, medical first responders,
tained emergencies, such as localized transporta- volunteer groups, etc.).
tion crashes or house fires). It is difficult for the
system to absorb groups of responders who are The British Command and Control System
independent or poorly organized—the so-called The national emergency management system in
freelancing problem. Critics say that it can cause a the United Kingdom is hierarchical and based on
large convergence reaction of emergency person- a tripartite distinction between “bronze” (opera-
nel, equipment, and resources, but it remains too tional), “silver” (tactical), and “gold” (strategic)
simplistic to manage these, especially over long levels. In addition, “platinum” (or “diamond”) is
periods of time. Indeed, it has been argued that the policy-setting level, but it is not intended to be
the ICS can create inflexibility when conditions activated during emergencies. Instead, the high-
change rapidly and unexpectedly. Moreover, the est level of emergency command is represented by
emphasis on “command” could signify authori- the Cabinet Office Briefing Room (COBRA) in
tarianism. In synthesis, the ICS seems to be least London, which is a sort of higher-level strategic
effective when there are rapid, multiple impacts in operations center staffed by senior members of
a limited geographical area, where many organi- the national government.
zations seek to achieve many different goals, and In an emergency, the bronze level (operations)
where the varied objectives of emergency opera- is activated before the silver and gold levels. The
tions conflict with one another. bronze commander must first estimate the geo-
The protagonists of the ICS respond that many graphical size and seriousness of the problem.
of its inefficiencies result from failure to train and He or she assigns control of a specific geographi-
exercise participants in using the system, or from cal area to a particular commander and begins
its application in contexts for which it was not the process of coordinating organizations that
designed. The best conditions for the use of the work at the site. Multiple sites thus require mul-
ICS are those in which there is no lack of trust tiple bronze command posts and commanders.
or leadership, participants know each other and Silver (tactical) command may be based in an
work well together, the tactical plan of action is urban center near the incident, in many cases in
established before the incident, all participants a local police station. Silver determines priorities
are well aware of the nature and magnitude of the in the allocation of resources, plans and coordi-
incident, and there is a good consensus among all nates tasks to be carried out at the site or sites,
the emergency responders. However, one could establishes general command over all operations,
argue that these are preconditions for good emer- and maintains a register of decisions and actions
gency response whatever the command system taken. The silver commander decides whether to
employed. activate the emergency plan and puts into action
Despite reservations about the validity of the the measures needed to tackle the incident. At one
ICS, it has been widely adopted since it was further remove, gold (strategic) command locates
devised more than 40 years ago. The U.S. National and supplies adequate resource support to tacti-
Incident Management System (NIMS) is a form of cal commands and forms a group to ensure that
ICS designed to be used in national emergencies multiagency response is adequately coordinated.
and embodies a full-scale multiagency coordina- The flow chart of the system is shown in Figure 2.
tion system. In the United Kingdom, the Medical It is evident that in this system, “gold” must
Incident Management System (MIMS) is a variant find resources, “silver” must allocate them, and
of the ICS designed to codify on-site responses to “bronze” must use them. Functional sectors are
medical emergencies by health personnel. Out- distributed among the levels of this hierarchy,
side the United States, applications of the ICS with the majority of them pertaining to the stra-
are more commonly limited to particular services tegic level. Indeed, the decision may be taken to
than applied to the whole spectrum of emergency institute a parallel “gold media command” so
response organizations. In Italy, for example, the that intensive inquiries by mass media represen-
National Fire and Rescue Service has its own ICS, tatives can be answered without interrupting the
but this does not extend to the organizations with emergency response chain of command.
150 Command and Control

Are Command and Control Really Necessary? a very early stage in a synchronized way between
It is evident from the description of these two participating organizations; this will enable them
systems that the ICS uses a more collaborative to move from normal operations to emergency
approach and the UK system is oriented more response mode in which nonessential tasks are
toward a traditional model of military origin. dropped. Above all, there must be good lines of
Command and control appear in various forms communication between organizations and full
in both systems, but are they necessary at all? It sharing of information.
could be argued that command merely takes away A good leader is a person who has clearly
a sense of individual responsibility from whoever defined responsibilities and is fully aware of them.
is commanded, and that it inhibits creativity and He or she has previous experience managing emer-
flexibility in the face of complex, intractable, and gencies and is well able to carry out the appropri-
rapidly mutating problems. ate tasks associated with managing the emergency.
There is no doubt that adaptive management He or she is able to balance detachment with
is needed in the modern emergency. Respond- involvement, to avoid the decision-making rigid-
ing adequately is no longer a process of applying ity that goes with tiredness and stress, and to stop
the rules and waiting for the results. One must burnout from occurring. From the point of view of
be able rapidly to recognize the magnitude of the team members, the leader should satisfy the dual
event: A state of emergency must be declared at need for a way-finder and a protector. The extent

Strategic
Public L E A D G O V E R N M E N T D E PA R T M E N T
Level
Inquiries
Strategic Coordinating Group
Temporary
Mortuary Police Local Authority
Gold Media
Fire Military Forces
Center
Casualty Ambulance Government Advisors
Bureau Other Agencies
Media
Liaison
Survivor Relative
Point
Reception Reception
Center Center

Local Authority
Receiving Voluntary Emergency Center
Hospitals Agencies
Tactical
Level
Body Incident Control Point Vehicle
Holding Ambulance Marshalling
Police
Area Loading Area Operational
Fire
Point Ambulance Level
Liaison Site of Disaster
Casualty Police
Clearing Fire
Station
Ambulance
INNER CORDON Specialist Advisors

Figure 2 Gold, silver, and bronze (strategic-tactical-operational) command system (United Kingdom model)
 Commodity Shortages 151

to which this involves processes of command and Houghton, Robert J., Chris Baber, et al. “Command
control depends on individual, organizational, and Control in Emergency Services Operations:
regional, and national cultures. Some degree of A Social Network Analysis.” Ergonomics, v.49
command and some need to exert authority will (2006).
always be present, but the current tendency in Jones, Jeff. NIMS Incident Command System Field
emergency management is away from authoritar- Guide. Tigard, OR: Informed Publishing, 2006.
ian approaches toward more collaborative ones. Stambler, Kimberly S. and Joseph A. Barbera.
“Engineering the Incident Command and
David Alexander Multiagency Coordination Systems.” Journal of
Global Risk Forum, Davos Homeland Security and Emergency Management,
v.8 (2011).
See Also: Civilian Protection, Post-Conflict;
Coordination; Decision Making; Decision Making,
Theories of; Decision Making Under Stress; Decision
Support Tools; Emergency Management, Principles
of; Emergency Management System; Emergency Commodity Shortages
Manager; Interoperability; National Incident
Management System (NIMS); Perimeter Control; The most practical definition of a “commodity
Political and Organizational Leadership; Volunteer shortage” is the inability to obtain key items such
Coordination. as articles that can be used for trade. These may
include gold, silver, spices, apples, grain, or related
Further Readings items. A commodity shortage may lead to a large
Arbuthnot, Kevin. “A Command Gap? A crisis secondary to the lack of important supplies
Practitioner’s Analysis of the Value of Comparisons such as food or medical supplies. Moreover, com-
Between the UK’s Military and Emergency munities often face illness due to a lack of simple
Services’ Command and Control Models in the commodities such as cleaning supplies, soap, or
Context of UK Resilience Operations.” Journal shoes. It is important to note that services are not
of Contingencies and Crisis Management, v.16 typically defined as commodities.
(2008).
Buck, Dick A., Joseph E. Trainor, and Benigno E. Reasons
Aguirre. “A Critical Evaluation of the Incident Commodity shortages are quite common during
Command System and NIMS.” Journal of a crisis. There are several reasons for shortages,
Homeland Security and Emergency Management, including a decrease in production resulting from
v.3 (2006). a lack of materials or manpower, pestilence in the
Burby, Raymond J. and Peter J. May. “Command food supply, a lack of transportation assets or
or Cooperate: Rethinking Traditional Central routes, or a divergence of supplies to a crisis area.
Governments’ Hazard Mitigation Policies.” In Divergence of supplies to areas stricken by a cri-
Building Safer Communities: Risk Governance, sis or affected by military action often reduces the
Spatial Planning and Responses to Natural Hazards, amount of commodities available for the public.
Urbano Fra Paleo, ed. NATO Science for Peace and Since commodities may be very limited in many
Security Series. Amsterdam: IOS Press, 2009. areas, this divergence will severely impact the civil-
Flin, Rhona and Kevin Arbuthnot, eds. Incident ian population. Storage concerns are also a major
Command: Tales From the Hot Seat. Abingdon, concern. Many nongovernmental organizations
UK: Ashgate, 2002. (NGOs) provide commodities, especially food,
Flin, Rhona and Georgina Slaven. “Personality during crises. However, government programs also
and Emergency Command Ability.” Disaster provide food supplies and other commodities in
Prevention and Management, v.5 (1996). partnership with NGOs. The military often works
Hodgets, Timothy J. and Crispin Porter. Medical with these organizations to ensure that emergency
Incident Management System (MIMS). Oxford: transportation assets are available whenever pri-
BMJ Books, 2002. vate resources may not be readily available.
152 Commodity Shortages

A decrease in production secondary to a lack of A lack of transportation assets, such as trucks

raw materials or manpower often occurs during or ships, may create a commodity shortage. This
extraordinary events. The most common reasons may be due to poor road conditions, work stop-
for a lack of raw materials include reduced pro- pages, lack of spare parts for repairs, or a lack
duction, shuttering production facilities due to of trained operators or pilots. Additionally, dur-
crisis, overusing raw materials, or reduced ability ing a crisis these transportation assets may not
to obtain raw materials to produce commodities. be available because they are diverted for use in
Since finished products such as generators, vehi- more critical areas.
cles, or toilet paper cannot be produced without Severe weather also limits the number of
parts or raw materials, production facilities have transportation assets that may be available. For
no choice but to cease production whenever they instance, during an ice storm it is not always pos-
are unable to obtain raw materials. sible for large trucks to move along roadways
Some raw materials such as platinum are so because they are impassable. Severe weather also
hard to obtain that the world supply is often impacts other transportation assets such as air-
reduced in an effort to prevent large shortages of craft and shipping, both of which may not be
the commodity. Other commodities such as medi- available during extraordinary times. Aircraft
cations used to fight cancer or control diabetes may not be able to access a given area due to
are in short supply because production facilities weather conditions or because the weather may
have lost patents, thereby reducing profit mar- have deteriorated runways. Operators and pilots
gins. These facilities often choose to cease produc- may also refuse to enter crisis-stricken areas, such
tion rather than lose profits. This leaves suppliers as those experiencing armed conflict, thereby cre-
trying to find other ways to obtain commodities, ating a lack of transportation assets in a given
which may not be possible. Moreover, the price of area. Obviously, if an area experiences a lack of
the remaining commodities is often so high that transportation assets, then it is likely that the area
only the wealthy can afford to purchase them. will not receive needed supplies. This reduces
The availability of certain commodities may also food supplies, medical supplies, and equipment,
be secondary to geographical location of those thereby creating a commodity shortage. It is
seeking the commodity. For instance, it may be important for private and public entities to plan
quite easy to obtain a petroleum product, such as ahead by delivering needed commodities ahead of
diesel, in areas near refineries or where pipelines time. Many communities and organizations peri-
are readily available, but it may be hard to obtain odically order important commodities in order
in areas that require extended shipping methods. to prevent shortages due to transportation con-
Commodity shortages are also common during cerns. Moreover, these organizations may order
work stoppages. extra supplies so that they can use them should a
Pestilence in the food supply may reduce the commodity shortage occur due to transportation
availability of fruits, vegetables, and grains. concerns.
Although chemicals are often used to reduce Organizations often experience a commod-
attacks by these pests, it is quite common for many ity shortage simply because they do not have
areas of the world to experience infestations. adequate storage facilities. If commodities are
Farmers in underdeveloped countries do not have not properly stored, they may be lost due to a
access to a ready supply of pesticides or the equip- variety of reasons, including theft, damage, pes-
ment to deliver them; therefore, these areas of the tilence, or other infestations. Many communities
world are accustomed to infestations. However, lack adequate storage facilities for both perish-
many developed countries also experience their able and nonperishable commodities for a vari-
own infestations. For instance, both China and ety of reasons. These reasons may include lack
Russia have experienced attacks by large swarms of funding to purchase proper storage facilities,
of locusts, thereby reducing their food supply. lack of security forces, and lack of experience
Countries then have to allocate funds to purchase with commodity storage, especially for food-
food supplies from countries such as the United stuffs and medical supplies. It is not uncom-
States or Brazil. mon for organizations in crisis-stricken areas
 Contingency Planning 153

to lose the majority of their commodities due to commodities should they be needed during a cri-
theft. These organizations are often prohibited sis. These commodities include medical supplies,
from employing armed security forces, so they foodstuffs, parts, shoes, bedding, clothing, and
understand that theft by armed groups is to be related equipment and supplies. Governments can
expected with commodities. also prevent commodity shortages by working
In war-torn areas of the world, it is quite com- with the private sector to ensure that commodities
mon for the general population to experience a remain available as needed. Developed countries
commodity shortage. As many of these areas are can also work together to prevent armed conflicts
ruled by dictatorships, the government simply or provide specialized military teams whenever
ensures that its own forces are supplied with the armed conflict is all but unavoidable.
majority of goods while the population receives
very little. Unfortunately, during a commodity Doug Brown
shortage the available supply often goes to the Arkansas State University
highest bidder instead of to the people who need
the commodities most. Because the poor do not See Also: Crisis Communications; Documentation;
have the resources to purchase these high-priced Doctors Without Borders; Emergency, Definition of;
commodities, they face injury and death. Govern- Emergency Medical Care; Emergency Responders;
ments and NGOs often deploy troops or large Evacuation; Food Security; Health and Medical
groups of volunteers to counter these efforts by Response Scenarios; Mutual Aid and Assistance;
rough leaders. The United Nations may intercede Nongovernmental Organizations; Preparedness;
by providing transportation assets and manpower Response; Training; Transportation Security;
to deliver and protect key commodities such as Uncertainty.
food, water, and medical supplies.
Organizations such as the World Health Orga- Further Readings
nization (WHO), Doctors Without Borders, and Byrne, J. P. Encyclopedia of Pestilence, Pandemics,
Feed the Children are often called upon to supply and Plagues: A–M. Westport, CT: Greenwood,
key commodities such as food, medical supplies, 2008.
and water to areas of the world experiencing a Callahan, J. R. Emerging Biological Threats: A
shortage. These organizations often work in con- Reference Guide. Westport, CT: Greenwood, 2010.
junction with or under the direction of the United Garnsey, P. Famine and Food Supply in the Graeco-
Nations (UN). The United States government is Roman World: Responses to Risk and Crisis.
the largest supplier of emergency commodity sup- London: Cambridge University Press, 1989.
plies of any nation in the world. Food supplies, MSN. “Millions of Locusts Invade Russia.” (June 9,
clothing, and other items are often sent to areas 2011). http://video.ca.msn.com/watch/video
facing crisis through the United States Agency for /millions-of-locusts-invade-russia/17y0q2q50
International Development (USAID), an agency (Accessed August 2012).
of the U.S. Department of State.

Prevention Efforts
Commodity shortages may be reduced by effec-
tively planning for crisis in advance. These efforts Contingency Planning
include stockpiling food supplies and protecting
food supplies from viruses, bacteria, and pesti- Contingency planning in emergency manage-
lence. Medical supplies and equipment can also ment takes place within many different contexts
be stockpiled in strategic locations to prevent and management settings. This has led to variety
shortages. Stockpiling these supplies and equip- in management approaches and the terms used
ment in secure locations to protect them from the to describe contingency planning. To provide
weather, theft, or pestilence is the key to reducing a broadly applicable definition of contingency
future shortages. Nongovernmental organizations planning in emergency management and draw
and government agencies alike often pre-stage attention to some examples of approaches and
154 Contingency Planning

terms applied in different settings, seven areas of situations that require emergency response. Con-
contingency planning will be reviewed: the defini- tingency plans detail specific risks that require
tion of contingency planning, the importance of attention beyond the provisions of general plans.
contingency planning, the governance context of Contingency plans contribute to an integrated
contingency planning, contingency planning and approach to emergency response and highlight
international assistance, contingency planning in specific training and exercise requirements to deal
national settings (the United Kingdom and the with particular kinds of emergency. Good contin-
United States), multilevel coordination, and con- gency planning thereby enhances organizational
tingency planning and complex systems. and community resilience.

Defining Contingency Planning Governance Context

The Oxford dictionary defines the word contin- Different management regimes provide different
gency as “a future event or circumstance which is national and agency contexts. United Nations
possible but cannot be predicted with certainty.” agencies and national governments that commit
Contingencies (such as a tsunami, earthquake, to democratic, effective, and efficient emergency
drought, or epidemic) that produce emergencies management recognize the need for a governance
are the focus of contingency planning. The Inter- framework that provides the conditions for effec-
Agency Standing Committee (IASC; a forum tive leadership to guide the planning process;
involving United Nations and non-UN partners for accountability and transparency in management;
humanitarian assistance) defines contingency plan- the participation of stakeholders in the planning
ning relating to humanitarian crises, but the defini- process; good coordination and communications;
tion is applicable more generally and is a recog- and the enhancement of sustainability, robust-
nized standard within the United Nations system. ness, and resilience.
The IASC defines contingency planning as “a man-
agement tool used to analyze the impact of poten- International Assistance
tial crises and ensure that adequate and appropri- The UNISDR promotes common understanding
ate arrangements are made in advance to respond and usage of disaster reduction concepts, and
in a timely, effective, and appropriate way to the the Hyogo Framework for Action (HFA) 2005–
needs of the affected population(s). Contingency 2015 underlines the need for more consistent
planning is a tool to anticipate and solve problems terminology related to disaster risk reduction.
that typically arise during humanitarian response.” The IASC regards contingency planning as part
In research on drought contingency planning of preparedness in accordance with Priority 5 of
for the United Nations International Strategy for the HFA that refers to “strengthening disaster
Disaster Reduction (UNISDR), Lesukat Marko preparedness for effective response at all levels.”
points out that emergency managers sometimes Preparedness under the HFA involves “increasing
use the terms contingency planning and contin- the capacity to predict, monitor and be prepared
gency plan interchangeably. He draws attention to reduce damage or address potential threats”
to the important conceptual distinction between and “strengthening preparedness to respond in
these terms, showing that while contingency plan- an emergency and to assist those who have been
ning is a systematic management process, a con- adversely affected.”
tingency plan is a product of that process. This requires that stakeholders work together
effectively. According to UNISDR, contingency
Importance of Contingency Planning planning “results in organized and coordinated
When carried out well as part of an integrated courses of action with clearly-identified institu-
approach to emergency planning, contingency tional roles and resources, information processes,
planning enables planners to anticipate problems and operational arrangements for specific actors
and identify appropriate responses to deal with at times of need.” Contingency planning, for
emergencies. Contingency planning ensures that UNISDR, allows “key actors to envision, antici-
public agencies, nongovernmental organizations pate and solve problems that can arise during
(NGOs), and communities are better prepared for crises.” Contingency planning is an important
 Contingency Planning 155

aspect of overall preparedness, and it is a pro- planners must be aware of the capacities, includ-
cess involving the regular updating and exercising ing training and skills, of potential responders,
of contingency plans. The UNISDR regards the and contingency planning generally involves put-
strengthening of national integrated mechanisms ting in place a trigger or link to an early warn-
conducive to effective preparedness planning. ing system that puts the contingency plan into
Jim Good, writing for the United Nations High operation.
Commissioner for Refugees (UNHCR), describes According to the IASC guidelines, there are
this as a “dynamic process” where it is impor- four elements demanding strong coordination
tant to move beyond the limitations of formal- and process management in their conception of
istic contingency plans that may not properly fit the contingency planning process. These elements
into a wider strategic framework of emergency are the following:
planning. As Lesukat Marko shows, contingency
plans on their own are insufficient to achieve • Preparation: Preparing for and organizing
effective preparedness and response. Contingency the contingency planning process.
planning should be part of a wider integrated • Analysis: The assessment of hazards and
strategy where the linkages between prepared- risks, building scenarios, and developing
ness, response, and recovery are explicit, with a planning assumptions.
commitment to community resilience and sus- • Response planning: Defining response
tainability. The International Risk Governance objectives, defining coordination and
Council (IRGC) points out that contingency plan- management arrangements, and developing
ning should nest within a broad risk governance and embedding response plans.
framework where stakeholders should be alert to • Implementing preparedness: Regarding the
complex and emerging risks as well as to the spe- planning process as iterative, leading to
cific risks alluded to in contingency plans. Risk continual improvement.
and emergency management will significantly
contribute to resilience if stakeholders appreciate For the IASC, the contingency planning process
the complexity and interdependencies of systems generates outputs reflecting the different phases
that can produce unexpected types of emergency of planning, and these outputs, according to the
and multi-hazard disasters. IASC guidelines, should be included in a contin-
In its report titled “Inter-Agency Contingency gency plan typically constructed as follows:
Planning Guidelines for Humanitarian Assis-
tance,” the IASC refers to international assis- • Executive summary: An overview of the
tance efforts involving UN agencies, NGOs, and plan and its elements.
others such as the International Red Cross. The • Hazard and risk analysis: A brief summary
IASC advocates general preparedness planning of the hazards and risks analyzed as part of
that establishes a standing capacity to respond to the contingency planning process.
emergencies together with contingency planning • Scenarios and planning assumptions: Brief
that is preparedness and response planning for summaries of agreed scenarios and planning
a specific emerging or anticipated crisis. General assumptions underlying the contingency
preparedness planning and contingency planning plan.
share many of the same planning activities, the • Objectives and summaries: Concise
main difference being the concentration in contin- statements of objectives, strategies, and
gency planning on a specific risk or risks. guiding principles.
Contingency planners therefore need expertise • Overall management and coordination
in response preparedness, needs assessment, and arrangements: Identifying clusters and
coordination while they assume responsibility for designated lead agencies/organizations
addressing a specific risk or risks. Contingency (with a diagram showing coordination
planners must understand the nature of coordina- mechanisms), and covering arrangements
tion between agencies and other stakeholders and for appeals and funding, information
should address coordination gaps. Contingency management, and cross-cutting issues.
156 Contingency Planning

• Summary of sector/cluster response plans: assessment, and establishing planning

(a cluster is “essentially a sectoral group,” parameters
such as education or health): Outlining »» Prevention deals with fire safety,
sectoral participation, objectives, and building regulations, and actions that
response actions along with a gap analysis help prevent an emergency
and indication of the standards guiding »» Preparation includes the production
response. of plans and exercising. It concerns
• Preparedness actions: Agreed priority emergency “preparedness for
preparedness actions, and preparedness response” set within IEM
actions by sector. • Two post-emergency activities:
• Annexes: Summaries of sector plans, »» Response concerns the detailed
a schedule for the implementation of decisions and actions to deal with
preparedness actions, and terms of reference the immediate after-effects of an
for sector/cluster groups. emergency, such as command
and control, coordination, and
The IASC emphasizes that contingency plans communications
are not instruction manuals for responders. »» Recovery concerns the restoration of
Instead, they establish working relationships, communities following an emergency
standards, and coordination between stakehold-
ers. Contingency plans thus concern “solving While contingency planning involves “prepara-
potential problems ahead of time.” tion,” it is an important element in overall pre-
paredness and IEM. Contingency planning thus
Contingency Planning in National Settings involves activities used in other types of emer-
In the United Kingdom (UK), duties under the UK gency planning. For example, it involves anticipat-
2004 Civil Contingencies Act oblige stakeholders ing risk and taking account of safety assessments
variously to engage in emergency planning, risk and regulations. Contingency plans refer to these
assessment, business continuity planning, warn- as well as defining response and recovery roles.
ing and informing, and promoting business conti- Because contingency planning concerns specified
nuity management. The act mainly concerns pre- risks, it involves the development of scenarios for
paredness through assessment and preparation. It those risks and making agencies and the public
does not cover response and recovery directly but more aware of them.
does deal with “preparedness for response.” Con- The UK guidance indicates the following plans
tingency planning, as a pre-emergency process, is used in emergency preparedness:
an aspect of preparedness for response.
The Cabinet Office guidance on emergency pre- Generic plans relate to any emergency. A generic
paredness provides an overview of the emergency plan can act as a “core plan” for emergency staff
planning process that addresses emergencies with and resource mobilization. Such plans build
domestic and international implications. The awareness and complement multiagency inte-
guidance establishes principles that apply across grated major incident response systems such as
a range of emergency planning situations. The command and control.
guidance commits to Integrated Emergency Man-
agement (IEM) that includes six related activities Specific hazard or contingency plans deal with a
as follows: specific risk or risks, or particular kind of emer-
gency. Contingency plans move from the general
• Four preparedness activities: to the particular, addressing such events as oil pol-
»» Anticipation, or horizon scanning, lution, chemical spill, or flu pandemic. Specific
where responders become aware of plans generally are multiagency, covering different
risks agency roles. Such plans commonly involve differ-
»» Assessment includes risk assessment, ent levels of government, as in the British National
capability analysis, readiness Contingency Plan for Maritime Pollution. Specific
 Contingency Planning 157

The 2005–06 drought in Somalia had a severe impact on livestock. Despite the cyclical pattern of droughts in the Horn of Africa,
there are no national preparedness plans in Somalia or Ethiopia. According to a report by the Humanitarian Policy Group, there is an
absence of national and sufficient local contingency funds to rapidly implement large-scale plans. The lack of effective coordination
between district and national levels prevented existing contingency plans from forming wider national and international responses.

plans are appropriate when generic arrangements This involved a structured project management
are insufficient for dealing with the peculiarities of approach, including consultation with partners
a particular case. There are specific site or location working within the IEM framework.
plans as well as wide-area plans for such events The Staffordshire Resilience Forum (SRF) is
as floods, storms, and chemical contaminations. the multiagency partnership responsible for flood
“Slow-building wide area emergencies,” such as contingency planning in the county. The SRF
severe weather conditions or drought, also have worked with the supporting Staffordshire Civil
plans. Most responders employ specific plans Contingencies Unit (SCCU) that populated a reg-
within the context of a generic plan. ularly reviewed Community Risk Register (pub-
lished on the Staffordshire Prepared Web site).
Staffordshire Emergency Flood Plan (SEFP) out- Partners highlighted various risks, thereby help-
lines the contingency planning process with refer- ing the SRF to prioritize resources for concerns
ence to a local flood plan in the English county of greatest need. Flooding ranked as one of those
of Staffordshire, according to Andrew Marshall, priority needs.
director of civil contingencies in Staffordshire. The Community Risk Register led to a formal
Flooding is one of the greatest risks in Stafford- request for the development of a multiagency con-
shire, potentially affecting communities, local tingency/response plan to address flooding through
governments, health sector organizations, the two key meetings. One involved tactical leaders,
emergency services (fire, police, and ambulance and the other strategic SRF leaders. Following
services), and other organizations. SEFP involved acceptance of the flooding risk, planners produced
more than 40 organizations, over two years, con- a business case behind the requirement for a spe-
tributing to production of the original 2009 plan. cific contingency/response plan for flooding. The
158 Contingency Planning

strategic leaders then agreed on a project to see the An Integrated Planning System (IPS) (comple-
planning through, and a local government author- menting NIMS) applies to federal agencies relying
ity in London peer-reviewed the plan, followed by on or helping other agencies, and its plans are in
a three-day multiagency validation exercise. relation to the National Planning Scenarios. The
The United States provides another example IPS refers to contingency (pre-incident) planning
involving complex multiagency contingency plan- supporting post-incident crisis action planning.
ning. In the wake of the 2001 9/11 attacks, the As in other nations, the DHS regards contingency
United States, Federal Emergency Management plans as concentrating on specific threats or sce-
Agency (FEMA), along with other federal agen- narios, and according to the guidance on the Inte-
cies, programs, and offices, in 2003 became the grated Planning System, contingency planning
U.S. Department of Homeland Security (DHS). facilitates a transition to crisis action planning.
In 2005, Hurricane Katrina underlined the need
for stakeholders to collaborate effectively and Multilevel Coordination
rationalize emergency planning. Before Katrina, It is thus vital to process-manage contingency
the DHS produced the 2004 National Response planning and coordinate stakeholders, whatever
Plan, superseded by the 2008 National Response the context. The Staffordshire Emergency Flood
Framework (NRF), which underscored the need Plan depends upon interagency collaboration and
for multilevel coordination. coordination in national/local settings. The DHS
The DHS Contingency Planning and Incident in the United States refers to coordinating home-
Management Division (CPIMD) coordinates and land security at strategic, operational, and tactical
implements the “incident management” functions planning levels, while the IASC refers to three lev-
for its Office of Infrastructure Protection (IP) cov- els of contingency planning in international assis-
ering contingency planning, preparedness, conti- tance initiatives involving UN agencies and other
nuity, and incident planning. Contingency plan- stakeholders. The first IASC level involves provid-
ners within IP work with FEMA officials and ing a common framework within which a con-
others in supporting actions in line with national tingency plan will fit. The second level is sector/
NRF policy. The DHS supports the development cluster level planning, which defines how agen-
of plans and procedures for preparedness and cies will work together to achieve sector-specific
incident management, and CPIMD has a Busi- objectives. At the third level, organization-specific
ness Continuity and Emergency Preparedness planning defines organizational arrangements.
Team that ensures that IP operations are effec- Effective contingency planning involves the inter-
tive. National Planning Scenarios depict various action of all these levels.
“high-consequence” threat scenarios, including Illustrating this, the International Federa-
terrorist attacks and natural disasters, intended tion of Red Cross and Red Crescent Societies
to provide a focus for contingency planning and (IFRC) employs contingency planning as part of
preparedness work. a disaster response planning process, with “inte-
The DHS National Preparedness System (NPS) grated programming” coordinating stakehold-
covers preparedness, protection, response, and ers from different sectors. The IFRC emphasizes
recovery. A National Incident Management Sys- risk reduction and mitigation through a form of
tem (NIMS) involves all levels of government, preparedness planning directly engaging local
NGOs, and the private sector, providing a stan- people in devising and implementing measures to
dardized framework compliant with the NRF. enhance community resilience. However, different
The NIMS has a clear management process focus, stakeholders have different needs, and this makes
under NIMS strategic, operational, and tactical coordination difficult. Planners need to be sensi-
plans, each incorporating a clearly defined pro- tive to expectations at each level of planning. At
cess for joint action and multilevel cooperation the highest level, “institutional disaster planning”
through integrated planning. General plans might defines the scope of humanitarian action, provid-
relate to “scenario-specific” plans or include ing a strategic policy commitment; at the second
annexes based on risk assessments, while contin- level, “disaster response planning” involves col-
gency plans focus on specific risks. laboration to reach a “level of preparedness for
 Contingent Coordination 159

timely and effective response.” For the IFRC, Good, Jim. Contingency Planning: Learning Module.
this involves developing a disaster response plan Tokyo: United Nations High Commissioner for
that is “preliminary in nature” based on “edu- Refugees, 2011.
cated assumptions of risks and hazards.” At Inter-Agency Standing Committee. “Inter-Agency
the third level, contingency planning establishes Contingency Planning Guidelines in Humanitarian
operational procedures for direct humanitarian Assistance.” Geneva: IASC, 2007.
action. Contingency planning involves “scaling International Federation of Red Cross and Red
up” to address specific risks likely to have been Crescent Societies (IFRC). Disaster Response and
identified during general response planning. The Contingency Planning Guide. Geneva: IFRC, 2007.
contingency plan can address local, national, International Risk Governance Council (IRGC).
regional, and international risks, as with earth- “An Introduction to the IRGC Risk Governance
quakes, terrorist attacks, and epidemics. The Framework.” Geneva: IRGC, 2008.
contingency plan defines operational procedures International Strategy for Disaster Reduction.
for responding to a disaster based on anticipated “2009 UNISDR Terminology on Disaster Risk
levels of resources and takes account of the avail- Reduction.” Geneva: UNISDR, 2009.
able resources and capacities of organizations and Marko, Lesukat. “Drought Contingency Plans
communities. and Planning in the Greater Horn of Africa: A
Desktop Review of the Effectiveness of Drought
Contingency Planning and Complex Systems Contingency Plans and Planning in Kenya,
Much thinking underlying contingency planning Uganda and Ethiopia.” Nairobi: United Nations
reflects rational management attempts to iden- International Strategy for Disaster Reduction,
tify and concentrate upon specific risks. In the Regional Office for Africa, 2012.
past, emergency planners have often tended to be Staffordshire Civil Contingencies Unit. “Staffordshire
“plan focused” and less concerned with processes Prepared.” http://www.staffordshireprepared.gov
and complex interrelationships between differ- .uk (Accessed May 2012).
ent kinds of risk. According to the IRGC, such U.S. Department of Homeland Security. “The
“reductionism” tended to focus down on partic- Integrated Planning System.” Washington, DC:
ular problems and modes of preparation at the DHS, 2009.
expense of holistic thinking about the complexity
of crises. The IRGC regards contingency planning
as a valuable management tool, but for the IRGC
it is important continually to learn lessons from
emergencies by holistically viewing systems com- Contingent Coordination
plexity and appreciating “emerging risks” that
are familiar or new risks, which become apparent Coordination within an organization is often
in unfamiliar conditions. viewed as a critical factor in success. Effective
coordination ensures that all organizational activ-
Brian David Jacobs ities are working in an aligned manner, recogniz-
Staffordshire University ing that the functional areas within any organi-
zation are often interdependent. The concept is
See Also: Disaster Recovery; Fusion Center; Incident relatively clear for existing organizations, but is
Action Plans; Operational Plans; Operational less so for the ad hoc organizational structures
Readiness; Pre-Crisis Training and Planning; Pre- normally found in crisis management, where
Impact Planning Process; Preparedness; Recovery; multiple agencies may be called upon to work
Resiliency; Response; Risk Analysis; Risk Assessment; together to address a complex problem.
Scenario Planning; Strategic Plans.
Traditional Coordination
Further Readings Traditionally, coordination has been viewed as
Cabinet Office. “Emergency Preparedness.” London: a managerial role within an organization. For-
Cabinet Office, 2012. mal leaders are tasked with setting goals for the
160 Contingent Coordination

organization, then ensuring all internal activities within the formal organizational framework,
are aligned to maximize the potential for efficacy which means utilizing such an approach may dif-
and efficiency. In such instances, coordination is fer vastly from the past practices of the organi-
necessary to ensure that all interdependent func- zation. In effect, it requires appointed officials to
tions within the organization work in harmony, exceed their authority, or at least to temporarily
supportive of the efforts of the collective, with no yield it, recognizing that in doing so the organiza-
function being left unaddressed. Within this tradi- tion is deferring achievement of its own mission,
tional context, coordination is associated with a which could be construed as negligence. This con-
number of leadership and management concepts cern may lead to some hesitancy to engage in such
such as the setting of goals, the development of practices, especially if the elected leadership of the
objectives, the allocation of resources, and the locality does not encourage or support innovative
establishment of acceptable outcomes. and flexible approaches. Therefore, while contin-
In a traditional organizational setting, coordi- gent coordination does provide a potentially valu-
nation is normally associated with management of able means for organizations to work together
that organization. Although some aspects of the to solve complex problems, to be effective, the
organization may be influenced by external fac- approach must be supported by the elected lead-
tors, including the guidelines of regulatory agen- ership of the jurisdiction.
cies and market pressures, final decisions related
to operational functions are normally developed Coordination and Crisis Management
internally. Although these efforts may be made Disasters rarely pose a single threat to a com-
using a fully authoritarian model, a model that munity. A natural disaster such as an earthquake
maximizes employee participation, or any permu- requires a number of professional disciplines
tation in between, there is typically little concern, to work together. The same is true in a human-
if any, for aligning operations with the efforts of action event. Additionally, disasters rarely remain
other organizations, let alone yielding control of contained within the limits of a single jurisdic-
operations over to others. tion. Therefore, it is unlikely that any single
organization will have sole responsibility for an
Contingent Coordination incident. In practice, the circumstances are more
The term contingent coordination may be defined likely to be that multiple disciplines will have
as the ability and willingness of organizations concurrent jurisdiction. Illustrative of this, after a
to work outside their normal operational and tornado strikes, law enforcement seeks to secure
administrative parameters by partnering with the area and search for victims; the fire service
other organizations. This partnership is not nec- concerns itself with damaged structures, chemical
essarily reflected in a full integration of multiple leaks, and fires; emergency medical services treats
agencies into a virtual organization where deci- and transports the injured; public works clears
sions are made collectively, but instead is reflected the debris; and private utility companies seek to
by a number of agencies working together by restore services to the affected areas. Coordina-
temporarily yielding their authority to another. In tion of these activities by a single entity is prob-
doing so, the agencies essentially subsume their lematic, given that no single agency has sufficient
organizational goals to the goals of other orga- authority or technical expertise for all necessary
nizations, with an understanding that, at some functions. One means of addressing this in crisis
later point, they will become the lead agency, with management is to use contingent coordination.
others supporting them in the attainment of their During the response to Hurricane Katrina,
own organizational goals. this became a significant issue for federal agen-
There are a number of challenges to contin- cies. Formal role delineation was clear but frag-
gent coordination. Appointed officials in public mented. Exacerbating the problem was the lack
organizations often are constrained by the docu- of resources to conduct operations simultane-
ments that frame their power and discretion. In ously. Based strictly on the National Response
some instances, while contingent coordination is Plan and normal practices, federal agencies may
not prohibited, it is not recognized as an option very well have elected to work on their own areas
 Contingent Coordination 161

of primary responsibilities, creating a fragmented

response. Instead, representatives from a number Case Study: Motor Vehicle Collision
of federal agencies discussed the collective issues Contingent coordination occurs every day, often
faced, identified a list of priorities, then yielded outside the view of the public. It becomes a
their own authority to other agencies temporar- useful tool whenever multiple agencies with
ily, carrying out operations in a systematic man- concurrent jurisdiction must work together to
ner, sharing resources throughout. Although this achieve success. Though the specifics of this
was by no means a universal or perfect approach, framework may change due to state law, the
in many instances it facilitated a coordinated conceptual model will be consistent.
response that supported efficient and effective In many states, by law, law enforcement has full
delivery of services. This has not always been the authority over motor vehicle collisions. In many
case in times of crisis. states, by law, fire departments have full authority
Beginning in late 2001, a series of anthrax over hazardous materials spills, including gasoline
attacks occurred in the United States. During one and oil spilled during motor vehicle collisions. In
such event, the Federal Bureau of Investigation many states, by law, emergency medical services
(FBI) and various public health agencies experi- (EMS) have full authority over any injuries. A
enced problems. The FBI, noting that terrorism potential conflict occurs when these laws look
fell within its purview, insisted it was in charge of at such issues in isolation, with no appreciation
all operations, stating that no information about that they may frequently be combined in a single
the events should be released because it might neg- emergency incident. There is usually nothing in
atively impact the criminal investigation. Public the legal structure of public safety that provides
health agencies at the state and local levels argued for the primacy of a single agency, and also
that anthrax posed a significant public health risk, nothing that gives any single discipline authority
making it their responsibility. According to their over the other disciplines.
operational model, an effective response included To address this potential conflict, on-scene
an active public education campaign of the poten- emergency responders engage in contingent
tial risks, the signs and symptoms of exposure, coordination. Recognizing they all have
and the most appropriate means of treatment. independent missions, they agree to work for one
This placed the two disciplines at loggerheads another. Typically, patient care will take priority,
for some time. Although they eventually came to which will result in EMS providers taking the
terms, an approach based on contingent coordi- primary role, with the others assisting as needed.
nation may have greatly limited conflict. Once the patient care issues are addressed,
In 1992, during the Los Angeles, California, the chemical and environmental hazards are
riots, a number of local, state, and federal agencies addressed by the fire department taking the lead,
responded to incidents of rioting, criminal activi- with others assisting it. Finally, law enforcement
ties such as assault and robbery, and numerous takes the lead in both the investigation of the
fires. Though this was over a decade before the incident and the removal of debris from the scene,
implementation of the National Incident Man- with other agencies assisting it. Instead of using
agement System (NIMS), agencies in Southern a unified command system, the agencies rotate
California were well versed in the Incident Com- command authorities based on an agreed upon
mand System (ICS) used in California since the set of priorities being matched to the technical
early 1970s. Because of the extensive geographic proficiencies and authorities of each agency.
area involved, as well as the number of differing
agencies that were engaged, coordination using
an ICS became problematic. Many agencies set up
their own ICSs, focusing narrowly on their own
jurisdictions or the issues of primary concern to at the state or federal level, with little interor-
only their agency. Some state and federal agen- ganizational communication evident. Taken
cies continued to use their normal operational together, these actions contributed to role ambi-
approaches, which involved decision making guity, overlapping responses, service gaps, and
162 Contingent Coordination

the appearance that governmental systems had response. When used as an ICS, there is a single
collapsed. To some extent, these issues could have incident commander coordinating activities. This
been addressed through contingent coordination, is often found when the scale or severity of the
with agencies temporarily yielding their authority incident is small, with a single hazard that clearly
to others, but that is not always possible. fits within the parameters of a single organization,
During the 1992 Los Angeles riots, a con- such as a house fire. When multiple organizations
founding issue for the application of contingent have concurrent jurisdiction, the ICS may become
coordination was the presence of the active-duty a Unified Command System (UCS). In a UCS, rep-
military. Although National Guard units operat- resentatives from agencies with statutory author-
ing as state units under Title 32 of the U.S. Code ity work in unison to make decisions related to
can be assigned to work for local and state agen- the incident. Although this is similar to contingent
cies, under Title 10, neither they nor the active- coordination, there is a subtle difference. In a UCS,
duty military can be placed under the operational multiple organizations make decisions in a collec-
authority of local or state agencies. By law, they are tive manner. Using contingent coordination, an
under the direction of the Department of Defense, ICS will be used, with the person filling the posi-
which permits them to coordinate their activities tion of incident commander changing based on
with others but does not sanction their ability to the agency having the lead role at any given time.
yield authority. If the Insurrection Act of 1807 is
implemented, an area is effectively under martial Thomas E. Poulin
law, with local and state agencies working for the Capella University
military. Although this permits direct coordination
by the military, it does not permit contingent coor- See Also: Command and Control; Emergency
dination, as the Insurrection Act does not provide Management, Principles of; Emergency Manager;
for local or state agencies to exchange command Federal Emergency Management Agency (FEMA);
authority with active-duty military forces. Con- Incident Management; Mutual Aid and Assistance;
sequently, in some limited instances, contingent National Incident Management System (NIMS);
coordination may not be possible, though a Uni- National Response Framework; Preparedness;
fied Command System may still be possible. Response Team; Training.
A common thread in disaster research involves
problems with coordination. In some instances, Further Readings
coordination was ineffective due to a lack of Canton, L.G. Emergency Management: Concepts and
training. In other instances, coordination was Strategies for Effective Programs. Hoboken, NJ:
limited by interorganizational conflicts. In other Wiley, 2006.
instances, coordination was problematic because Chess, C. and L. Clarke. “Facilitation of Risk
with all agencies trying to address their own pri- Communication During the Anthrax Attacks of
mary concerns first, resources were lacking to 2001: The Organizational Backstory.” American
provide services at the desired levels of quality Journal of Public Health (2007).
and quantity. During crisis management, contin- Kettl, D. F. “Contingent Coordination: Practical
gent coordination offers agency leaders a frame- and Theoretical Puzzles for Homeland Security.”
work for working together to achieve the individ- American Review of Public Administration, v.33/3
ual needs of all organizations in an effective and (2003).
efficient manner, thereby providing higher levels Kettl, D. F. The Transformation of Governance:
of customer service to their communities. Public Administration for Twenty-First Century
America. Baltimore, MD: Johns Hopkins
Comparisons to Unified Command University Press, 2002.
One of the components of the National Incident McEntire, D. and G. Dawson. “The
Management System relates to command and Intergovernmental Context.” In Emergency
control, which includes the Incident Command Management: Principles and Practices for Local
System (ICS). The ICS is a flexible, scalable frame- Government, W. Waugh, Jr., and K.Tierney, eds.
work for coordinating a multi-organizational 2nd ed. Washington, DC: ICMA Press, 2007.
 Continual Improvement 163

Morris, J. C, E. D. Morris, and D. M. Jones. more effective routines and behaviors that ulti-
“Reaching for the Philosopher’s Stone: Contingent mately change the way the organization oper-
Coordination and the Military’s Response to ates. The best leaders are purposeful and skillful
Hurricane Katrina.” Public Administration in finding the learning opportunities inherent in
Review, v.67/Supp. S1 (2007). every crisis situation. In times of crisis, communi-
Poulin, T. E. “Concurrent Jurisdiction: Regional ties and constituencies expect their public lead-
Response and the 800-Pound Gorilla in the ers to minimize the impact of the crisis at hand.
Room.” IAEM Bulletin, v.24/7 (2007). Public leaders have a special responsibility to help
Prizzia, R. “The Role of Coordination in Disaster safeguard society from the adverse consequences
Management.” In Disaster Management of crisis. Experts in crisis management note that
Handbook, J. Pinkowski, ed. Boca Raton, FL: leaders who take this responsibility seriously are
CRC Press, 2008. attentive to all crisis phases: the incubation stage,
Rosegrant, S. “The 1992 Los Angeles Riots.” In the onset, and the aftermath. Crisis leadership
Managing Crises: Responses to Large-Scale then involves five critical tasks: sense making,
Emergencies, A. M. Howitt and H. B. Leonard, decision making, meaning making, terminating,
eds. Washington, DC: CQ Press, 2009. and learning. Lessons learned from surviving a
United States Fire Administration. “Mutual crisis often open a window of opportunity for
Aid: Lessons Learned From the California reform in the future.
System.” Technical Report Series USFA-TR-042.
Emmitsburg, MD: USFA, 2001. Contingency and Continuity Planning
White House. The Federal Response to Hurricane Contingency and continuity plans are essential
Katrina: Lessons Learned. Washington, DC: White components of a sound and comprehensive crisis
House, 2006. management plan. Contingency plans should con-
tain information and guidance that will help deci-
sion makers to consider not only the short-term
consequences but also the long-term effects of
every decision. Each critical function and process
Continual Improvement that is necessary to keep an organization running
must have its own contingency plan in the event
Continual improvement in crisis management is of failure or cessation. Business continuity plans
the process by which an organization deals with can help minimize the disruption to an organiza-
the need for change. Implementing change is tion that undoubtedly occurs in a crisis.
essential for organizations to effectively respond Advance planning and practice help ensure that
to increasingly diverse types of crises. The means an organization is appropriately and adequately
by which continual improvement is implemented prepared for a crisis. Crisis management teams
vary depending on the organization’s purpose, can rehearse a crisis plan by developing scenar-
function, and structure. However, there are some ios simulating collapse or interruption of opera-
commonly accepted methods and approaches to tions and by responding as planned. Testing and
continual improvement in crisis management for rehearsing contingency plans heightens awareness
most organizations, including but not limited to of the possibility of an actual crisis and prepares
lessons learned from the experience of an actual crisis team members to act quickly and effectively.
crisis, contingency and continuity planning, Fine-tuning the crisis plan can be undertaken to
improving coordination and communication, increase clarity, speed, efficiency, accuracy, and
total crisis management (TCM), and implement- effectiveness of response from the onset of a crisis
ing best practices. to its aftermath and resolution.

Learning From a Crisis to Effect Change Improving Government Efforts

In the wake of a crisis, enlightened organizational Local, state, and federal governments play a vital
decision makers adopt a learning orientation and part in crisis management, which is considered one
draw upon prior experience to develop new and of the primary roles of government. Emergency
164 Continual Improvement

services, such as fire and police departments at free Web-based training on the NRP through
the local level and the U.S. National Guard at the the Emergency Management Institute. Common
federal level, often play integral roles in crisis situ- alerting protocol (CAP) is a relatively recent
ations. To help coordinate communication during mechanism that facilitates crisis communication
the response phase of a crisis, the U.S. Federal across different media and systems. The CAP
Emergency Management Agency (FEMA) within helps create a consistent emergency alert format
the Department of Homeland Security admin- to reach geographically and linguistically diverse
isters the National Response Plan (NRP). This audiences through both audio and visual media.
plan is intended to integrate public and private
response by providing a common language and Total Crisis Management
outlining a chain of command when multiple par- A comprehensive approach to implementing
ties are mobilized. It is based on the premise that continual improvement in crisis management is
incidents should be handled at the lowest orga- adopting principles and practices similar to that
nizational level possible. The NRP recognizes of total security management (TSM). TSM is the
the private sector as a key partner in domestic business practice of developing and implement-
incident management, particularly in the area of ing comprehensive risk management and secu-
critical infrastructure protection and restoration. rity practices for a firm’s entire value chain. This
The NRP is a companion to the National Incident business strategy seeks to create added value for
Management System, which acts as a more gen- companies by managing security and resilience
eral template for incident management regard- requirements as core business functions as well
less of cause, size, or complexity. FEMA offers as to enhance asset management, increase brand

U.S. Air Force members of Operation Tomodachi coordinate gear at Sendai Airport, Japan, on March 16, 2011. The 353rd Special
Operations Group, the U.S. military’s humanitarian and relief effort in response to the 9.0-magnitude earthquake and tsunami that
struck Japan on March 11, 2011, established a usable runway at the airport. For many relief organizations, the tsunami was an event
that became a source of lessons learned in order to determine best practices for future events.
 Continual Improvement 165

equity and goodwill, and improve preparedness during and after a crisis often can set a standard
and resiliency. The TSM name borrows from for a best practice for crisis management. Recent
the management concept Total Quality Manage- developments that have provided guidance on best
ment (TQM), an approach made famous by the practices for crisis management are rapidly grow-
work of W. Edwards Deming. The TQM concept ing scientific literature, analysis and consolidation
revolutionized the manner in which quality was of practitioners’ cumulative experiences, and the
perceived in industry, encouraging it to be inte- allocation of significant resources by government
grated into the core business processes of a firm. agencies and the private sector to improve crisis
A company or agency using the TSM methodol- management. Recent sources for best practices
ogy utilizes a framework of focus points, metrics, incorporate lessons learned from events such as
and feedback loops in order to elevate risk man- the tsunami in Japan in 2011, Hurricane Katrina
agement from a noncore objective to an essential in 2005, the transportation system bombings in
business function. This process includes establish- London in 2005, the tsunami in the Asia Pacific
ing and creating a compliance management plan, region in 2004, the SARS outbreaks of 2003, and
implementing operational processes, evaluating the terrorist acts of September 11, 2001.
the effectiveness of operational plans, making The best practices framework is practice driven
appropriate changes as necessary, sharing suc- and seeks to blend the experiences of those who
cessful lessons learned with internal and external implement or engage in risk and crisis communi-
stakeholders, and pursuing continual incremental cation across a variety of circumstances and pop-
improvement. ulations. However, scientific theories and strong
On December 16, 2009, the U.S. Securities and evidence derived from systematic inquiry also
Exchange Commission (SEC) approved Rule No. inform best practices. Moreover, best practices
33-9089, which went into effect on February 28, should be considered works in progress because
2010. This rule requires companies to increase new evidence is forthcoming and lessons learned
their reporting of risk management practices, from real-world events are ongoing. The most
including details about the manner in which risk useful sources for best practices acknowledge
oversight is administered. The ruling has gener- their tentative nature. They caution that many of
ated increased interest in implementing the TSM the principles will be refined as events and evi-
approach to ensure compliance with the updated dence dictate and as new or emerging risks pres-
SEC guidelines. In January 2010, the Interna- ent opportunities for learning.
tional Organization for Standardization (ISO)
28000 was updated to include an explicit refer- Ross Prizzia
ence to the Plan-Do-Check-Act model of quality University of Hawaii, West Oahu
management popularized by Deming.
See Also: Business Continuity Planning; Business
Applying Best Practices Continuity Planning Life Cycle; Contingency
The term best practices refers to a set of principles Planning; Federal Emergency Management Agency
and guidelines about the process and content of (FEMA); National Incident Management System
crisis management, including methods, skills, new (NIMS); Risk Analysis.
technologies, training, drills, exercises, and other
relevant information resulting from advances from Further Readings
scientific discovery, findings from case studies and Barton, Thomas L. Crisis Leadership Now: A Real-
field research, and lessons learned from actual cri- World Guide to Preparing for Threats, Disaster,
ses and disasters. There is a high degree of consen- Sabotage, and Scandal. New York: McGraw-Hill,
sus among practitioners and scholars, as well as 2007.
supporting scientific evidence, that these methods Boin, Argen, et al. The Politics of Crisis Management:
and techniques are highly effective in responding Public Leadership Under Pressure. New York:
to crisis. For example, a case study that reveals Cambridge University Press, 2005.
advances in warning systems, training, drills, and Coombs, Timothy W. Ongoing Crisis
improvements in preparation for and response Communication: Planning, Managing, and
166 Continuity of Government

Responding. 2nd ed. Thousand Oaks, CA: Sage, micro or targeted threats to the macro threat of
2007. global nuclear conflict. To date, the United States
Prizzia, Ross and Gary Helfand. “The Day After: COG plan, or Continuity of Operations Plan
Rebuilding Main Street, USA.” In When Terrorism (COOP), has been activated only once. Regard-
Strikes Home, Defending the United States, less of era, a common theme of all COG plan-
James Fagin, ed. Upper Saddle River, NJ: Pearson ning is the need to provide an organized and legal
Education, 2006. model for the transition of power and responsi-
Shrivastava, Paul, et al. “Understanding Industrial bilities during times of crisis, while keeping the
Crisis.” Journal of Management Studies, v.25/4 society as close to normal as possible.
(1988).
Leadership and Authority Delegation
Order of leadership succession must be strictly
defined at all levels of government to avoid unlaw-
ful transitions or consolidations of power and
Continuity of Government facilitate a smooth transition of power. Although
succession orders at the local or municipal levels
Continuity of government (COG) is the princi- can often be accomplished with a simple orga-
ple of establishing defined procedures that allow nizational chart, state and federal governments
government, at all levels, to continue its essential require codified legislation due to the complexity
executive, legislative, and judicial operations and and scope of government at these respective lev-
functionality in the event of a catastrophic event els. There are often similarities between state and
or conflict. Modern COG planning can be traced federal orders of succession, as illustrated in the
back to World War II–era Great Britain. COG order of succession for the office of president of
planning grew and evolved throughout the Cold the United States of America:
War and is still a relevant and essential function in
the era of weapons of mass destruction prolifera- 1. Vice president
tion and global terrorism. 2. Speaker of the House of Representatives
COG planning is a common practice interna- 3. President pro tempore of the Senate
tionally. Canada, Sweden, France, Norway, the 4. Secretary of State
United Kingdom, and numerous other countries 5. Secretary of the Treasury
across central and Western Europe are known to 6. Secretary of Defense
have active COG planning initiatives. Because 7. Attorney general
of the sensitive nature of these plans, very little 8. Secretary of the Interior
information is readily available to the general 9. Secretary of Agriculture
public regarding plan specifics, especially among 10. Secretary of Commerce
former or current adversaries. 11. Secretary of Labor
In the United States, COG planning dates back 12. Secretary of Health and Human Services
to at least the Cold War and has its roots in the 13. Secretary of Housing and Urban
National Security Act of 1947; it remains a top Development
priority in the post-9/11 era. Throughout their 14. Secretary of Transportation
history, continuity of government plans have been 15. Secretary of Energy
completely or partially classified to prevent an 16. Secretary of Education
adversary from using the information contained 17. Secretary of Veterans Affairs
in the plans as a blueprint for attack, sabotage, 18. Secretary of Homeland Security
or propaganda. Early continuity of government
planning was designed to ensure that the gov- A sample order of succession for the office of
ernment of the United States would be able to governor is as follows:
continue operating after a catastrophic national
emergency, including nuclear conflict. Modern 1. Liutenant governor
planning initiatives have seen the addition of 2. President of the Senate
 Continuity of Government 167

3. Speaker of the House or entity are custodians of this philosophy and are
4. Whoever is highest ranking among the responsible for maintaining not only a prescribed
following offices and is eligible to serve as level of performance but also a way of doing busi-
governor: ness or conducting operations in order to support
a. Secretary of State the stated goals. Sustaining a standard of excel-
b. Auditor lence over an extended period of time is only pos-
c. Treasurer sible through continuity of leadership.
d. Superintendent of Public Instruction
e. Attorney general Information and Data Surety
f. Commissioner of Agriculture Information surety in the context of GOG plan-
g. Commissioner of Labor ning is the safeguarding of vital records, data-
h. Commissioner of Insurance bases, operational computer systems, and other
i. Commissioner of Public Safety related essential information sources and systems.
Governments at all levels maintain a variety of
A sample order of succession for the office of vital records that are invaluable during a cata-
town or city mayor is as follows: strophic event. These records contain information
such as population demographics, financial and
1. Vice mayor tax bills for local businesses, and legal documents.
2. Town or municipal council designee These data sets, along with many others, provide
an essential snapshot of populations, resources,
A sample order of succession for the office of and potential impacts at the local, state, regional,
town or city manager is as follows: and federal levels. These records and their associ-
ated information are also essential to maintaining
1. Assistant town or city manager order during crisis and provide the foundation
2. Public works director for recovery and resumption of normal activities.
3. Police chief On a more tactical level, response- and defense-
4. City attorney oriented networks must also be preserved during
a catastrophe to preserve a nation’s ability to pro-
Specific statutes and laws differ from state to vide for defense as well as assist in response and
state regarding legal requirements for the office recovery.
of governor, so individual state succession plans
will vary as well, especially in states where indi- Communications
viduals are permitted to serve in cabinet-level sec- Because of the nature of COG planning and oper-
retary or commissioner offices while not meeting ations, many different agencies from a geographi-
the requirements or eligibility for the office of cally diverse area often come together as response
governor. partners. A core principle of COG requires that
Delegation of essential functions and authori- key decision makers be securely isolated from
ties should be clearly identified at all levels of threats, and under certain circumstances from
government, cabinets, and departments as a con- each other, in order to preserve the order of suc-
tingency for the loss of leadership or the reassign- cession. While leaders and officials may be iso-
ment of leadership. All eligible leaders or person- lated from their departments or constituency, they
nel in a line of succession must have a baseline must still be able to communicate in a reliable and
level of training to allow them to function in their timely manner.
acting role during a catastrophe. Issues related to achieving interoperable com-
munications have been documented as far back
Continuity of Leadership as the Oklahoma City federal building bombing
A common trait among the most successful gov- in 1995. Interoperable communications continue
ernment entities and organizations is a sustained to pose a challenge today, and communication
operating philosophy of a period of years, or even capacity and redundancy are major issues as well.
decades. Leaders at all levels of an organization In many ways, solving the interoperability issues
168 Continuity of Government

of the late 1990s has decreased the data capacity Very High Frequency (VHF) radios, as well as
and redundancy of today’s digital communica- secured cell phones.
tions infrastructure. Above all else during a continuity of govern-
Modern COG plans must feature communica- ment emergency, communications must remain
tions annexes that provide for common opera- secure. The most diligent COG plans in the
tion but also must be have the capacity to han- world can be rendered useless if communications
dle double or triple the normal traffic volume between command centers and field personnel or
or bandwidth. Additionally, as governmental forces are compromised, jammed, or hijacked.
agencies, private response partners, and the U.S. Communications security during a catastrophe
military start narrow-banding along the 700–800 can include a variety of measures ranging from
MHz range, alternate redundant systems are still encrypted devices, to frequency hopping or fre-
needed. These alternate systems can include nar- quency skipping transmitters, to coded or cipher-
row-banded Ultra High Frequency (UHF) and based messaging. Although the latter is in direct

Case Study 1: Continuity of Government Following September 11, 2001

On September 11, 2001, the United States to establish communications and obtain situational
suffered nearly simultaneous terrorist attacks on awareness from their home offices or jurisdictions.
New York City and the Pentagon, the nerve center Although numerous exercises had been held over
of the Department of Defense (DoD). The National the years to test key functions, and at times even
Continuity of Operations Plan was activated for the entire continuity of government plan, the 9/11
the first time. The plan implementation involved attacks highlighted several issues and performance
the president, the vice president, up to 150 gaps to include a lack of interoperable and real-
senior officials and other government workers time communications between the private sector,
from numerous federal departments, and other governmental entities, and at times the DoD.
key personnel from the executive branch and In the years following the attacks, contingency
legislators moving to secure locations across the planners and agencies have sought to address these
country. The president, in Florida at the time of and many other challenges, with interoperable
the attacks, was taken to several high-security communications and multijurisdictional
military facilities before eventually returning to coordination being a primary focal point. Since its
Washington, D.C. In an effort to preserve the order formation, the Department of Homeland Security
of succession to the office of president, several has conducted several exercises to test continuity
of the individuals immediately behind the vice plans and measure the efficacy of these and other
president in order of succession were taken to planning and performance improvement initiatives.
separate secure locations. The United States has been in a state of national
Additionally, in Big Sky, Montana, more than emergency continuously since September 14,
350 government officials and contractors were 2001, when the Bush administration invoked
attending an emergency response conference the National Emergency Act in response to the
at the time of the attacks. They included the attacks. The act, which grants various powers to
director of the Federal Emergency Management the president during times of emergency and was
Agency; officials from the Commerce Department, intended to prevent a president from declaring a
the National Oceanographic and Atmospheric state of emergency of indefinite duration, must be
Administration, and the DoD; and numerous state renewed every two years. The act remains in effect,
emergency management/civil defense directors and following an extension by President Barack Obama
governors. Over the next few days, the officials in in September 2011. This underscores the gravity
attendance, from all levels of government, struggled and complexity that COG planners face.
 Continuity of Government 169

conflict with initiatives by FEMA and others capable operations centers but are not permanently
to move away from “coded messaging,” in the staffed or ready for operations. These facilities can
absence of any other method of securing commu- be brought online within a predetermined period
nications, it must be considered. of time after notification. Although cold sites are
not staffed at all times, there is a maintenance and
Alternate and Contingency Facilities sustainment component to each every cold site that
Secured contingency operations centers are essen- ensures operational and logistical readiness.
tial to support COG plans at all levels of govern- At the federal level, successful COG planning
ment. These locations and facilities fall under one must utilize a combination of hot and cold sites in
of two categories: hot sites and cold sites. Hot sites order to achieve optimal resiliency. State and local
are facilities that are fully staffed and networked governments often lack the resources and finances
at all times. These facilities can host emergency or to support multiple hot sites and typically rely on
contingency operations at a moment’s notice or as a single hot site with several alternate cold sites.
soon as the designated executive or decision mak- For security reasons, the locations, classifications,
ers arrive on site. Cold sites, by contrast, are fully and capabilities of all operations centers, hot or

Case Study 2: Continuity of Leadership in College Athletics

College athletics, specifically basketball, can be Recruiting and Retaining Leadership

used as a model continuity of leadership model At first glance, it is easy to assume that both
for nearly every level of organizational leadership. programs’ sustained success is a factor of superior
The lessons learned from a close analysis of “executive leadership” and attracting superior
two of the most successful NCAA Division I athletes; however, in both cases, both programs
basketball programs over the past 30 years, the have sustained an elite level of operational
University of North Carolina and Duke University, leadership among their players. This, by far, is the
are applicable to both everyday and crisis most important and impressive attribute of both
management models. programs, especially considering the context of
the NCAA student athlete. Student athletes are
Longevity Versus Transition eligible to participate with a school for a period
A single entrenched leadership over a period of one to four years; under certain circumstances,
exceeding 30 years does not guarantee success in this eligibility can be extended to a fifth year. This
the same way that four different leaders in 30 years requires coaches to recruit established, capable
does not guarantee failure. In the cases of Duke leaders, as opposed to developing them over a
University and the University of North Carolina period of several years. Additionally, every athlete
basketball programs, both scenarios have resulted must be a leader, not just the captains. An elite
in unrivaled success over the past two decades. athlete does not necessarily equal an elite leader.
In the case of Duke, the program has achieved Attracting the right talent is only half the battle.
four national championships, 13 Atlantic Coast Both programs also excel at retaining talent at
tournament titles, and 12 Atlantic Coast regular both the executive and operational levels. In a
season titles under a single head coach, Mike sport where many players stay in college only one
Krzyewski. In contrast, the University of North year before leaving to pursue professional careers,
Carolina has achieved four national titles, eight both schools routinely have rosters stocked full
Atlantic Coast tournament titles, and 15 Atlantic of upperclassmen. This sustained pipeline of
Coast regular season titles under four different leadership has ensured that both programs have
head coaches, Dean Smith, Bill Guthridge, Matt enjoyed systemic success with only episodic
Daugherty, and Roy Williams. setbacks.
170 Continuity of Government

cold, are classified to the highest degree appropri- of Vital Records.” Washington, DC: FEMA,
ate. Over the years, several locations in the United July 1, 1998.
States have been confirmed to be former or active Federal Emergency Management Agency. “Federal
contingency operation centers. These sites include: Preparedness Circular 60: Continuity of the
Executive Branch of the Federal Government at
• Cheyenne Mountain, Wyoming: The home the Headquarters Level During National Security
to North American Aerospace Defense Emergencies.” Washington, DC: FEMA, November
Command (NORAD) and U.S. Northern 20, 1990.
Command (USNORTHCOM) Federal Emergency Management Agency (FEMA).
• Mount Weather, Virginia: FEMA “Federal Preparedness Circular 61: Emergency
Emergency Operations Center Succession to Key Positions of the Federal
Departments and Agencies.” Washington, DC:
In addition to fixed facilities, mobile platforms FEMA, August 2, 1991.
such as Air Force One and the National Airborne Federal Emergency Management Agency.
Operations Center are tasked with being mobile “Federal Preparedness Circular 62: Delegation
contingency and command platforms. During the of Authorities for Emergency Situations.”
1960s, mobile platforms also included the National Washington, DC: FEMA, August 1, 1991.
Emergency Command Post Afloat (NECPA), the Federal Emergency Management Agency. “Federal
USS Northampton, and the USS Wright. Preparedness Circular 65: Federal Executive
In addition to contingency operations and com- Branch Continuity of Operations (COOP).”
mand centers, governments and private-sector Washington, DC: FEMA, July 26, 1999.
entities must also maintain alternate locations Federal Emergency Management Agency. “Federal
to ensure data protection and communications Response Planning Guidance 01-94: Continuity of
redundancy. Much like operations centers, these Operations (COOP).” Washington, DC: FEMA,
alternate facilities are classified as hot or cold facili- December 4, 1994.
ties. It is common for such facilities to be present at U.S. White House. “Executive Order 12472:
the national or military level. Because of financial Assignment of National Security and Emergency
and logistical limitations, state redundancy sites Preparedness Telecommunications Functions.”
are typically limited contingency communications Washington, DC: April 3, 1984.
relays for statewide radio systems. Very few city or U.S. White House. “Executive Order 12656:
county governments have resources to develop or Assignment of Emergency Preparedness
maintain redundancy locations, outside a limited Responsibilities.” (November 18, 1988). http://
capacity redundant data center. City and county www.archives.gov/federal-register/codification/
governments will, however, on occasion partner executive-order/12656.html (Accessed June 2012).
with the private sector to develop regional solu- U.S. White House. “National Security Decision
tions for very targeted and narrow-scope systems. Directive 37: Enduring Constitutional
Government.” Washington, DC: April 18, 1990.
Dalton Sawyer U.S. White House. “National Security Decision
University of North Carolina Health Care System Directive 51: National Continuity Policy.”
Washington, DC: May 9, 2007.
See Also: Cold Site; Data Mirroring; Data Recovery; U.S. White House. “National Security Decision
Warm Site. Directive 55: Enduring National Leadership.”
Washington, DC: September 14, 1982.
Further Readings U.S. White House. “National Security Decision
Federal Emergency Management Agency (FEMA). Directive 69: Enduring Constitutional
“Code of Federal Regulations 101-2: Occupant Government.” Washington, DC: June 2, 1992.
Emergency Program.” Washington, DC: FEMA, U.S. White House. “Presidential Decision Directive
July 1, 1998. 67: Enduring Constitutional Government
Federal Emergency Management Agency (FEMA). and Continuity of Government Operations.”
“Code of Federal Regulations 1236: Management Washington, DC: October 21, 1998.
 Cooperative for Assistance and Relief Everywhere (CARE) 171

Cooperative for Assistance United Nations and one in Brussels to work with
European entities. In addition to the 12 national
and Relief Everywhere offices, there are CARE offices in many of the
countries where CARE has ongoing projects.
(CARE) Each of these country offices is led by a country
director. The secretariat, along with the board of
CARE International is a large nonprofit confeder- directors, coordinates the work of national affili-
ation of national members in 12 countries. CARE ates, sets policies, and helps coordinate responses
brings humanitarian aid to developing countries to humanitarian crises. The secretariat also houses
and provides help spawn social and economic the CARE Emergency Group, which enables the
progress. CARE began through a group of Ameri- organization to act quickly in emergencies that
can organizations wanting to aid post–World War standard programs are not equipped to handle or
II Europe. Its base broadened so that it became that happen in locations where there is no CARE
a multinational nonprofit. CARE moved from presence.
delivering packages to providing other kinds of As CARE International has evolved, it has shifted
relief, education, and advocacy. CARE is one of its emphasis to fighting poverty and addressing
the most respected charities in the world. health issues in the developing world. Empower-
CARE was formed in the United States in ing women is at the heart of its community-based
November 1945 as the Cooperative for Assis- work to provide education in health, sanitation,
tance and Relief Everywhere to meet the needs and economic opportunities. CARE deems girls
of poverty-stricken people in post–World War II and women as the most effective agents of change
Europe. The organization was the effort of 22 in society. The ripple, or butterfly, effect of help-
organizations seeking to aid those in Europe. ing one and seeing that help impact others is at
The initial efforts of CARE involved the sending the core of CARE’s philosophy. CARE also pro-
of CARE Packages. The initial packages were vides emergency relief services to those impacted
boxes of surplus meals that had been intended by human-made or natural disasters. CARE seeks
for the U.S. Armed Forces who were to have long-term solutions to poverty issues. Sustain-
invaded Japan. For $10, a box could be sent able food production is one of those issues. The
to someone who needed food in Europe. Later, organization works with many communities to
CARE put together its own boxes of food, and help design effective ways to produce food for the
individuals did not have to know the individual residents. Projects are developed to help families
to whom the box would be sent. Eventually, the produce more food from the land and also stress
boxes of food were modified to account for the conservation of the natural resources that are cru-
culture of the recipients, and food was supple- cial for continued productivity and for a healthy
mented with other needed items like medicine ecology. CARE also works to help food produc-
and blankets. In 1953 the organization modified ers get their produce to markets. CARE advocacy
the meaning of CARE to Cooperative for Ameri- includes issues related to climate change, women’s
can Relief Everywhere. CARE Packages were empowerment, poverty alleviation, and influenc-
sent to Europe until 1955. Thereafter, the pack- ing funding policies of governments related to
ages were delivered to other developing parts these and other important issues.
of the world. In 1968, CARE suspended the CARE International’s national affiliates are
delivery of packages, although there were some located in the following countries:
instances in which packages were sent to limited
areas. Approximately 100 million CARE Pack- • Australia
ages were delivered by the organization. • Austria
CARE International was formed and became • Canada
the umbrella organization for member countries. • Denmark
The CARE International secretariat, or headquar- • France
ters, is located in Geneva, Switzerland. The secre- • Germany-Luxembourg
tariat has an office in New York to work with the • Japan
172 Coordination

• Netherlands See Also: Food Security; Global Food Crisis;

• Norway Nongovernmental Organizations; Poverty; Vulnerable
• Thailand Populations.
• United Kingdom
• United States Further Readings
Henry, Kevin M. “CARE International: Evolving
CARE works with partners at local, national, to Meet the Challenges of the 21st Century.”
and international levels. Through local part- Nonprofit and Voluntary Sector Quarterly, v.28
nerships with nongovernmental organizations (1999).
(NGOs), and even informal locally based orga- Lindenberg, Marc. “Reaching Beyond the Family:
nizations, CARE is able to better assess the New Nongovernmental Organization Alliances
needs of the community and draw on the skills for Global Poverty Alleviation and Emergency
and resources of the locals. CARE is also able to Response.” Nonprofit and Voluntary Sector
add value to these local groups through train- Quarterly, v.30 (2001).
ing and the experience these groups gain. CARE
also works through local schools and with medi-
cal personnel. At the national and international
levels, CARE seeks, along with like-minded orga-
nizations, to influence government policies and Coordination
funding for areas of joint concern.
In 2010, CARE USA had total income of $634 Coordination in crisis and emergency manage-
million. Approximately $525 million was spent on ment indicates the partnerships involving gov-
CARE programs during the year. Half of program ernment, business, nonprofits, communities, and
funds were spent in Africa, 21 percent in Asia, 16 the public as a whole working toward mutual
percent in Latin America and the Caribbean, and goals. Actually, interorganizational cooperation
13 percent in Europe and the Middle East. is a widely held ideal shared by many emergency
In 2011, CARE International had a total of 1,015 agencies in many societies. Coordination is most
projects in 84 countries around the world. In the likely to be achieved when organizations have
months after the 2010 earthquake in Haiti, CARE pre-disaster connections, a willingness to work
provided emergency relief for 290,000 people. In together to meet emergency management needs,
that same year, 91 percent of CARE’s expenses and appropriate communication methods.
were for programs and 9 percent of the budget was Multiorganizational coordination is essential
spent on fund-raising and administrative costs. for crisis and emergency management. Tradition-
Also that year, 77 percent of program expenses ally, individuals and local communities take the
were directed toward long-term poverty issues and main role of disaster response because natural
23 percent toward emergency and rehabilitation disasters are seen as the action of God. But disas-
help. CARE has a Humanitarian Accountability ter preparation and response is widely viewed as
Framework, which is a statement of the organiza- the appropriate role of government by most citi-
tion’s desire to provide humanitarian work that zens in recent years. They expect the government,
is of high quality. The statement provides CARE especially their local government, to take an active
staff with a guide to providing the kind of service role in disaster and emergency management. As
desired by the organization. CARE has a system the emergency management department in the
that ensures its processes, outcomes, and impacts. government is relatively small, and less powerful,
This ensures that lives are being impacted through a coordination and collaboration between differ-
the use of resources the organization has at its dis- ent agencies is necessary for effective emergency
posal. CARE seeks to involve impacted communi- response. Also, the nonroutine nature of disas-
ties in this assessment process. ters does not require a large number of full-time
employees in an emergency management depart-
Ken B. Taylor ment, but once a major incident happens, a large
New Orleans Baptist Theological Seminary amount of personnel and resources both inside
 Coordination 173

and outside an emergency management depart- from nongovernmental organizations and the
ment are needed and thus require multiorganiza- private sector. At the federal level, the National
tional coordination. What’s more, the disruptive Operation Center (NOC) is the primary national
and dynamic nature of disasters—the negative hub for multiagency coordination across differ-
effects of disaster always beyond the response ent federal agencies for emergency management.
capacity of local communities—also requires mul- Unlike the EOCs at the state or local level, the
tiorganizational coordination. Finally, research National Operation Center is a continuously
evidence has proven that the command-and-con- operating multiagency operation center.
trol model for disaster management is flawed, and The National Incident Management System
a coordination-and-collaboration model is more (NIMS) in the United States was developed from
suitable for disaster and emergency response. the Incident Command System (ICS) and the Stan-
Because no single department or agency has suf- dard Emergency Management System (SEMS) and
ficient resources to deal with large-scale disaster is a set of systems designed to standardize disaster
at hand, a close working relationship and coordi- response for effective, efficient, and collaborative
nation among different organizations is necessary incident management. It seeks to improve post-
for effective and efficient disaster response, recov- disaster operations through predisaster plan-
ery, and prevention. ning and capacity building. The NIMS not only
Most current disaster and emergency laws is designed to improve interagency coordination
and policies require a multiagency coordination between all levels of government but also covers
model. For example, in the United States, nearly all other types of responders, including private-
all the emergency-related laws, like the Robert T. sector and nonprofit organizations.
Stafford Disaster Relief and Emergency Assistance
Act, the Homeland Security Act, and the Post- Intergovernmental Coordination
Katrina Emergency Management Reform Act of Two primary government systems provide exam-
2006, encourage a coordination work model—the ples of the following types of intergovernmental
Federal Emergency Management Agency (FEMA) coordination: federalism and centralization.
is required to work with state, tribal, and local
governments; the private sector; and nongovern- Federalism: Federalism countries like the United
mental organizations (NGOs) to facilitate inclu- States reflect the philosophy of separating the func-
sive, multiagency, community-wide, and coordi- tions of government and allowing some degree of
nated response and recovery effort. sovereignty at lower levels of government. The
In order to implement the coordination mis- emergency management systems in these coun-
sion, several temporary or permanent organiza- tries also reflect such a federalist natural. For
tions or positions are created. At the local level, example, localism, lack of standardization, unit
the local emergency operation center (EOC) is the diversity, and fragmentation are the main features
physical location where multiagency coordina- of the American emergency management system,
tion occurs. The EOC can be a permanent or tem- according to Thomas Drabek’s observation of six
porary organization directed by a full-time emer- major disasters over a two-year period. Coordina-
gency manager or an appointed official. The state tion and collaboration is the principal way to deal
emergency operation center (SEOC) is the physi- with disaster and emergency management issues
cal location where multiagency coordination hap- between different levels of government and varied
pens at the state level. A joint information center agencies. The policies and organizations intro-
(JIC) may be established to coordinate emergency duced above reflect the main part of hierarchical
information and other public affairs functions. coordination in countries like the United States.
The state coordinating officer (SCO) is the key Memorandums of Understanding (MOUs)
person in charge of state response and recovery and mutual aid agreements are common means
implementations after a disaster declaration. A to strengthen the interagency, intersectoral, or
joint field office (JFO) and unified coordination interjurisdictional assistance and coordination.
group (UCG) may be formed with officials from The difference between the two is that mutual
all related agencies, as well as representatives aid agreements are more formal than MOUs.
174 Coordination

Case Study: Walmart’s Coordination Efforts During Hurricane Katrina

Walmart’s response to Hurricane Katrina, which During Hurricane Katrina, Walmart coordinated
hit the coast of Louisiana on August 29, 2005, closely with local agencies and communities to
is a case study in public- and private-sector provide support to the victims. The restoration,
coordination. Immediately after the incident, energy, systems, security, and management
Walmart initiated its emergency operations. teams worked to recover operations and mitigate
Walmart’s quick response to the hurricane showed further loss. The security teams worked with law
good coordination with government at all levels, enforcement agencies and the National Guard to
nongovernmental organizations, communities, ensure safety. They talked with the Centers for
and other private-sector companies. It also Disease Control and Prevention and state health
demonstrated good inner-corporate coordination. agencies to develop health strategies. They also
From the beginning of the event, Walmart’s provided vaccinations and pharmaceuticals to
chief executive officer (CEO) made it clear that all emergency workers. The management teams
operations relative to the preparation for, response reopened the facilities, supported hospitals and
to, and recovery from the hurricane were to flow communities, and sheltered police officers and
through their emergency operation center (EOC). emergency services workers in their stores. The
Departments and divisions that had business unit energy teams started designated generators to
representatives located within the EOC served as provide power to facilities in areas that did not
decision makers and liaisons for their respective have power for days and weeks. They provided
business units. The EOC quickly developed and generator support to power other facilities such
passed a situational awareness plan and formed a as hotels, water treatment plants, and hospitals.
whole image for the business unit representatives Information systems teams established network
there. The business unit representatives then made and voice connectivity by setting up temporary
decisions on strategies and tactics based upon the satellite systems. Over the next few days, Walmart
big-picture data that had been collected. Walmart provided $20 million in donations, 1,500 truckloads
grouped its available resources into restoration, of merchandise, food for 100,000 meals, and the
energy, systems, security, and management teams promise of a job for every displaced worker.
according to their skill and technology advantages Through a coordinated response and dedicated
to perform tasks of searching for lost employees, employees, Walmart’s efforts were widely regarded
assessing facilities, reconstituting and restoring as one of the most successful of all corporations in
operations, and coordinating with government the aftermath of the disaster and set the standard
officials. for future corporate disaster relief programs.

FEMA defines the mutual agreement and assis- interstate mutual aid agreement. It is administered
tance agreements as “agreements between agen- by the National Emergency Management Associa-
cies, organizations, and jurisdictions that provide tion (NEMA) and mainly contains the Interstate
a mechanism to quickly obtain emergency assis- Mutual Aid Legislation Model and State-County
tance in the form of personnel, equipment, materi- Mutual Aid Deployment Contract Model.
als, and other associated services.” The primary
objective of the mutual aid agreements is to facili- Centralization system: Some countries like China
tate rapid, short-term deployment of emergency have a more centralized government system than
support prior to, during, and after an incident. a federalism regime. The emergency management
The Emergency Management Assistance Compact systems in these countries also reflect a much
(EMAC) that allows states to assist one another in stronger centralization and the coordination
all kinds of disaster response is the most common capacity of the central government. In 2008, a
 Coordination 175

devastating earthquake hit southwest China and voluntary agency involved in disaster response
caused thousands of deaths. The central govern- work in America. Voluntary agencies are agile
ment responded to the catastrophe very rapidly and less bureaucratic than government agen-
and won praise from the public. Also, with the cies, and they play a critical role in all phases
strong coordination of the central government, throughout the disaster cycle: mitigation, pre-
a widely covered state-county mutual aid model paredness, response, and recovery. However, non-
was implemented for disaster recovery, and this governmental organizations have limitations in
method has proven to be especially helpful. How- resources, accountability, and coordination, and
ever, this top-down method is not useful for most this weakness can undermine their effectiveness
incidents because the central government cannot and efficiency as well as equitable distribution of
be involved in most disasters. services. Also, the preference of donors, such as
that they may be more interested in immediate
Public and Private Coordination disaster relief rather than longer-term recovery
In most countries, the private sector owns the and mitigation, can also cause problems in maxi-
majority of infrastructure and provides most mizing the outcome. Thus, the voluntary sector
products and services to the public. Also, private alone cannot guarantee a just and effective social
contractors play an important role in the disaster response to disasters, but it will inevitably work
and emergency area. For example, many private alongside the government.
contractors take the responsibility of debris clean- The Volunteer and Donations Management
ing after a major disaster. Increasing evidence Support Annex is the main guidance that describes
indicates that coordination and collaboration the coordination processes used to support the
between public and private sectors could improve state in ensuring the most efficient and effective
the community’s capacity to prepare for, respond use of unaffiliated volunteers, unaffiliated organi-
to, and recover from disasters. zations, and unsolicited donated goods. It states
In the United States, the Private-Sector Coordi- clearly that the federal government encourages
nation Support Annex of the National Response state, tribal, and local governments to coordi-
Framework is the main policy guidance for public- nate with volunteer agencies, community and
private coordination activities. Except for the orga- faith-based organizations, volunteer centers, and
nizations mentioned in the coordination section, private-sector entities through local Citizen Corps
some other organizations like the Private Sector Councils and local voluntary organizations active
Office (DHS/PSO), Office of Infrastructure Pro- in disaster (VOAD) members to participate in
tection (DHS/OIP), and National Infrastructure disaster preparedness activities. Also, the Emer-
Coordinating Center (NICC) are specified as the gency Support Function #6, Mass Care, Emer-
public-private coordination organizations. Private- gency Assistance, Housing, and Human Services
sector organizations are required to take respon- Annex of the National Response Framework pro-
sibility for their internal preparedness, including vides guidance of mass care and disaster relief in
risk identification and assessment, contingency and the United States. At the regional level, FEMA has
emergency planning, etc. They are also encouraged Voluntary Agency Liaisons (VAL) to develop the
to accept responsibilities such as information shar- relationship between FEMA regional offices and
ing with government, goods and service provision voluntary agencies. It plays a main connection
through contractual arrangements or government and coordination role between federal agencies
purchases, and pro-social behaviors (donations and nonprofit organizations.
and volunteerism) provision like corporate citizens. The following two examples demonstrate pub-
lic and nonprofit coordination:
Public and Nonprofit Coordination
Voluntary agencies have a long and proud tradi- American Red Cross and government coordina-
tion in disaster response and relief work in the tion: The American Red Cross is a humanitarian
United States. Back in 1736, Benjamin Franklin organization led by volunteers and guided by its
created the first volunteer firefighting company in Congressional Chart and the Fundamental Prin-
Philadelphia, and this was recognized as the first ciples of the International Red Cross Movement.
176 Coordination

It has been a primary disaster relief organiza- See Also: Collaboration; Command and Control;
tion that helps people prevent, prepare for, and Coping Capacity and Response Capability; Crisis
respond to emergencies for more than 100 years Communications; Decision Making; Department
in the United States. of Homeland Security (DHS); Disaster Declaration;
After Hurricane Katrina, about 250,000 Red Emergency Management Agencies, City and
Cross workers, 95 percent of whom were vol- County; Emergency Operations Center; Emergency
unteers from all states and territories, responded Public Information; Emergency Responders;
to provide services, including sheltering, food, Emergency Support Functions; Federal Emergency
health and emotional care, and relief supplies, to Management Agency (FEMA); Mass Care; Mutual
more than four million people. But the mass care Aid and Assistance; National Incident Management
needs of this catastrophe exceeded the capacity System (NIMS); National Preparedness Goal;
of the Red Cross. Some groups criticized the Red National Response Framework; Nongovernmental
Cross for not providing timely mass care due to Organizations; Public Awareness and Education;
poor coordination with FEMA—they could not Public Relations; Reciprocal Agreement; Recovery;
get access to the target victims in some areas. So, Red Cross and Red Crescent; Salvation Army;
the role of the American Red Cross as a “primary Stafford Act; Volunteer Coordination.
agency for mass care” (2004 National Response
Plan) was changed to a unique federally desig- Further Readings
nated role as a “support agency to FEMA for mass Federal Emergency Management Agency. (FEMA)
care” (2008 National Response Framework). “Robert T. Stafford Disaster Relief and Emergency
Assistance Act, as Amended, and Related
NVOAD/VOAD and Government Coordina- Authorities.” Washington, DC: FEMA, 2007.
tion: National Voluntary Organizations Active in National Research Council Committee on Private-
Disaster (NVOAD) was created in 1970 by seven Public Sector Collaboration to Enhance
voluntary agencies active in disasters to meet coor- Community Disaster Resilience and National
dination needs during crises. It is a forum compris- Academies Press. Building Community Disaster
ing about 50 national members and 55 state and Resilience Through Private-Public Collaboration.
territory equivalents with the mission of sharing Washington, DC: National Academies Press, 2011.
knowledge and resources throughout the disaster Sylves, R.T. “Intergovernmental Relations in Disaster
cycle to help disaster survivors and their communi- Policy.” In Disaster Policy and Politics: Emergency
ties. In 1979, soon after FEMA was established, the Management and Homeland Security. Washington,
directory of FEMA met with NVOAD member- DC: CQ Press, 2008.
ship, and then the NVOAD appointed a committee U.S. Department of Homeland Security. “National
to work closely with FEMA as a response. Now, Incident Management System.” Washington, DC:
FEMA participates actively in NVOAD’s board DHS, 2004.
meetings, committee meetings, annual meetings, U.S. Department of Homeland Security. “National
and the Annual VOAD Leadership Conference. Response Framework.” Washington, DC: Federal
Additionally, FEMA maintains Memorandums of Emergency Management Agency, 2008.
Understanding with individual voluntary agencies U.S. Department of Homeland Security. “National
and works closely with NVOAD members individ- Response Framework: Emergency Support
ually. Through these agreements, FEMA provides Function #6: Mass Care, Emergency Assistance,
financial support, training, and public relation- Housing, and Human Services.” Washington, DC:
ship development to NVOAD and VOAD mem- FEMA, 2008.
bers, and NVAOD encourages information sharing U.S. Department of Homeland Security. “National
between members and public sectors as a response. Response Framework: Private-Sector Coordination
Support Annex.” Washington, DC: FEMA, 2008.
Qiujie Zhang U.S. Department of Homeland Security. “National
Beijing Academy of Science and Technology Response Framework: Support Annex: Volunteer
Ziqiang Han and Donation Management.” Washington, DC:
University of Delaware FEMA, 2008.
 Coping Capacity and Response Capability 177

Coping Capacity and Personal Factors

The knowledge, skills, and resources people bring
Response Capability to crisis events influence their coping efforts. How-
ever, the ability of people to use them in novel
Crisis events present challenges to people that fall circumstances is influenced by the psychological
well outside the realm of normal human experi- competencies and beliefs they use to apply their
ence, possibly for periods of time that can range resources to help them adapt. This is illustrated
from months to years, decades, or a lifetime. using the constructs of locus of control, outcome
This circumstance can thus require the develop- expectancy, self-efficacy, coping, and hardiness.
ment of new coping and response mechanisms to People differ with regard to their personal
supplement or complement those used in more control beliefs. People with a high internal locus
routine contexts. Furthermore, large-scale crisis of control believe they can influence what hap-
events, such as natural disasters and acts of ter- pens to them. Such control beliefs increase the
rorism, impact people, affect communities, and likelihood of people taking action to effectively
disrupt the societal mechanism people normally cope with crises. In contrast, people with more
rely on to cope with the demands of everyday life. fatalistic control beliefs (external locus of con-
Under normal circumstances, people are gener- trol) believe that life events impose themselves on
ally unaware of how interdependencies between them, making them less likely to take actions to
themselves and community and societal pro- cope with crisis events. Coping is also influenced
cesses (e.g., economic, cultural, political) influ- by differences in how people think about events
ence how they cope with the demands of daily and their consequences. This is labeled outcome
life. However, crisis events that create wholesale expectancy or response efficacy.
disruption across all levels of society throw these People who hold positive outcome expectancy
interdependencies into sharp relief and highlight beliefs differentiate between events and their per-
a need to accommodate them within a compre- sonal and community consequences. This cogni-
hensive definition of crisis coping capacity and tive attribute predisposes people to look for ways
response capability. in which they might cope with the consequences.
The challenging and often enduring nature of In contrast, negative outcome expectancy arises
crisis events results in people’s knowledge and when people believe that if the causes of a crisis are
resources being insufficient or inappropriate for beyond their control, so too are the consequences.
successful coping. People thus find themselves Such beliefs undermine coping efforts. Coping is
needing to rely not just on themselves but also also influenced by people’s beliefs regarding their
on information, resources, and guidance provided personal capacity to respond to events. This is
by their social networks and government and encapsulated in the concept of self-efficacy.
nongovernmental agencies. Effective coping and As people accumulate successes in dealing
response thus becomes a function of the degree to with challenging events in everyday life, their
which personal, community, and societal factors self-efficacy increases. Self-efficacy increases the
interact effectively. number and quality of plans people develop to
Effective crisis coping and response capability address issues. It results in higher levels of effort
comprises three separate but related elements. The and persistence in actions performed to achieve
first is possessing the resources (e.g., knowledge, goals under challenging circumstances. In con-
skills, financial) required to adapt to disruption trast, people whose life experience is character-
and losses. The second is having the competencies ized by relatively more failures can develop a
necessary to identify, mobilize, organize, use, and, sense of learned helplessness that hinders coping
if necessary, obtain these resources. Finally, it is and response efforts.
pertinent to identify the mechanisms that opera- Coping and response efforts are also influenced
tionalize personal, community, and societal inter- by the coping strategy used. People who use
dependencies to provide a comprehensive capac- problem-focused strategies tend to confront the
ity to respond. This article starts with people’s issues and demands they face directly (e.g., find-
contribution to coping with crises. ing out about problems and developing strategies
178 Coping Capacity and Response Capability

to manage them). In contrast, people who adopt can facilitate people’s ability to understand crisis
emotion-focused strategies focus on expressing circumstances and to decide what to do. Regu-
the emotions triggered by the crisis rather than larly participating in activities with like-minded
confronting the causes of the emotions. In gen- people provides access to additional and poten-
eral, problem-focused coping facilitates more tially more comprehensive knowledge, skills, and
effective coping and response to crisis events. resources than the person would normally pos-
Coping and response is influenced by hardiness. sess. However, realizing the benefits of having
Hardiness describes people whose approach to access to a wider range of resources is a function
life is characterized by high levels of commitment, of the presence of several additional competencies
control, and challenge. Commitment describes that facilitate people’s ability to use them.
their being immersed in family, work, and com- The utility of collective expertise is a func-
munity life, whereas control involves perceived tion of the degree to which communities seek to
control over challenging events (see internal locus include all members and the degree to which peo-
of control above). Challenge is a predisposition ple actively participate in community activities
to perceive life events as challenges rather than as (the community competence construct includes
threats. Such people accept that change is a nor- measures of inclusivity, participation, and social
mal facet of life and respond to challenges in flex- support). This illustrates mechanisms that opera-
ible ways. tionalize the interdependencies between people
The beliefs and competencies described above to create a coping and response capability in
increase people’s ability to use resources to more which the whole becomes greater than the sum of
effectively cope with and respond to crises. How- its parts. However, while participation provides
ever, given the extraordinary circumstances in access to a wider pool of knowledge and exper-
which they can find themselves, people may need tise, deciding how to use this asset to deal with
additional competencies and resources, informa- unfamiliar crisis events and identifying resources
tion, and guidance. These can be obtained from not currently available within community con-
community and societal sources. texts, but required if people are to cope, requires
additional competencies. These include identify-
Community Influence on Coping ing the specific implications crises have for them
Faced with complex and uncertain crisis events, and where they live and work, in addition to what
and when lacking all the information and can be done to manage consequences.
resources they need to make informed decisions, Collective efficacy describes community
people turn first to those who share their interests members’ ability to assess their capabilities and
and values for the information and guidance they resource needs in relation to challenging tasks,
need to help them decide what to do to cope with define their goals, and develop plans for using
atypical, challenging circumstances. These oth- resources to achieve goals. Community compe-
ers can be family members, neighbors, and mem- tence includes components that describe how
bers of the communities (e.g., workplaces, social coping and response to crisis events can be facili-
clubs, churches, etc.) with whom people interact tated if community members can articulate their
regularly. They can also include representatives of problems and needs and possess mechanisms that
civic agencies (e.g., emergency management, local assist them to represent their needs to the soci-
government). Consequently, community and civic etal agencies and businesses that can provide the
sources can contribute to people’s coping capac- information and resources they need to enact
ity and response capability. In the context of the their plans and adapt effectively. Comprehensive
uncertainty associated with crisis events, the qual- coping and response capability does not end here.
ity of these interactions will influence how people Given the atypical nature of the demands posed
cope with and respond to crisis events. by crisis events, community deliberations could
Participating in community activities provides identify new information and resource needs that
access to information from people likely to share cannot be met within existing community con-
one’s interests, values, and expectations. Conse- texts. Being able to articulate and represent those
quently, information from community sources needs to the agencies and businesses that can meet
 Coping Capacity and Response Capability 179

Relief workers give medical supplies to community members along flooded routes during the unusually heavy 2011 monsoon season
in regions of Thailand, which caused the worst floods in 50 years. According to Nuttapong Wongjindanon, a Centers for Disease
Control and Prevention epidemiologist, community members demonstrated coping capacity despite been frustrated: “There are still
signs of people sticking together and helping each other out.... People should not just wait for help from local authorities.”

these needs is important. However, if agencies and facilitate the development of people’s capacity to
businesses do not respond in ways that provide confront the local issues posed by crisis events.
the specific information, advice, and resources The quality of the relationship between people
communities need to enact plans to meet their and agencies is influenced by the degree to which
specific needs, coping and response capability will people believe that their relationship with formal
be compromised. Consequently, effective coping agencies is fair and empowering (e.g., agencies are
and response is a function of the degree to which perceived as trustworthy and acting in the interest
civic and business agencies empower people by of community members). When this relationship
acting toward them in ways that help meet the is not perceived as fair, the consequence is a loss
specific needs of each community. of trust in the agency (the source of information).
Trust is thus an important determinant of the
Community–Societal Interdependence quality of any relationship in which information
Empowerment describes citizens’ capacity to is exchanged and appraised, and decisions made
gain mastery over their affairs and confront cri- under conditions of uncertainty.
sis events by being supported by agencies rather Empowerment reflects the quality of reciprocal
than having solutions thrust upon them. Empow- relationships between community members and
erment promotes the equitable distribution of the societal agencies that provide resources, infor-
resources (i.e., material, knowledge) in ways that mation, and advice. The more citizens perceive
180 Coping Capacity and Response Capability

Case Study: Coping and Capabilities During the 2009 Australian Wildfires

Wildfires in southeastern Australia in 2009 the community, with different individuals taking
created circumstances that required communities responsibility for different activities (e.g., liaison
to develop new approaches to responding to and with government, community-building processes).
coping with the disruption and loss that occurred, Later review of this process identified the need
including developing new relationships with for training and support for leaders. Letting this
communities, government, and businesses. happen in situ reduced the initial effectiveness of
A need for new coping approaches arose as the process and resulted in people’s responsibility
a result of the need to look after oneself and leading to exhaustion and burnout. The election
one’s family before engaging in activities with of leaders was important, as it provided them with
others. Individual coping was facilitated by legitimacy both within the community and in the
accessing information that advised on physical eyes of government and external businesses.
and psychological health issues that could arise Elected leaders provided communities with a
and the strategies to cope with the immediate and voice and connection to government and helped
medium-term impacts. The effectiveness of this government see that leaders were representing
approach was supported by developing supportive the whole community. Elected leaders provided
relationships within communities. This provided a mechanism by which bottom-up, community-
the foundation for securing social support and the generated ideas could be proactively represented
development of community coping and response to government agencies and provided a conduit
strategies to deal with community-wide issues. for maintaining collaborative relationships with
The emerging approach to confront collective government and businesses. It also emerged that
issues involved the development of community while businesses were often interested in offering
planning processes established to elicit and assistance, they did not know how to do so. This
communicate information and allow people to hear led to the realization of the need to be proactive in
about and contribute to ways of responding to their dealing with the commercial sector to ensure that
diverse challenges. These processes facilitated resources could be procured when needed.
consultation with as many people as possible within Although the development of individual and
affected communities in order to identify both the community coping and response strategies had
issues people faced and the coping and response many benefits, it also incurred certain costs.
strategies they could use to deal with them. Such The benefits included developing social support
extensive consultation led to high levels of initial networks and fostering a sense of control and
participation. However, resourcing and time issues resilience. However, several problems emerged,
meant it was not possible to act on all suggestions. including the need to accommodate differences
This resulted in conflicts when people felt their in how people cope and the ability to meet needs
ideas were being ignored and threatened to disrupt that present at different times. Ensuring that
effective community response. To circumvent this, members of pre-existing groups and committees
members developed processes for clarifying and were given roles and not usurped by new groups
prioritizing issues, maintaining community integrity specifically associated with the crisis was important
by making explicit the need to prioritize actions to sustaining a sense of community. It was also
in relation to factors such as resource availability important to develop management and negotiation
or the time it would take to act and the processes skills to manage the consultative processes. Other
used to make these choices. A key message was lessons included preventing people becoming
stating that their not being acted on did not lessen overcommitted and neglecting personal and family
the relevance of ideas or their possible future use. needs over time, and implementing processes
The range of response issues necessitated for membership and leader succession, limiting
developing ways of coordinating response activities. periods of involvement, and providing opportunities
This led to the selection of leaders from within for people to withdraw if necessary.
 Cosmology Episode 181

their needs as having been met through their rela-

tionships with societal agencies and institutions,
Cosmology Episode
the more likely they are to trust them and the Crises are ontologically challenging events that
information they provide. In this way, empow- engage individuals in a high degree of uncertainty.
erment and the trust it engenders facilitate the In severe crises, the unfolding events may unravel
ability of people and communities to cope and an individual’s or group’s existing beliefs about
respond to crisis demands. how the world works. A cosmology episode is
The capacity to cope with and respond to a state of mind that occurs during one of these
atypical crisis events will not develop by chance. extreme periods of ontological distress. In a cos-
Developing these outcomes requires a conscious mology episode, an individual or individuals may
effort on the part of people, communities, and lose the ability to rationally make sense of a situ-
societal institutions to develop and maintain the ation. Their surroundings are no longer acting as
resources and processes required to ensure that expected, and their existing ontological assump-
coping can happen and that it can be maintained tions are disrupted.
over time. Maintaining a capacity for coping over Karl Weick, an organizational communication
time is especially important for infrequent threats scholar, introduced the term cosmology episode
that pose unique challenges for effective response. into the crisis literature from philosophy. The
philosophical study of cosmology is a macro-
Douglas Paton scopic view concerned with understanding the
University of Tasmania structure of the universe. As individuals engage in
Chris Gregg their daily lives, they operate under a cosmology
East Tennessee State University that events will unfold in space and time in an
orderly manner. When a crisis occurs, these indi-
See Also: Crisis Communications; Disaster Recovery; vidual or shared cosmologies are confronted with
Emergency Public Information; National Response a new reality that is both unfamiliar and danger-
Framework; Resiliency. ous. According to Weick, “A cosmology episode
occurs when people suddenly and deeply feel that
Further Readings the universe is no longer a rational, orderly sys-
Centers for Disease Control and Prevention. “The tem. What makes such an episode so shattering
Great Flood of 2011, Thailand: A Firsthand is that both the sense of what is occurring and
Account.” (February 14, 2012). http://blogs.cdc.gov the means to rebuild that sense collapse together.”
/publichealthmatters/2012/02/the-great-flood-of Thus, both the ability to understand the situation
-2011-thailand-a-firsthand-account-3 (Accessed and the ability to use reason to create a new order
August 2012). are lost during a cosmology episode.
Cherry, Katie E. Lifespan Perspectives on Natural In the field of crisis management, the concept of
Disasters: Coping With Katrina, Rita, and Other a cosmology episode is useful for practitioners to
Storms. New York: Springer, 2009. understand how both emergency responders and
Gist, Richard and Bernard Lubin. Response to the population they are helping may react during
Disaster: Psychosocial, Community, and Ecological a crisis. The concept of a cosmology episode has
Approaches. Philadelphia: Taylor & Francis, 1999. been applied within a variety of theoretical lenses
Hobfoll, Stevan E. and Marten W. de Vries. Extreme such as sense-making and chaos theory to explain
Stress and Communities: Impact and Intervention. the loss of rationality and the struggle for sense-
Dordrecht, Netherlands: Kluwer Academic making during an overwhelming crisis situation.
Publishers, 2010.
Hodgkinson, Peter E. and Michael Stewart. Coping JJ McIntyre
With Catastrophe: A Handbook of Post-Disaster University of Central Arkansas
Psychological Aftercare. London: Routledge, 1998.
Paton, Douglas and David Johnston. Disaster See Also: Bounded Rationality; Cascading Crisis;
Resilience: An Integrated Approach. Springfield, Chaos Theory; Chemical Risk; Decision Making,
IL: Charles C Thomas, 2006. Theories of; Shelter-in-Place; Uncertainty.
182 Cosmology Episode

Case Study: The 2002 Minot, North Dakota, Train Derailment Cosmology Episode

When a train derailed in Minot, North Dakota, The derailment did not affect the community
at 1:30 a.m. on the still and frigid morning of residents equally; it caused power outages to parts
January 18, 2002, approximately 250,000 of the community and even destroyed some homes
gallons of anhydrous ammonia were released directly. Residents farther from the derailment
from the wreckage. Instead of dissipating into the had more time to react to the situation than those
atmosphere, the deadly chemical interacted with living close to the tracks. A multitude of variables
the cold temperatures and created a dense fog made the situation better or worse for individuals
that settled within the community that was located affected by the crisis. What was common to the
below the tracks in a valley. The fog was poisonous vast majority of the community was that they
to breathe and would burn moist areas of the had no idea what was happening or what to do to
body such as the eyes and lungs. Additionally, the preserve their safety.
combustion engines of vehicles were largely unable As residents struggled to make sense of the
to work in the fog, so officials were very limited in situation, the actions one typically takes in an
direct notification, evacuation, and rescue attempts. emergency either made the situation worse or
As officials began to respond to the situation, they created more questions. When residents were
were confronted with several emergency notification awakened by the emergency sirens, many of them
system failures that did not allow them to get opened their doors to see what was going on
information about the derailment out to residents. outside. This action let the dangerous chemical into
The community’s small 911 system was their homes. When they turned on the television,
immediately overwhelmed, and the vast majority it was off the air. When they turned on the radio,
of residents were met with a busy signal. The normal programming was playing like nothing was
community’s outdoor emergency sirens were out of the ordinary. While this is what individuals
activated, and a voice message instructing who had power to their homes went through, those
residents to stay indoors was deployed. However, without power faced an even scarier situation.
the sirens did not work well in the dense fog, At every turn, the normal cosmology of residents
and residents could not understand the message. was met with bizarre circumstances, irrational
Instead, the sirens awoke many residents who calm, lack of information, and overwhelming
were sleeping (which may have been best in this uncertainty. The best way residents could have
situation), thereby making the situation even worse. reacted to the situation was to keep their doors
The local media were also not helpful in shut, turn off their furnace (the temperature
informing residents. All the area’s radio stations was below zero), go into the bathroom, place a
were owned by a single corporation and housed wet towel under the door, turn on the shower,
in a single building. The Emergency Alert System and shelter in place; however, without official
and the older Emergency Broadcast System both information, these actions were not within the
failed, and only a single individual was running reasoning faculties of a terrified community. As a
all the stations. When local officials tried to call result, many residents had a cosmology episode
the station on a land-based telephone, the radio and tried to flee the situation.
operator was in a soundproof booth and did not Many residents were able to drive their cars
answer the call. Officials were not able get through out of town through the less dense areas of fog.
to the station again because frightened residents However, others became trapped in their vehicles
began jamming the phone lines to the station. as the fog disabled vehicle engines. Others became
Additionally, the local television station, which disoriented, could not find the road again, and
was located in the fog, was off the air for the crashed into things such as their neighbor’s house.
evening, even after officials were able to contact Others tried to find better shelter and tried to run to
station representatives at their homes, they were a neighbor’s house. As a result, many residents were
unable to get the station and notify residents. seriously injured, and one resident died.
 Coupling 183

Further Readings How did this happen? How is it possible for such
Byers, A. Martin. The Ohio Hopewell Episode: a catastrophic event not to be anticipated, even
Paradigm Lost and Paradigm Gained. Akron, OH: by experts? Mixed signals provided by environ-
University of Akron, 2004. mental conditions, technological failures, politi-
Weick, K. E. “The Collapse of Sensemaking in cal pressures, and organizational mistakes led
Organizations: The Mann Gulch Disaster.” the highly trained engineers and scientists at the
Administrative Science Quarterly, v.38/4 National Aeronautics and Space Administration
(December 1993). (NASA) to make a wrong decision that, in this
Weick, Karl E. and Kathleen M. Sutcliffe. Managing case, led to fatal consequences. Probably, none of
the Unexpected: Resilient Performance in an Age these factors, by itself, was particularly harmful;
of Uncertainty. San Francisco: Jossey-Bass, 2007. it was the combination, or “coupling,” between
all of them that led to a disastrous outcome of
incalculable qualitative and quantitative losses.
This example shows that the higher the number
of components involved in a disaster, the higher
Coupling the level of complexity of the disaster and the
more difficult it is to identify a single factor as
Crises do not emerge out of the blue. More often responsible for its occurrence.
than not, in retrospect, we are able to acknowl- In addition, the kinds of couplings, or “link-
edge a series of events that led a specific crisis to ages,” between the components involved in a crisis
happen. Exogenous and endogenous factors are play a crucial role in determining the nature and
usually combined in the enactment and develop- scale of its effects. We distinguish here two types
ment of social crises. Although some crises might of couplings: loose or tight couplings. The term
be produced by a single technological malfunc- loosely coupled is commonly used to describe
tion, a natural disaster, a human mistake, or a complex assemblages whose components are only
planned misconduct, other crises can be the result weakly connected; that is, they interact in diverse
of all these factors combined in unexpected and ways and are capable of more autonomous actions.
hazardous ways. It is important to note that the A research consortium that lacks a legitimate
effects produced by a crisis cannot be reduced to authority and that promotes an equal participation
the elements that compose it. among its members could be seen as an example of
To understand how a social crisis is produced a “loosely coupled” arrangement or organization.
and to find ways to manage it effectively, it is The fact that this kind of organization does not
important to identify the elements involved in the stipulate a unique way of functioning might give
crisis and the ways in which these elements are rise to a higher fluidity of ideas, with more flex-
linked to each other. The components that take ibility to test and improve those ideas and possibly
part in a crisis may be human in nature (e.g., indi- open higher opportunities to make mistakes, than
viduals, groups, organizations, or larger commu- would be encouraged under a highly strict form of
nities) or nonhuman (e.g., technological devices organization. The term tight coupling, in contrast,
or environmental conditions). The ways in which refers to highly interconnected parts in which the
the constitutive elements of any given crisis are malfunctioning of some parts may lead to major
“coupled” will largely determine the crisis’s crises or disasters. An army organized in a highly
nature and scale of impact. hierarchical form, for instance, could be seen as an
Let us propose an example. Multiple factors example of a tightly coupled organization, in which
were involved in the loss of the space shuttle slight changes (e.g., failure to convey or obey a
Challenger in 1986. The incident was instantly command) might have strong repercussions in the
captured by the media. A few seconds after the system as a whole. In this kind of organization, we
Challenger was launched, thousands of eager spec- can imagine a superior saying to his subordinate:
tators were able to see the smoke trail left by the “Here, there is only one way of doing things.” Any
disintegrated spacecraft and, with it, the vanish- deviation from the formal line of command may
ing of hopes built around this nationwide project. give rise to mistakes or disasters of incalculable
184 Credibility

dimensions that can put at risk the well-being of an impossible-to-predict incident that happened
all organizational members, especially under situa- just in the wrong moment.
tions of high pressure.
These examples suggest that failures may be M. Pilar Opazo
more difficult to manage when the interacting Columbia University
components of a crisis become more and more Darío Rodríguez
interdependent. This could happen because the Diego Portales University
opportunities to find solutions for any given
problem become more and more restricted. In See Also: Cascading Crisis; Chaos Theory;
other words, the group, organization, or commu- Command and Control; Incidents Versus Crises;
nity that is being affected by the crisis becomes Information Asymmetry; Interdependence;
less capable to react and to respond to adversity Nonlinearity; Normal Accident Theory;
in more flexible and creative ways. An insightful Normalization of Deviance; Risk Assessment.
study of the case of the Challenger launch decision
discussed above found that the systematic con- Further Readings
densation of information within NASA allowed Perrow, Charles. Complex Organizations: A Critical
highly complex evidence to become more and Essay. 3rd ed. New York: Random House, 1986.
more manageable, yet at the same time obscur- Perrow, Charles. Normal Accidents: Living With
ing conflicting elements that were critical in eval- High-Risk Technologies. Princeton, NJ: Princeton
uating the launch of the spacecraft. Therefore, University Press, 1999.
while summarizing the data available allowed the Podolny, Joel M. and Karen L. Page. “Network
group at NASA to make a decision, it did so at the Forms of Organization.” Annual Review of
expense of masking important pieces of informa- Sociology, v.24 (1998).
tion that could have radically changed the course Powell, Walter W. “Neither Market Nor Hierarchy:
of the decision making as well as the after-effects. Network Forms of Organization.” Research on
In summary, to effectively assess, analyze, Organizational Behavior, v.12 (1990).
manage, and resolve crises, we need to take into Vaughan, Diane. The Challenger Launch Decision:
account not only the factors involved in the cri- Risk Technology, Culture and Deviance at NASA.
sis but also the interactions between these fac- Chicago: University of Chicago Press, 1996.
tors; irrespective of crises being large or small, Vaughan, Diane. “The Role of the Organization in
expected or unexpected, or organizational, busi- the Production of Techno-Scientific Knowledge:
ness, community, or political. Both the constitu- NASA and the Challenger Accident.” Social
tive components and the relationship between Studies of Science, v.29 (1999).
these components play a crucial role in shaping a Weber, Max. The Theory of Social and Economic
social crisis and its impact. On one hand, the con- Organization, A. M. Henderson and T. Parsons,
cept of “coupling” reminds us that the intercon- trans. and eds. New York: Oxford, 1947.
nections between the elements of a crisis matter Weick, Karl E. “Educational Organizations as
when examining the nature and possible causes Loosely Coupled Systems.” Administrative Science
of crises as well as when trying to find solutions Quarterly, v.21/1 (1976).
to crises. On the other hand, the notions of “tight
and loose coupling” invite us to turn our atten-
tion to the types of interconnections between the
elements that take part in a crisis, that is, the level
of interdependency between these elements and Credibility
the opportunities that they may open to make
failures more or less likely to happen or more or Credibility refers to the trustworthiness and
less difficult to deal with. Crises do not emerge believability of a source or message. Classifica-
out of the blue. When analyzed in retrospect, we tions of credibility are different among disci-
can usually identify a series of minor mistakes plines and types. Credibility is constructed of
that were catastrophic in combination or perhaps many smaller interpretations such as integrity,
 Credibility 185

likability, reputation, reliability, accuracy, con- perceives before the speaker begins. Derived cred-
sistency, authenticity, plausibility, and honesty. ibility denotes the level of believability a speaker
In other words, credibility often ebbs and flows maintains or earns throughout the message-shar-
based on perspective. A person, organization, ing process. The degree to which a speaker pro-
message, or datum is fully credible when it has vides a lasting impression of integrity and compe-
predictive value. Thus, full credibility is linked to tence is known as terminal credibility. Terminal
the predictability of honest correctness, which is credibility is the composition of both initial and
especially important during crises. Organizations derived believability. Initial, derived, and terminal
or individuals that are not perceived to be truthful credibility are assessed by audiences or stakehold-
may have their messages rejected by the publics ers through both subjective and objective means.
they are attempting to reach. Credibility is based more on subjective interpre-
tations than objective methods, since trustwor-
Types of Credibility thiness is often described as a “gut feeling” or
Statistical and scientific credibility refer to the “sense.” Some amount of credibility is assessed
extent to which a researcher can rely on a data objectively, like speaker certifications or facts and
set. Whereas statistical integrity denotes trust- messages that align with the listener’s confirmed
worthy and valid numerical data, scientific cred- knowledge.
ibility refers to the reliability of rigorous research
and data outcomes. In scholarly circles, one way Building Credibility
to accomplish this level of credibility is by submit- Credibility is created among audiences, communi-
ting work to undergo the peer-review process, in ties, and stakeholders through evidence and per-
which other experts read, critique, and sanction suasive tactics. First, evidence bolsters credibility
method application and findings. through the use of supporting materials. Provid-
Source credibility refers to the believability of ing logical support for an argument adds to a
a speaker or communicative source (e.g., news- speaker’s expertise. Similarly, personal experience
paper, network news, radio program, magazine, also provides credibility because real-life involve-
scholarly article, etc.). Aristotle claimed that ments enhance a speaker’s perceived authenticity.
effective persuaders appeal to audiences through Second, speakers who formally establish credibil-
logic (logos), ethics (ethos), and emotion (pathos). ity through the introduction of their title, degree,
An ethical appeal is possible only if the source expertise, or life experience derive believability
and message possess character and goodness from audience members. For example, the Cen-
(i.e., credibility). A source is credible when per- ters for Disease Control and Prevention (CDC)
ceived as competent and demonstrating character. often invites high-ranking experts and officials at
Source credibility is commonly conceptualized as their agency to speak at press conferences. Pres-
honest expertise, which entails extensive subject tigious titles and scientific knowledge enhance a
knowledge and trustworthiness. There are end- speaker’s credibility and, therefore, a message’s
less varieties of source credibility, including media believability. Finally, timely charisma and passion
credibility, newspaper credibility, supervisor cred- influence audience perceptions of trustworthiness.
ibility, corporate credibility, brand credibility, and Speakers who demonstrate excitement and con-
spokesperson credibility. viction for their topic seem credible to listeners.
Experts in public speaking and persuasion Martin Luther King, Jr. (MLK), for instance, was
detail three kinds of credibility that speakers and famous for his passionate public speeches during
organizations can attain: initial, derived, and ter- the civil rights movement. MLK’s speaking dyna-
minal credibility. Initial credibility is the authority mism added to his credibility, the effectiveness of
or trustworthiness ascribed to a speaker before he his message, and possibly the revolution of racial
or she delivers a message. Initial credibility is con- integration across America.
nected with a person’s educational success, career Alarmingly, numerous studies have correlated
achievements, organizational reputation, profes- physical attractiveness and likability with cred-
sional attire, preparation, visual and nonverbal ibility. This means that spokesperson appear-
cues, and any other information an audience ance can play a role in audience perceptions of
186 Crisis, Definition of

message believability. Engaging speakers appear Further Readings

sincere, and attractive speakers appear truthful, Aristotle. Rhetoric. W. Rhys Roberts, trans. New
thus earning audience perceptions of competence York: Modern Library, 1954.
and character. This phenomenon accounts for Coombs, T. W. “Protecting Organization Reputations
why many companies hire winsome spokesper- During a Crisis: The Development and Application
sons and beautiful models as product endorsers. of Situational Crisis Communication Theory.”
Arguably, the intentional use of attractive speak- Corporate Reputation Review, v.10 (2007).
ers in crisis response situations could be consid- National Center for Food Protection and Defense.
ered unethical, as it would mean an organization “Best Practices for Effective Risk Communication.”
is relying on perceived attractiveness for credibil- http://www.ncfpd.umn.edu/Ncfpd/assets/File/pdf
ity rather than on the truthfulness of the message. /NCFPDRiskCommBestPractices.pdf (Accessed
January 2011).
Credibility and Crises Patzer, Gordon L. “Source Credibility as a Function
Trustworthiness is key for effective communica- of Communicator Physical Attractiveness.” Journal
tion and crisis management since noncredible of Business Research, v.11/2 (1983).
messages are disregarded by stakeholders and Walaski, Pamela Ferrante. “Communication
publics. Crisis communicators must strive to be Fundamentals and Theoretical Foundations,: Ch.
credible spokespersons before, during, and after a 3 in Risk and Crisis Communications: Methods
crisis event. If an organization has a questionable and Messages. Hoboken, NJ: John Wiley & Sons,
reputation before a disaster, the company’s cri- 2011.
sis response messages will be dubious. However,
pristine reputations enhance an organization’s
credibility during the crisis management process.
Credibility contributes to effective crisis commu-
nication and, therefore, can operate as an anteced- Crisis, Definition of
ent indicator of crisis resolution. In other words,
responsible organizations must strive for trans- Crisis may be defined in several ways, depending
parency and authenticity—attainable through on the context and the field under consideration.
open and honest crisis communication. The According to the Merriam-Webster online dic-
National Center for Food Protection and Defense tionary, a crisis is a crucial and unstable state of
(NCFPD), a Department of Homeland Security affairs with a possibility to bring about a decisive
center of excellence, outlines best practices in change. In a more general sense, a crisis is mostly
crisis response. Many of the best practices cor- an abrupt and unexpected negative change creat-
respond with notions of credibility, for example, ing a critical, dangerous, and unstable situation
(a) collaborating with credible sources, (b) com- at the individual, group, organization, or com-
municating with compassion and concern, and (c) munity level.
demonstrating honesty and openness. Effective Crises are often characterized by disruption of
crisis management requires speaker, message, and normality and steadiness of processes, thus creat-
organizational trustworthiness. Thus, credibility ing chaos of various degrees. Most of the time,
is paramount in the pre-crisis, crisis, and post- crises emerge suddenly; however, they can also be
crisis phases. in the form of a long process requiring long-term
solutions. Because crises have the potential to cre-
Alyssa Grace Millner ate a chaotic environment, they tend to limit skills
King College and capacities present in noncrisis and routine
situations. Accordingly, as Matthew Seeger, Tim-
See Also: Centers for Disease Control and Prevention othy Sellnow, and Robert Ulmer state, because
(CDC); Crisis Communications; Emergency Public crises are unexpected and nonroutine events, they
Information; Pre-Crisis Training and Planning; Public first of all result in uncertainty. Uncertainty, in
Awareness and Education; Public Image; Public turn, is a situation with unprecedented charac-
Relations; Reputational Risk; Scapegoating. teristics that make it difficult to resolve the crisis
 Crisis, Definition of 187

immediately. In most general terms, uncertainty is expressed by two hieroglyphs standing side
is when actors involved in crisis cannot appeal by side, the first meaning “danger” and the sec-
to a certain solution tool due to lack of sufficient ond meaning “opportunity.” Thus, crises should
decision-making capacity. not be always seen as problematic cases; rather,
Decision-making capacity itself is dependent actors involved in crisis should direct their efforts
on several factors, one of which is time pressure. toward elimination of incompatibilities and flaws
Actors involved in crises are mostly bounded by in systems, structures, or relationships.
limited time for resolution, because delayed solu- Although crises can be of an interpersonal
tion may bring about a deepened or permanent nature, they can also be at the organizational,
crisis situation. In addition, crises impact decision- community, or international levels. The best-
making capacity in terms of information required known types of crises are those related to econ-
to make high-quality decisions. In this sense, crisis omy, demography, environment, security, and
actors generally have limited or no relevant infor- natural and human-made disasters. A global food
mation to make good decisions. Even in times of crisis and a diplomatic crisis between two states
abundant information, the time pressure related are two different examples of crises. Without
to crises does not allow for detailed and long-run doubt, such variety of crises requires different cri-
analysis of that information, thus making crisis sis management tools, skills, and capabilities that
actors suffice with limited information at hand. are nontraditional and nonroutine in nature. The
For this specific reason, crisis situations are also scope and nature of crises are the main determi-
characterized by heightened risk—a possible fail- nants of the crisis management approach.
ure to make well-informed and satisfactory deci- Depending on the field or discipline, the word
sions. In this regard, actors involved in crisis may crisis may be used interchangeably with the word
face unexpected or unintended results that may emergency or disaster, where the former is more
be consequential in determining the failure or the general and the latter is more specific. Whatever
success of the crisis resolution process. the term, the main idea is that there is an anomaly
The risk is also evident in inability to retain or to be fixed. Successful crisis, emergency, or disas-
requirement to change the previous situation if ter management, thus, is characterized by reestab-
the crisis is to be managed successfully. In fact, lishment of previous normality, whether through
many scholars and crisis management profes- change or without change.
sionals state that crises are an opportunity to
learn. Kathleen Tierney and colleagues state that Vener Garayev
from an organizational point of view, crises are a Gediz University
chance to find mistakes in the system, fix them,
develop redundancies for backup purposes, and See Also: Disaster, Definition of; Disruption
strengthen the capacity against future crises. of Organizations; Emergency, Definition of;
This view about crisis is similar to the descrip- Environmental Contamination; Global Food Crisis;
tion of crisis in an edited book by Arjen Boin Resiliency; Uncertainty.
and colleagues, according to which crisis serves
two many purposes if seen as an opportunity. Further Readings
First, it tests the resiliency of the system, society, Boin, Arjen, Allan McConnell, and Paul T. Hart,
etc., namely, how strong it is against unexpected eds. Governing After Crisis: The Politics of
problems and unintended flaws. Second, it tests Investigation, Accountability and Learning.
leadership capabilities of those very structures Cambridge: Cambridge University Press, 2008.
or systems, thus presenting an opportunity for Seeger, Matthew W., Timothy L. Sellnow, and Robert
political change. R. Ulmer. Communication and Organizational
By this token, crises can be seen as an oppor- Crisis. Westport, CT: Praeger, 2003.
tunities for change. Change is deemed necessary Tierney, Kathleen J., Michael K. Lindell, and Ronald
because crisis is seen as a result of some sort of W. Perry. Facing the Unexpected: Disaster
incompatibility that cannot be prolonged any- Preparedness and Response in the United States.
more. The word crisis in the Chinese language Washington, DC: Joseph Henry Press, 2001.
188 Crisis Communications

Crisis Communications receptivity to communication and how people

respond in disasters as a guide to risk reduction
Crisis communication is a process, not just com- and protection of life, welfare, and property.
municating a single message, to a single group, or Cases of successful and unsuccessful crisis com-
at one point in time, and as T. E. Drabek points munication are first presented to illustrate how
out, it is very much a social process. It is interac- timing, accuracy, and capacity to communicate
tive and consists of multiple messages extending influence outcomes, followed by foundations of
often over very long periods of time and chang- communication in human perceptions, attitudes
ing conditions, and designed for many different and behavior, and human settlement patterns
groups (by language, age, and other demographic and trends, and finally, communication strategies
characteristics), places, and decisions or actions. based on lessons learned and theories of human
The process needs the support of management— behavior.
crisis management—across its many stages from
prevention through response and recovery. Man- Perception, Attitudes, and Behavior
agement and communication frameworks in Many fields such as social psychology and risk
noncrisis environments are an important and management address how communication moti-
integral foundation for communicating when a vates and influences human behavior in crises.
crisis emerges. Crisis communication has to begin The common sender-message-receiver model now
before a crisis occurs. incorporates behavioral dimensions such as the
A central goal of crisis communication is to M. Lindell and R. Perry Protective Action Deci-
reduce risk through individual, group, or institu- sion Model (PADM). The perception-attitude-
tional action. Decisions or actions are usually a pre- behavior relationship is complicated by the lack of
requisite to identifying and implementing commu- correspondence between people’s beliefs or what
nication strategies. Some specific communication people say they would do and their actual behav-
objectives in catastrophes include the following: ior. Certain behavioral tendencies and barriers
to processing information have been identified.
• Reducing exposure to the risks through People process communications and the informa-
timely, accurate, and appropriately tion they contain in many different ways, using as
disseminated or targeted information a guide their experience, information from other
• Guiding people in the high risk/exposure people, their senses, and their ability to recognize
areas to safe places patterns. Examples from theory are given below.
• Keeping people away from entering the area B. Fischhoff, P. Slovic, S. Lichtenstein, S. Read,
• Adopting and implementing protective and B. Combs emphasize that people accept risks
action such as vaccines, shelters, etc. that they personally control (such as driving a car
• Connecting supplies and services with the rather than air travel) undertake voluntarily, and
people who need them consider familiar and common, chronic or ongo-
• Reducing fear and anxiety ing (not immediate and nonfatal). They accept
risks that they or science know with certainty.
Communications are influenced by crisis char- Information expressed as numbers can be
acteristics and human factors. Communication problematic for some people, and Peters and col-
is shaped by characteristics of crises that include leagues describe the numeracy concept as under-
urgent action and decision making in a highly standing numbers. Numeracy is related to other
uncertain and complex environment created by problems that affect action. People have limita-
constantly changing or dynamic information, and tions on the amount of information they can pro-
variations in effects from place to place and indi- cess and can become overwhelmed by negative
vidual to individual, even for the same crisis. These stimuli. Slovic’s research (2010) refers to this as
multidimensional needs require coordination that “psychophysical numbing,” arguing that people
ultimately expresses itself in communication. feel strongly about harm to an individual but
Human perceptions, attitudes and behavior, and cannot grasp genocide, where large numbers of
human settlement patterns and trends influence people are involved; that is, they undervalue large
 Crisis Communications 189

Case Studies in Unsuccessful Communication

In the latter part of the 20th century and the by some officials that it was safe to stay where they
early 21st century, record levels of crises occurred were; several hundred people perished.
worldwide from natural hazards, accidents,
and terrorist attacks, testing the limits of crisis Timing of Messages
communication, as summarized by R. Zimmerman Delay in the delivery of messages can potentially
(2012) based on U.S. agency information. vastly increase casualties and other impacts.
Timeliness, accuracy of communication, and In the Virginia Tech sniper shootings of April
communication capacity and capability to deliver 16, 2007, as reported by Reuters, a fine was
messages to connect supplies and services with issued under the Clery Act [Jeanne Clery Disclosure
those in need are critical to reducing the adverse of Campus Security Policy and Campus Crime
outcomes of crises, and selected cases below are Statistics Act or 20 U.S.C. § 1092(f) of 1990]
organized according to these three areas. by the U.S. Department of Education because
university officials delayed university-wide warnings
Accuracy of Messages of the attack for two hours as they followed a lead,
In very sudden, unexpected, and rapidly emerging resulting in 32 deaths and more injuries. Reuters
catastrophes, some with little precedent, messages reported that as of March 31, 2012, the fine was
were inaccurate or not given at all due in part to an overturned. The Haiti cholera epidemic following
inability to assess the situation given the difficulty the January 2010 Haiti earthquake was confirmed
of obtaining or understanding information. in October by the U.S. Centers for Disease Control
As mentioned earlier, messages are targeted to (CDC); military missions brought in for assistance
actions or decisions. Evacuation is one common were thought to be the cause. Timely communication
decision in crises that requires timely and of epidemiologically based warning signs such as
accurate information—whether, when, and how it the existence and rate of emergence of the disease
is to be done. Communications go hand in hand to enable the population to avoid further exposure
with those decisions. Some cases that illustrate did not prevent what the World Health Organization/
communication accuracy in evacuations are Pan American Health Organization (WHO/PAHO)
summarized below. estimated as about 7,000 deaths from cholera and
In the Tohoku earthquake in Japan on March more than half a million (515,699) cases toward
11, 2011, the Fukushima nuclear power plant late 2011. A major obstacle to communicating its
failures were associated with messages as to where existence and extent is that, according to the WHO/
people should evacuate. N. Onishi and M. Fackler PAHO and the CDC, most of the infected people do
indicate that people were told to evacuate to the not exhibit symptoms.
north, since winds were blowing to the south, when,
in fact, information that these people didn’t have Communication Capacity for Supplies and Services
showed winds blowing to the north, resulting in Communication capacity within and among
people relocating to contaminated areas. agencies and with the public connects supplies
In the 9/11 terrorist attacks, the 9/11 National and services to people in emergencies. The ability
Commission identified messages from some to communicate effectively with suppliers to match
designated safety officials that New York building supplies with need is a major challenge. When
occupants should stay in their offices or move away abundant supplies are provided but are not what is
from fires, a type of shelter-in-place strategy used needed, the imbalance becomes a disposal problem.
in some emergencies but not where a total building The ability to control voluntary contributions, for
collapse is expected to occur, a condition that was example, is a major management problem.
either not known or not expected at the time. The New York City snowstorm of December 26,
In the L’Aquila earthquake of 2009 in Italy, H. 2010, was an unusual blizzard, characterized
Fountain’s review points out that people were told (Continued)
190 Crisis Communications

(Continued) tracking and response to disabled vehicles external

by the National Oceanic and Atmospheric communications with passengers that were delayed,
Administration (NOAA) as the sixth-largest inconsistent, or incorrect; and communication
(in Central Park) since the 19th century. As equipment failures. Ultimately, New York City
summarized in part by Zimmerman (2012), the New increased the availability of communication
York City Council hearing January 10, 2011, New equipment and made other organizational and
York City’s report by Elizabeth Weinstein and Skip procurement changes. As Zimmerman (2012)
Funk, and the MTA Office of the Inspector General concludes, the city had other chances to improve
reported deficiencies in communication with respect these conditions with other snowstorms that
to the inability to declare a state of emergency, the followed in January 2011 and the extensive
inability of snow removal vehicles to communicate evacuations in connection with Hurricane Irene.
with one another due to insufficient equipment, According to a 2011 National Research Council
overloading of existing communication channels, report, the December 2004 Asian earthquake and
the absence of geographic information system (GIS) tsunami that killed more than 200,000 people
equipment to locate and deploy the vehicles, and revealed deficiencies in the notification of the onset
the inability to communicate with workers to enable of the tsunami and led to the development of an
them to get to the vehicles. According to the MTA extensive tsunami warning center structure.
Inspector General’s report, deficient public transit Based on accounts from Todd Litman and others,
system communication systems and operational Hurricane Katrina of 2005 exemplified the failure of
procedures also contributed to continued communicating to people where they could obtain
deployment of transit vehicles during the storm supplies and services both before and after the
that were immobilized, stranding passengers; these hurricane; in some hospitals, people were told to
communication deficiencies included problems wait for emergency personnel to help them leave,
with internal communications linking bus operators, yet none arrived; and people who made it to shelters
dispatchers and road response units for vehicle found it difficult to communicate with suppliers.

numbers. He uses a survey to argue this in which Individual, group, and cultural characteristics
the more people affected, the lower the dollars such as age, gender, race, ethnicity, and income
per capita were granted to support them. In this have been related to variations in risk perceptions,
context, he also brings in the concept of affect or for example, traced by J. Flynn and colleagues in
quick feelings and that people cannot grasp num- a 1994 paper for numerous threats.
bers emotionally. According to social psychologists, biases also
Slovic, Fischhoff and Lichtenstein, and A. Tver- occur in people’s ability or willingness to adopt
sky and D. Kahneman identify some of the biases protective action (evacuation to prevent injury
in the way people process information: for exam- and loss of life, insurance to reduce property
ple, underestimating large risks and overestimating losses) before, during, or after a catastrophe.
small ones, called “availability.” In earlier works, A number of other human behavioral concepts
Tversky and Kahneman as well as Slovic, Fischhoff, are directly significant to communication. “Men-
and Lichtenstein identify “anchoring,” or the influ- tal models” are a composite of people’s knowl-
ence of previously held values on current beliefs. edge, experiences, and preferences that they bring
Education may not always overcome these beliefs. to new situations, and can change over time, as
Prior experiences also can influence people’s atti- M. Morgan, B. Fischhoff, and A. Bostrom have
tudes toward risk and defensive actions they are explored. The concept of “social amplification”
willing to take to reduce risk, as E. Lichtenberg set forth by R. Kasperson and colleagues empha-
and Zimmerman showed in the context of farmer sizes that risk experiences and heightened percep-
behavior toward the risks of pesticides. tions of risk are shaped by perceptions, technical
 Crisis Communications 191

details of events, and information, and are under-

stood when all of these factors are integrated or Case Studies in Successful Communication
conceptualized in the same context. In Japan’s Tohoku earthquake of March 11,
In crises, people tend to seek information and 2011, NY1 newsreporter Dean Meminger
other people for information and support. The R. reported that some school children were saved by
Zimmerman and M. Sherman study of 9/11 sur- having experienced emergency drill procedures,
vivors in New York City reported that half of the though in other cases, emergency warning
people leaving Towers 1 and 2 lingered to seek exercises can lead people to ignore them.
information and people, and the other half left A report by the U.S. Department of
immediately. Other studies have shown that people Transportation’s Volpe Center, headed by project
have certain predilections toward whom they seek manager Allan J. DeBlasio, describes the rapid
information from. Trust is one of the strongest fac- response of transit systems after the 9/11
tors that relate to beliefs about risks, as Slovic has attacks in New York City. They describe how a
shown, and whom people are likely to listen to. train operator becoming aware of the impact
People tend to obtain information from their peers communicated to others within a minute,
and use sources with which they are familiar. resulting in the commencement of emergency
procedures. The Port Authority Trans-Hudson
What, How, and When to Communicate (PATH) system acted similarly; within a half hour,
The study of communications, especially as warn- shutdowns of roadways and airports followed,
ings, encompasses when and how to warn. One and within two hours a system-wide shutdown of
important aspect of when to warn is the identifica- subways and the PATH occurred.
tion and communication of precursors. J. Phimis- Researcher Rae Zimmerman summarized how
ter, V. Bier, and H. Kunreuther identify accidents utilities, during response and recovery to 9/11
in which the causes were known but not acted on. attacks in New York City, were able to tap a vast
Hindsight takes over after a catastrophe, and pre- network throughout the United States to obtain
cursors abound in many different ways. In cata- and install electrical generators, distribution
strophic earthquakes, precursors are often evident lines, and cell towers to temporarily restore
in the form of historical trends in earthquakes electric power and communications, and the
in an area. According to the National Oceanic communication network to do that predated the
and Atmospheric Administration (NOAA) and outage.
the U.S. Geological Survey (USGS), prior to the Prior to Hurricane Irene’s landfall in Brooklyn,
March 11, 2011, Japan earthquake, Japan’s loca- New York City, on August 28, 2011, a record
tion in a high earthquake-prone area, the “ring pre-event nonmandatory evacuation occurred
of fire,” was well known, and earthquakes were of close to 2 million people in the New Jersey
registered near that date. T. Litman describes how and New York portions of the New York region
New Orleans was forewarned of the dangers in alone. The evacuation required timely, accurate,
a community dependent on transit. The question and well-organized communications about the
remains as to whether communicating prior trends threat’s validity, locations of highest vulnerability
makes it easier to communicate a need for risk- based on hazard mapping and analysis, and
avoidant behavior, in the form of relocation, pre- where people could go. The messages were
paredness, and so forth, that people would act on. delivered at the highest levels of government with
Government agencies, to simplify hazard com- considerable seriousness, with follow-through by
munications, rely on common integer or logarith- emergency response organizations.
mic scales, usually with under a dozen categories, In the Indian Ocean tsunami on December 26,
accompanied by a verbal description of expected 2004, the National Oceanic and Atmospheric
damages for each category. Examples are the Administration recounted stories of how training
USGS’s use of the Richter and Mercalli Intensity enabled people to get to safety and how a tribe
Scales for earthquakes, the Volcano Explosivity read the signs of receding waters as a tsunami,
Index, the Sieberg Tsunami Intensity Scale and thus enabling them to move to higher ground.
NOAA’s Saffir-Simpson Hurricane Wind Scale,
192 Crisis Communications

the Enhanced Fujita Tornado Scale, and various See Also: Early Warning Systems; Electronic
precipitation, drought, and heat indexes. The Media; Emergency Alert Systems; Emergency Public
U.S. Department of Homeland Security replaced Information; Information Asymmetry; Information
its five-part scale in 2011 with the National Ter- Vacuums; Mass Media; News Media; Public
rorism Advisory System, which provides detailed Awareness and Education.
information on a threat, including whether it is
elevated or imminent. Agencies and organizations Further Readings
managing critical infrastructures routinely use Drabek, T. E. “Understanding Disaster Warning
aggregated hazard, condition, and performance Responses.” Social Science Journal, v.36/3 (1999).
measures to signal vulnerability and threats. Fischhoff, B., P. Slovic, S. Lichtenstein, S. Read,
These scales simplify communication; however, and B. Combs. “How Safe Is Safe Enough?
the mathematical formulations do not easily map A Psychometric Study of Attitudes Toward
to specific situations, locations, and time peri- Technological Risks and Benefits.” In The
ods. Another aspect of how communication is Perception of Risk, P. Slovic, ed. Sterling, VA:
accomplished is communication technology. The Earthscan, 2000.
very rapid growth of alternative communication Flynn, J., P. Slovic, and C. K. Mertz. “Gender, Race,
methods and the differential transfer to individu- and the Perception of Environmental Health
als makes this a difficult question to answer. One Risks.” Risk Analysis, v.14/6 (1994).
important lesson is that most communication Kasperson, R. E., et al. “The Social Amplification of
technologies depend on electric power, which is Risk: A Conceptual Framework.” Risk Analysis,
often disabled in a crisis. v.8/2 (1988).
Guidance for the design of crisis communi- Lichtenberg, E. and R. Zimmerman. “Adverse
cations emerges from a very large literature. It Health Effects, Environmental Attitudes, and
includes, for example, the U.S. Environmental Pesticide Usage Behavior of Farm Operators.” Risk
Protection Agency’s risk communication “rules” Analysis, v.19/2 (1999).
to involve audiences actively in the process, gain Lindell, M. K. and R. W. Perry. Communicating
trust before communication occurs, respect and Environmental Risk in Multiethnic Communities.
be compassionate about audience concerns, and Thousand Oaks, CA: Sage, 2004.
rely on accurate information. Other guidance Litman, T. Lessons From Katrina and Rita: What
addresses presentation style, emphasizing the use Major Disasters Can Teach Transportation
of graphics, where to place key messages, and the Planners. Victoria, BC: Victoria Transport Policy
use of trusted messengers. Institute, 2006.
Meminger, D. “NY1 Reports: Japanese Students
Conclusion Credit Drills in Tsunami Survival.” http://www.ny1
Crisis communication is an old field of study .com/content/special_reports/japan_disaster_one
but will continue to face new challenges as cri- _year_later/157737/ny1-reports—japanese-students
ses change form and intensify and the structure -credit-drills-in-tsunami-survival (Accessed April
of social networks and who is trusted changes. 2012).
Fundamentally, effective communication, defined Morgan, M. G., et al. Risk Communication: A
as keeping people safe from harm, depends on Mental Models Approach. New York: Cambridge
trust and individual willingness to adapt behavior University Press, 2002.
to what is being communicated. Communication National Oceanic and Atmospheric Administration
is an interactive, ongoing process engaging send- Ocean Exploration Program. “Heeding the Signs.”
ers and recipients and, though the combination http://oceanexplorer.noaa.gov/edu/learning/player
of individuals is usually unique to each situation, /lesson09/l9la2_a.html (Accessed May 2012).
modes of communication have emerged that situ- National Research Council. Tsunami Warning
ations share in common. and Preparedness. Washington, DC: National
Academies Press, 2011.
Rae Zimmerman Onishi, N. and M. Fackler. “Japan Held Nuclear
New York University Data, Leaving Evacuees in Peril.” New York Times
 Crisis Information Management Systems 193

(August 8, 2011). http://www.nytimes.com/2011 response and recovery efforts. An EOC provides a

/08/09/world/asia/09japan.html (Accessed May physical location for the centralized management
2012). of emergency operations, including the collection,
Peters, et al. “Numeracy Skill and the management, and documentation of information.
Communication, Comprehension, and Use of CIMS were developed to aid in this process. Infor-
Risk-Benefit Information.” In The Feeling of Risk: mation technology (IT) was targeted as essential
New Perspectives on Risk Perception, P. Slovic, to improved emergency response and recovery
ed. London: Earthscan, 2010. coordination. Crisis information management
Phimister, J. R., et al., eds. Accident Precursor software, also known by the acronym CIMS, is
Analysis and Management. Washington, DC: an essential component of many crisis informa-
National Academies Press, 2004. tion management systems. CIMS usage provides
Slovic, P. “Perceived Risk, Trust, and Democracy.” improved efficiency, faster and more flexible emer-
Risk Analysis, v.13/6 (1993). gency response and recovery times, and more fully
Slovic, Paul. “The More Who Die, the Less We Care.” informed decision-making capabilities, which in
In The Feeling of Risk, Paul Slovic, ed. London: turn can save lives, property, and money.
Earthscan, 2010. Crisis information management system has
Slovic, Paul, et al. “Facts Versus Fears: Understanding become the most widely accepted term within the
Perceived Risk.” In Judgment Under Uncertainty: emergency management field. Other terms in use
Heuristics and Biases, D. Kahneman, et al., eds. have included disaster management interoper-
Cambridge: Cambridge University Press, 1982. ability system, coordinated incident management
Slovic, Paul, et al. “Rating the Risks.” In The system, and critical incident management system.
Perception of Risk, Paul Slovic, ed. London: Emergency response and recovery usually requires
Earthscan, 2000. multiple agencies at various levels of government
Zimmerman, R. “Public Infrastructure Service and/or between government and the private sec-
Flexibility for Response and Recovery in the tor. CIMS provide more effective central command
September 11th, 2001, Attacks at the World Trade and control operations within EOCs, alleviating
Center.” In Beyond September 11th: An Account problems such as redundancy, confusion, miscom-
of Post-Disaster Research. Boulder, CO: University munication or lack of communication, and delays.
of Colorado Natural Hazards Center (2003).
http://www.colorado.edu/hazards/publications/sp Development and Use
/sp39/sept11book_ch9_zimmerman.pdf (Accessed The development of CIMS in the United States
May 2012). was part of a larger effort to improve emergency
Zimmerman, R. Transport, the Environment and response and recovery efforts under the Depart-
Security: Making the Connection. Cheltenham, ment of Homeland Security and the National Inci-
UK: Edward Elgar, 2012. dent Management System. These efforts occurred
Zimmerman, R. and M. Sherman. “To Leave an in the wake of systemic problems identified after
Area After Disaster: How Evacuees From the the 9/11 terrorist attacks in 2001 and Hurricane
WTC Buildings Left the WTC Area Following the Katrina in 2005. Critical among these problems
Attacks.” Risk Analysis, v.31/5 (2011). was a general lack of overall situational awareness
among the many agencies dealing with disasters,
pandemics, or terrorist attacks. National govern-
ment agencies and areas with large populations
have been among the first to adopt CIMS.
Crisis Information CIMS are not used only in federal, state, and
local government EOCs. Private-sector use spans
Management Systems diverse industries such as telecommunications,
utilities, energy, security, health care, agricul-
Crisis information management systems (CIMS) ture, banking, and education as well as various
are employed within emergency operations centers voluntary and nonprofit agencies. Other coun-
(EOCs) to better coordinate complex emergency tries as well as international nongovernmental
194 Crisis Information Management Systems

organizations (NGOs) have implemented CIMS. to allow EOC personnel to be fully informed of
The United Nations (UN) has worked with the the current crisis as it unfolds in real time. CIMS
ICT4Peace Foundation to develop a CIMS as part may also encompass daily EOC management and
of its UN Crisis Information Management Strat- planning and preparedness activities.
egy. The goal is to better coordinate international Personnel management covers defining individ-
humanitarian disaster and conflict response and ual, team, and organizational roles and duties as
relief efforts in response to problems identified well as mission and source tasking. Notification
through the 2010 Haiti earthquake, among other management covers incoming and outgoing mes-
disasters. sages such as assistance requests, press releases,
Although there are no standard requirements and public alerts. Document management ensures
for CIMS, many CIMS share common compo- that all documents either collected or produced by
nents. Operational methodology management CIMS are properly stored and easily retrievable,
identifies and defines the core concepts underlying while report management allows for the genera-
the EOC’s mission, while the incident management tion of status and other vital reports. Notification
or command system outlines the command-and- and document management also ensure reliable
control structure as well as relations among the communication as well as access control such as
various agencies and government levels involved user authentication and authorization services
in emergency operations. Situational awareness and data security. Financial management encom-
utilizes the information gathered through CIMS passes effective tracking and utilization of assets,

Centers for Disease Control and Prevention (CDC) acting director Richard Besser shows U.S. Secretary of Health and Human Services
Kathleen Sebelius logistical assessments relating to swine flu outbreaks posted inside the CDC’s emergency operations center on May
5, 2009, in Atlanta, Georgia. The CDC uses WebEOC, an Internet-based, locally configurable incident and event management tool.
 Crisis Information Management Systems 195

resources, expenditures, budgets, and assessment transfer method is the Internet Protocol (IP), and
modeling such as damage assessments. Other the most common data exchange language is
management tasks can include shelters, mobile eXtensible Markup Language (XML).
recovery sites, and infrastructure such as roads The National Incident Management System
and bridges. Supporting Technology Evaluation Program
(NIMS STEP), established by the Department of
Software Homeland Security in 2005, evaluates CIM soft-
CIMS software is a critical component of CIMS. ware as part of its duties. Several key studies have
These software programs are designed to provide also evaluated CIMS software programs across
the communications and information technol- vendors to identify benefits, problems, and user
ogy support critical to the EOC’s functioning. needs. These include the National Institute of
CIMS software can perform a variety of func- Justice’s 2001 “Crisis Information Management
tions such as alert network operation and noti- Software (CIMS) Feature Comparison Report,”
fications, event evaluation, task assignments and the Institute for Security Technology Studies’
prioritization, resource deployment, briefings, 2004 “Crisis Information Management Software
and real-time monitoring. CIMS software can (CIMS) Interoperability: A Status Report,” and
even be designed to function as a virtual EOC. 2007 and 2008 surveys conducted by the U.S. Air
CIMS software may be designed as stand-alone Force and the University of Colorado Center for
but generally does not operate in isolation. There Homeland Security.
are both Web-based and non-Web-based CIM One of the key concerns identified in compari-
software programs. sons of CIMS and CIMS software is the issue of
The local autonomy granted by the U.S. federal interoperability, or the ability of separate systems
government has led to the creation of a variety and software programs to communicate critical
of CIMS software products and allows various information and exchange services. Interoperabil-
EOCs greater flexibility in deciding which CIMS ity is essential to proper functioning between vari-
software to purchase. Companies that offer EOC ous EOCs as well as between EOCs and their users.
CIMS software include Alert Technology (mak- CIMS must also be designed to operate effectively
ers of Ops Center), Blue292, Emergency Man- between multiple agencies and responders within
ager (makers of the product of the same name), the government and private sectors. CIMS must
Emergency Services Integrators or ESi (makers of also adapt to the varying levels of infrastructure,
WebEOC), E-team, Essential Technologies (mak- information technology knowledge and accessi-
ers of Incident Master), SoftRisk, Ship Analyt- bility, and information technology systems these
ics (makers of L-3 CRISIS), Public Safety Group agencies may possess.
(makers of EM/2000), and Strohl Systems (mak- CIMS and CIMS software are flexibly designed
ers of Incident Manager). The U.S. Department of to allow for adaptation to location, agency, or
Homeland Security manages its own secure Web- type of emergency. CIMS must also account for
based information-sharing portal known as the problems that often arise during emergencies,
Homeland Security Information Network (HSIN). such as network outages and damage to commu-
The various CIMS software products contain nications or information technology infrastruc-
many of the same components, such as emergency ture. The most effective CIMS are easy to use and
support functions; command, control, and com- implement in an emergency; work in challeng-
munication functions; and resource management ing environments and conditions; do not require
functions. Specific components often include extensive training, maintenance, or support; can
weather and plume modeling, street mapping, be customized to suit specific needs; and are
geographic information systems (GIS), and moni- interoperable with other CIMS and emergency
toring and data acquisition systems such as aerial management systems. CIMS are ultimately reliant
and satellite photography, cameras and closed- on their underlying structures, software, and per-
circuit television, and CBRN sensors. Most CIM sonnel for success.
software utilizes databases for data storage and Common terminologies, responder roles, and
sharing capabilities. The most common data frameworks for information flow have yet to
196 Crisis Management, Emerging Trends in

be fully developed or widely adopted, hindering National Institute of Justice. “Crisis Information
CIMS interoperability and the ability of agencies Management System Feature Comparison Report.”
in varying fields to communicate. Other problems (2001). https://www.ncjrs.gov/pdffiles1/nij/197065
include the unwillingness of agencies to share .pdf (Accessed May 2012).
data, data security and access issues, the use of Ryoo, J. and Y. B. Choi. “A Comparison and
sector-specific standards, and redundancy across Classification Framework for Disaster Information
agencies and sectors. Future challenges are to Management Systems.” International Journal of
improve interoperability and standardization of Emergency Management, v.3/4 (2006).
use and to overcome resistance or boundaries to
CIMS use, including data security, cultural, and
financial issues.
The OASIS consortium is one of the leaders
in the development of universal CIMS standards Crisis Management,
through its Emergency Management Technical
Committee. The first was their 2005 Common Emerging Trends in
Alerting Protocol (CAP), which provided a com-
mon XML format for use in alerting and public A crisis is a significant issue affecting a firm or
warning systems. CAP users in the United States its stakeholders that, if left unattended, can lead
include the Department of Homeland Security and to severely negative outcomes. Key character-
the National Weather Service. Other standards in istics of a crisis are that it requires an immedi-
practice or under development (as of 2012) include ate response, has low probability of occurrence
the Emergency Data Exchange Language (EDXL), but high impact, and is clouded in ambiguity of
which itself includes the EXDL Distribution Ele- cause, effect, and resolution. As the number and
ment; the EDXL Resource Messaging; and the frequency of crisis events have grown in recent
EDXL Hospital Availability Exchange Language. decades, the sophistication of crisis management
responses has also matured. Below are three
Marcella Bush Trevino emerging trends that are worth attention if orga-
Barry University nizations want to continue to develop their crisis
management capability.
See Also: Collaboration; Coordination; Crisis
Communications; Emergency Management System; Emerging Trend: Bridging the Cultural Divide
Emergency Operations Center; Interoperability. In its most comprehensive form, crisis manage-
ment is marked by five primary activities: signal
Further Readings detection, preparation and prevention, contain-
Canton, Lucien G. Emergency Management: ment and damage control, business recovery, and
Concepts and Strategies for Effective Programs. learning. By and large, however, it is the crisis
Hoboken, NJ: Wiley/Interscience, 2007. containment and damage control activities that
Gilpin, Dawn R. and Priscilla J. Murphy. Crisis receive the lion’s share of attention by organiza-
Management in a Complex World. New York: tions in crisis, by those responsible for manag-
Oxford University Press, 2008. ing the crisis, and by victims of a crisis. Damage
Iannella, Renato, Karen Robinson, and Rinta-Koski control is marked by two types of behaviors. The
Olli-Pekka. “Towards a Framework for Crisis first is crisis containment, where the focus is on
Information Management Systems (CIMS).” http:// immediate problem resolution. The goal of crisis
cairns.sourceforge.net/tiems2007.pdf (Accessed containment is to limit the reputational, financial,
May 2012). and other threats to firm survival. This can be
Institute for Security Technology Studies. “Crisis achieved by activities that limit the encroachment
Information Management Software (CIMS) of a localized crisis into otherwise unaffected
Interoperability: A Status Report.” Dartmouth parts of the organization or the environment. In
College: Technical Analysis Group, 2004. http:// BP’s case, there was an urgent need to stop the
www.ists.dartmouth.edu (Accessed May 2012). spread of oil along the shoreline. One of the firm’s
 Crisis Management, Emerging Trends in 197

technical responses was to deploy booms that management strategies that emphasize a long-term
would contain the oil. approach to crisis resolution. Finally, cultures can
Beyond the technical response to crisis man- be identified according to their value for an indi-
agement and containment, however, is the com- vidualistic or collectivistic orientation. A value
munication response. It is through an effective for individualism might suggest that crisis man-
communication and public relations strategy agement strategies that meet the needs of specific
that a company is able to convey to stakehold- stakeholders (an individual and his or her family)
ers the severity of the crisis, instructions (e.g., would be more highly valued than the crisis man-
in the case of an emergency that might require agement strategies that speak more to addressing
evacuation procedures), plans for resolving the the concerns of a broader community. Conversely,
crisis, and more. It is also through the commu- stakeholders who value a collectivist orientation
nication channels that a company can frame the will respond more favorably to crisis management
cause and accountability for the crisis, convey attempts that seek to redress the group of victims
remorse, and attempt to connect with victims. Of rather than meeting individual needs.
course, different types of crisis require different
types of responses, and there are numerous crisis Emerging Trend: Managing Social Media
typologies to guide firms in knowing which type Beyond the cultural implications of the BP oil
of response is appropriate in any given situation. spill crisis, the case exemplifies another growing
Using the example of the BP Gulf oil spill, we trend in crisis management—the need to manage
see a growing need for companies that operate social media. The emergence of social media has
around the globe to manage crises in a way that grown out of the capability to provide access to
is perceived to be culturally sensitive to stakehold- news and information over an extended period of
ers who reside in different regions of the world. time. It was another oil spill, in 1989, that helped
In other words, the effectiveness of a crisis man- spawn the 24-hour news cycle. With word of an
agement response will be increasingly dependent oil tanker (ExxonValdez) hitting the Bligh Reef
on the firm’s ability to match the crisis response in Alaska and spewing thousands of barrels of oil
to the cultural values and expectations of the into Alaskan waters, the American news network
victims, particularly when victims operate in a CNN, in its infancy at the time, had a story that
different cultural context from the firm respon- could be broadcast 24 hours a day, seven days a
sible for the crisis. Using a prominent theory of week. Back then, Exxon executives used what we
national culture, there are several cultural vari- now refer to as mainstream media as the primary
ables firms must consider in their crisis manage- vehicle for communicating with stakeholders.
ment response, including the need to reduce the Press conferences and daily debriefing sheets were
amount of uncertainty surrounding the crisis and used to disseminate information locally in Alaska,
its resolution. Crises, by their very nature, evoke and newspapers and television news networks
ambiguity. When a firm’s response fails to con- provided information about the status of the spill
vey information that helps clarify the situation to those outside the local community.
for victims, particularly for victims in a cultural Fast forward almost three decades, though,
context where uncertainty is not easily tolerated, and we see that in the BP case, social media,
then the receptivity of the crisis response by those including Twitter and Facebook, allowed stake-
victims will be low. Likewise, how one’s culture holders and onlookers an opportunity to vocalize
values time will likely affect stakeholder reactions opinions and speculate about the ongoings of the
to crisis management attempts. Crises require an crisis. Oftentimes, this public and fast-spreading
immediate response, yet a complete resolution to speculation paints a negative picture of the focal
a crisis may take months or years. For cultures organization, therefore requiring it to respond
that value a short-term time orientation, they will equally as fast with information that counters
likely respond more positively to crisis manage- the disparaging picture of the firm. Failure to
ment attempts geared to short-term crisis resolu- use social media to preserve the firm’s reputation
tion, or those actions that will have an immediate in response to a crisis event can put the firm at
positive impact on stakeholders, relative to crisis a severe disadvantage as others are able to put
198 Crisis Management, Emerging Trends in

forth a barrage of information and speculation. relative to the instantaneous nature of social
Until recently, firms that have a communications media is simply too great. With the technology
department whose responsibility it is to provide available today, firms that manage messaging
the messaging around a crisis have operated well in a crisis have learned to take advantage
through traditional or mainstream media for- of multiple communication channels, including
mats, perhaps holding town hall meetings with social media.
internal stakeholders (e.g., employees) or using The growing significance of social media in
television interviews and newspaper ads or edi- industry is highlighted in the 2012 Makovsky
torials to communicate with external stakehold- Wall Street Reputation Study conducted by Echo
ers. But the time lag between traditional media Research. The researchers interviewed 150 Wall

Case Study: Crisis Management During the 2010 Deepwater Horizon Oil Spill

The summer of 2010 proved to be a troubling blunders was a comment in a press conference
year for the oil giant British Petroleum (BP). The stating “I’d like my life back.” The interpretation by
Deepwater Horizon offshore oil drilling unit in the many Americans was that the BP executive came
Gulf of Mexico exploded, killing nine workers and across as arrogant and as being more concerned
injuring numerous others. The immediate aftermath about himself than he was about the fate of the
of this crisis was significant, but the longer-term victims of the crisis. A series of poor word choices
consequences were even more severe for BP and coupled with the difficulty Hayward and BP had
for a host of stakeholders affected by the ongoing connecting with American stakeholders seemed
oil leak into the Gulf waters. The leak lasted for to highlight the cultural differences between
a period of months. Local communities whose the British oil company and the local southern
livelihoods depended on a symbiotic relationship Gulf community. As this gap widened, American
between the oil and gas industry and the tourism receptivity to BP’s crisis response began to wane,
industry were paralyzed as BP and the federal and disdain for the company grew, even after
government worked to stop the leak from decimating it began to make substantial progress on the
the supply of seafood and the environment. Tainted technical response to the oil spill.
seafood meant that the restaurant industry and local The case of the BP oil spill highlights
fishers and shrimpers would see revenue decline several important trends in the realm of crisis
to dangerously low levels. Tainted beaches led to a management. One of these trends is the need for
drop in visitors to the coast just at the peak of the crisis handlers to develop and display cultural
tourist season. As a result, the general economy in competence. As companies reach beyond their own
the Gulf states was also threatened. national community and operate in regions all over
To make matters worse, BP’s chief executive the world, they need to prepare for the inevitability
officer (CEO) and primary spokesperson at the of a crisis on foreign soil. In the case of the BP
time, Tony Hayward, communicated publicly in explosion and subsequent oil leak, the British-
ways that raised the ire of many U.S. citizens. based company’s crisis affected U.S. stakeholders,
Hayward, a British citizen, became infamous for thereby instigating a need to enact a crisis response
communication and public relations blunders that consistent with the values and expectations of
suggested he was out of touch with and insensitive the American victims. Yet, the perception was
toward the needs of the local Gulf community. His that the firm’s leader managed the crisis in ways
unmistakable British accent seemed to exacerbate that seemed inconsistent with the cultural values
the frustration that a “foreign” company was seen of the local community. As a result, there was
as responsible for causing such devastation in the considerable backlash by U.S. stakeholders to BP’s
United States. Among Hayward’s more controversial crisis management attempts.
 Crisis Management, Emerging Trends in 199

Street executives responsible for marketing and not only the surface issues that typically have the
communications at large and mid-sized publicly most visibility. In the case of the BP oil spill, the
traded and private firms and found that although focus was on the high visibility concerns such
more than half of the executives said that their as repairing the equipment to stop the leak and
company’s social media efforts have had only neu- cleaning the shoreline damaged by the oil. Clearly
tral impact on managing their reputation, slightly those items needed to have been attended to,
more than 40 percent felt it had a positive impact but equally important are those crisis manage-
on their company reputation. As crises represent ment activities that seek to understand the root
a major threat to firm reputation, the ability for cause leading up to the rig explosion and oil spill.
social media to convey reputation-enhancing Clearly the equipment malfunctioned, but identi-
information quickly can be a tremendous tool. fying possible conditions contributing to the mal-
function (e.g., safety culture, resources devoted to
Emerging Trend: Striving for Innovation maintenance, communication channels between
The penultimate phase in the crisis management rig workers and management) may spark a learn-
process is business recovery. This phase precedes ing that can lead to significant procedural changes
learning and comes after the activities associ- or innovations that would go undetected in the
ated with damage control and containment. The absence of a root cause analysis.
goal of the business recovery phase has tradi- In addition to a root cause analysis approach to
tionally been to return the organization to pre- crisis management, taking both a short- and long-
crisis status. Understandably, leaders want to be term orientation can foster post-crisis reliance and
positioned to continue operations post-crisis and innovation. Many of the opportunities from crisis
not be encumbered by a lingering aftermath. Yet are likely to materialize over a long-term orienta-
the presumption that business will be the same tion, yet most crisis management activities take
post-crisis is a flawed one. Business will never be a short-term perspective precisely because the
the same following a crisis. The crisis has caused immediate needs are so great. By focusing on cri-
both internal and external conditions to change sis response needs over the long term, firms may
in such a way that a recovery to the former sta- see opportunities for research and development,
tus quo is impossible. There will be two options. human resources, and operational units within
Option 1 is that the firm will never fully recover the firm to contribute to new product develop-
from the crisis and toil in an effort to recuperate ment, enhanced services, and alternative policies
from the financial and reputational loss. Option and procedures that may not have been visible by
2 is that it will not only recover but will thrive in only focusing on the short-term crisis manage-
ways not imagined before the crisis. What deter- ment responses.
mines the path a firm will take is the mind-set of
the leader and the team responsible for managing Erika Hayes James
the crisis. University of Virginia
When leaders and crisis managers have a mind-
set of resilience, they are more inclined to manage See Also: Business Continuity Management; Crisis
the crisis in such a way that creates opportunities Communications; Electronic Media; Mitroff’s Five
for positive change, including growth and innova- Stages of Crisis Management; Reputational Risk.
tion. Alternatively, when leaders have a mind-set
of fear and threat in response to crisis, they are Further Readings
more inclined to be paralyzed and constrained in Boin, A. “The New World of Crises and Crisis
their thinking and decision making. The threat Management: Implications for Policymaking and
frame inhibits creativity and innovation, whereas Research.” Review of Policy Research, v.26/4
the resilience frame ignites it. (2009).
Practically, then, the most effective crisis man- Brockner, J. B. and E. H. James. “Toward an
agement strategies involve a number of resilience- Understanding of When Executives See Crisis
related activities. For example, crisis managers as Opportunity.” Journal of Applied Behavioral
will identify and treat the root cause of the crisis, Science, v.44/1 (2008).
200 Crisis Simulations

James, E. H. and L. P. Wooten. “Leadership as systems, devices, and environments. Yet the latter
Unusual: How to Display Competence in Times of are limited in what they can tell us about work
Crisis.” Organizational Dynamics, v.34 (2005). situated in real-world settings, just as the former
James, E. H. and L. P. Wooten. Leading Under are limited in their support for precision and rep-
Pressure: From Surviving to Thriving Before, licability. Enter the simulated task. Referred to by
During, and After a Crisis. New York: Taylor & various names under the broad umbrella of games
Francis, 2010. and simulations, realistic re-creations of applied
Lagadec, P. “Learning Processes for Crisis work environments offer some of the best of both
Management in Complex Organizations.” Journal methodologies. They provide a means to temper
of Contingencies and Crisis Management, v.5/1 the complexity of field research while facilitating
(1997). controlled manipulation and observation of real-
Mitroff, I. I. Crisis Leadership: Planning for the world tasks. Simulations also afford the oppor-
Unthinkable. Hoboken, NJ: John Wiley & Sons, tunity to address real-world problems by testing
2003. ideas for innovative human-centered tools and
Pearson, C. M., C. Roux-Dufort, and J. A. Clair. techniques, which are brought back into the field
International Handbook of Organizational Crisis for further study. Of course, simulated tasks are
Management. Thousand Oaks, CA: Sage, 2007. not meant to replace either approach to research.
Indeed, they are interdisciplinary by nature. Field
research is necessary to inform the development
of an appropriate and realistic task environment.
Likewise, the operation of the stimulus and col-
Crisis Simulations lection of accurate and meaningful data relies
on decades of fundamental laboratory-based
Simulations are synthetic representations of research methods.
salient phenomena in the physical world. The
development of simulations may include method- Role of Simulation in Crisis Management
ological approaches from traditional experimen- Although research using simulated tasks may
tal psychology, ethnographic field methods, and achieve many things where other methods fail, it is
domain-relevant scenarios. The platform for a by no means a straightforward pursuit. This area
simulation—that is, its medium of delivery—may is host to a diversity of conflicts, compromises,
range from analog to digital to virtual. Similarly, confounds, and complications, both practical and
a given simulation may operate autonomously or conceptual. Simulations can be quite costly and
with interaction from human agents. Crisis simu- complex to develop, though off-the-shelf games
lations are simulations that are meant to repre- have been adapted for both training and research
sent crisis situations and are found in operational, in many crisis applications. The traditions of dif-
training, and planning contexts. While the focus ferent disciplines regard games and simulations
of this article is on simulations for training, oper- with varying degrees of credibility. Recruiting and
ational and planning uses are briefly discussed. retaining suitable participants can be challenging,
This article reviews selected historical develop- especially with regard to naïve test subjects so fre-
ments, the role of simulation in crisis manage- quently relied upon in academic research.
ment, and challenges for simulation designers. Much has been said already about what simu-
lations and games can provide that other research
Historical Developments methodologies do not. But the complexity and
Field studies in human factors and related fields richness of the results they afford is matched
have provided rich and nuanced knowledge about by the complexity and cost of their conception,
individuals and teams at work in crisis environ- design, implementation, and validation.
ments. Likewise, controlled laboratory experi-
ments have provided the foundation for countless Simulation Platforms
contributions to understanding of the human char- Operation of a simulation requires a platform
acteristics that impact the development and use of upon which participants, technology, and, if
 Crisis Simulations 201

desired, a training program may be placed. Dif- simulation. Participants use actual facilities and
ferent simulation platforms allow for different resources, have access to realistic information, and
degrees of manipulation of key environmental are expected to behave as if the events were real.
variables in the crisis domain (e.g., tempo of cri- The simulation platform may be installed in
sis event, possible consequences, resources avail- a variety of settings, ranging from realistic to
able, etc.). The following typology is useful in futuristic. A mock-up version of an emergency
determining which platforms are best suited to operations center (EOC) often has key differ-
manipulating various variables relevant to the cri- ences from an actual EOC, such as the presence
sis domain. of video and audio recording devices for cap-
turing conversations and physical movements
Drills are cognitive and physical activities that among participants, as well as tools for logging
enable personnel to develop skills for use in participants’ interactions with the human–com-
executing procedures. They may also be used to puter interface installed on their laptops. A high-
develop knowledge about how these skills may be tech EOC would utilize the range of current
combined based on the unique requirements of a technologies to support sensing, communicat-
particular emergency. ing, and decision making. All three share some
common essential features, such as clear lines
Tabletop exercises use small-scale physical mock- of sight to larger-scale displays (e.g., digital and
ups of emergency situations, as well as a mix of analog maps), capabilities for individual inter-
decision makers, in order to enable a stronger con- action with computer interfaces, a layout that
nection between decision makers and the physical facilitates direct person-to-person interaction,
world. They are particularly useful for practicing and technologies for communicating with EOC
roles and interpersonal interactions. The goal is support staff.
to discuss problems in depth and develop deci-
sions through slow-paced problem solving. Interaction and Instrumentation
Interaction and visualization tools allow interac-
Functional exercises are real-time exercises that tion by individuals or groups with simulation. For
are based on dynamic models of the event. These example, they may enable graphical and voice-
exercises allow for near-continuous information based communication between participating per-
about the event and the consequences of decisions sonnel and their staff, as well as tools for logging
to be conveyed to participants. The focus is on the these interactions. In the context of planning, sim-
practice of a specific function or a complex activ- ulation systems such as HAZUS may be used to
ity within a functional area. The consequences calculate reliable damage and loss scenarios dur-
of the decisions to the emergency situation and ing the initial response period when no field data
the interactions with other functions and outside are available. Systems for first responders and
personnel are simulated. It should be emphasized, incident managers may be based on virtual real-
however, that the simulator may be a computer ity technologies. The costs of incorporating these
or, in the case of so-called Wizard of Oz exercises, systems into interactive simulation-based training
a human controller. These exercises are more varies in part with the number of simultaneous
capable than the previous ones of inducing stress, users. The larger the group, the more technologi-
because they are generally based on a rich (and cally challenging and expensive the systems are.
therefore more life-like) interaction. Distributed simulation systems are typically used
for collaborative training.
Full-scale exercises are meant to replicate, as Instrumentation enables integration and anal-
closely as possible without jeopardizing safety, ysis of three distinct but related data streams,
an actual emergency. This type of exercise is a corresponding to (1) the internal state of the
scenario-based extension of a functional exercise simulation, (2) interactions among participants
to all the functions, and complex activities of an (e.g., conversations, gestures, and focus of visual
actual emergency are conducted under high levels attention), and (3) interaction between partici-
of stress and real-time constraints with minimal pants and the simulation. Simulation state may
202 Critical Applications

be effectively captured by building logging capa- The larger the group, the more technologically
bility into the simulation itself. For example, a challenging and expensive the systems are. Dis-
complete record of system state may be made at tributed simulation systems are typically used for
each 5-second interval via transmission control training of groups. Systems for first responders
protocol/internet protocol (TCP/IP) to a separate and incident managers may also use virtual real-
database. ity technologies.
Participants’ conversations and gestures may
be captured via digital audio/video taping, then Training evaluation: This set includes tools for
time-coded to facilitate post-training analysis. logging and analyzing the decision process, such
Given the importance of visual search in support- as video and audio recording of individuals or
ing situation awareness, eye-tracking or related groups, keyboard logger, event logger for soft-
hardware and software may be used, perhaps in ware packages, and tools for automatic report
conjunction with tools for unobtrusive recording generation.
of participants’ movements. Finally, interaction
between participants and the simulation can be David Mendonça
captured by logging keystrokes and mouse move- Rensselaer Polytechnic Institute
ments of participants. Mark Pfaff
Indiana University
Challenges for Simulation Design
Training requires a training environment, as See Also: Decision Making; Simulations; Training.
implemented on some platform, within which
trainees can communicate and make decisions Further Readings
with respect to the emergency situation. The use Aase, Karina and T. Tjensvoll. “Learning in
of training platforms allows for the manipula- Emergency Organizations: Trial Without Error.”
tion of a number of design variables relevant to International Journal of Emergency Management,
improvisation, including risk, dynamism, stress, v.1/4 (May 2003).
information structure, and feedback. Many avail- Federal Emergency Management Agency. “Hazus:
able training platforms lack the capability to FEMA’s Methodology for Estimating Potential
handle the dynamics that arise during emergency Losses From Disasters.” (2003). http://www.fema
response operations. For example, HAZUS is .gov/plan/prevent/hazus (Accessed June 2012).
used in the United States mainly for disaster plan-
ning at the local, state, and federal levels. Because
of the limited possibility to include dynamic
information and because it is a stand-alone tool,
this system can mainly be used in a static way Critical Applications
during emergency response training. There is an
increased use of information technology–inten- As businesses move closer and closer to having
sive training systems for tabletop, functional, and all of their tools available through computing,
full-scale exercises. many risk and business continuity managers
A number of opportunities for further develop- are today focusing their efforts on ensuring that
ment of information technologies may be identi- systems, or applications, are always available
fied from this discussion. to ensure that productivity continues and that
business operations do not stop. But through
Generation of more realistic scenarios: Special- this increased emphasis on making applica-
ized simulation systems may be used for scenario tions available, or quickly recoverable during
generation. a time of crisis, a more thorough process has
been designed to take into consideration which
Interactive simulation-based training: Simula- applications must recover the quickest, which
tion systems (typically real-time simulations) ones can take a lower priority, and how much
vary from use for individuals to larger groups. it costs to ensure that the proper technology
 Critical Applications 203

is in place in order to accomplish these goals. availability requirements allows storage and net-
Through these discussions, a stack ranking, or working administrators to target appropriate
what is more commonly referred to as “critical- solutions.
ity,” has been designed in order to balance the Although assessment of application criticality
goals of ensuring that applications continue to may be relatively simple for some businesses and
operate while keeping within an organization’s government operations, in most cases the pro-
allocated budget constraints. Most common cess can be complex and time-consuming. This is
classifications today for applications range from especially true of applications that have evolved
the lowest priority, sometimes called “Deferra- over a period of time with nonuniform develop-
ble,” to “Import,” to “Critical” or what some ment processes. Dependency among applications
term “Mission Critical.” All of these classifica- contributes significantly to this complexity. For
tions have different meanings, recovery thresh- example, if Application A relies on a feed from
olds, and, of course, costs to maintain the level a database controlled by a separate Application
of assurance to the business. B to provide mission-critical information, having
complete redundancy for A will be of no use if
Determining and Classifying as Critical B is not available. Some of the steps to be taken
There are many aspects to determine what appli- in the assessment process include listing all your
cations can, and will be, classified as critical to a applications, identifying dependencies between
business or government operation. Some opera- applications, creating application groups based
tions design their own system of making these on dependencies, prioritizing application groups
determinations, considering factors such as the based on importance, and associating availability
industry of the operation, how large the busi- metrics for application groups and applications
ness is, available budget and resources, and gen- within groups.
eral leadership buy-in on the design and expense. Two key metrics that identify the level of avail-
But from an industry-generic standpoint, deter- ability required for applications and data, espe-
mining an application as critical lies mainly on cially in a disaster recovery scenario, are recovery
a few factors based on questions: If the applica- time objective (RTO) and recovery point objec-
tion was not available to your business for more tive (RPO). Recovery time objective measures
than 24 hours, would you then experience a large the acceptable time for recovery. RTO poses
financial impact? Would your reputation from a the question, How long can the application be
customer standpoint suffer, and would that appli- down? Cost and downtime implications deter-
cation have any dependencies with other applica- mine RTO for a given application. There have
tions with which it interacts? If you answer yes to been several studies on the cost of downtime for
these questions, you more than likely have a criti- specific market segment applications in retail,
cal application on your hands, and you will need telecommunications, manufacturing, e-com-
to incorporate a strategy into your operation to merce, energy, and financial services. These stud-
ensure that you protect that application, as well ies often take into account not just the short-term
as its data, to ensure that you can recover it very tangible loss in revenue but also the intangible
quickly during a time of crisis. Of course, many long-term effects. Although these studies provide
more detailed questions will have to be asked useful data, organizations can greatly benefit by
once you have made the initial determination that performing a thorough assessment customized to
an application is critical. their environment.
RTO for an application, in turn, helps deter-
Assessing Critical Applications Objectives mine the tools and technologies required to
Anyone even peripherally connected to informa- deploy the appropriate availability level. For
tion technology recognizes that the number of example, if the RTO for a given application is
business-critical-level applications has dramati- seven days, then restoring from backup tapes may
cally increased in the last few years. However, the be adequate. On the other hand, if the RTO is
levels of availability required for each application a few minutes, wide-area replication and failover
vary dramatically. Assessing each application’s may be required in case of a disaster.
204 Critical Applications

Recovery point objective measures the earliest your business continuity in order to make a good
point in time to which the application and data return on investment (ROI) statement to your
can be recovered. Simply put, it seeks to deter- leaders. Some operations simply back up their
mine how much data can be lost. The nature of data more often, or in a different manner, so they
the particular application typically determines the can recover quicker; some design more sophisti-
RPO. In case of a major data center outage, it may cated solutions such as having the critical applica-
be acceptable for certain applications to lose up tion set up at a disaster recovery data center site,
to one week’s worth of data. This could be from and/or bring in a virtual, or cloud-based, applica-
a human resources application, in which data can tion that lives at a separate location owned by a
be re-entered from other document sources. data center company (commonly referred to as a
Once again, as in the case of RTO, RPO helps colocation site) that ensures available uptime for
determine the tools and technologies for spe- your application. Either way, having some form
cific application availability requirements. If, for of a methodology in place to ensure that your
example, the RPO for a human resources applica- business or government operation is more resil-
tion is indeed determined to be seven days, then ient is a progressive policy.
restoring from backup tapes may be adequate.
However, for a banking application that deals Proper Recovery Testing
with electronic funds transfer, the RPO is likely to As plans are designed and documented to imple-
be seconds—if that. In this case, in the event of a ment critical applications to a business or govern-
data center outage, nothing short of synchronous ment operation, a robust testing process must be
data replication may suffice. designed and exercised to ensure that your solu-
Overall, when assessing your objectives, ensure tion actually will meet your recovery goals. Many
that you are asking the right questions that per- businesses today test designated critical applica-
tain to your operations in particular, and then tions on an annual basis, and some test the resil-
design a methodology around your functions. iency, or strength, of their plans more often than
that, depending on the impact to their operations.
Critical Applications Methodology Incorporating your critical applications test-
For a lot of business and government opera- ing into your disaster recovery plans is essential
tions, once the initial determination of an appli- for their survival; without a strong partnership
cation being critical to ongoing operations has between the organization’s business continuity
been made, many ask themselves what they need management (BCM) and information technology
to do in order to ensure that this application is (IT) disaster recovery teams, the chances of hav-
highly available, and, of course, quickly recov- ing a successful testing strategy, and therefore a
erable after a crisis. Many operations are often successful test itself, are severely compromised.
found floundering in the deep waters of informa- Some organizations create testing of critical
tion technology (IT) expense, consultant assess- applications with relation to the most common
ments, competing priorities, and the sheer myriad incidents that cause crisis situations, but other
tools available to help them protect their invest- organizations rely more on a more generic fact
ment. One thing is for sure: As we continue to of “system down” scenarios. Either focus point is
immerse ourselves in technology, there will be effective in designing a proper test plan, but the
more available tools and assistance to help you most important component of any recovery plan
wade through all of the different aspects, so don’t is the specific procedures needed to restore the
expect things to get any clearer from the stand- critical applications.
point of options from which you should choose. The development of a testing strategy requires
From a simplistic standpoint, though, to incorpo- key business decisions to be made regarding the
rate a critical applications methodology into your level of frequency of testing needed to ensure
operation, you must consider designing a process that recovery objectives can be achieved during a
for this around your operation that will meet disaster. The complexity and frequency of testing
your goals of protection, keep your costs to a rea- are based on the risk to the business or govern-
sonable amount, and bring a level of resiliency to ment operation. Even small institutions should
 Critical Business Functions 205

participate in tests with other critical components range from thousands to millions of dollars per
of the business (such as operations processes). hour—due not only to disaster recovery expenses
Keep in mind that unmanned recovery testing, but also to lost sales, customer defection, financial
where backup tapes are sent to the recovery site penalties from violation of legal requirements, and
to be run by service provider employees, is not a lack of productivity. Add to that a damaged repu-
sufficient test of an institution’s plans. tation in the marketplace and diminished share-
Testing strategies should exhibit the conditions holder confidence, and the cost of downtime can
and frequency for testing critical applications. be staggering. Knowing how to properly identify
The strategy should include what objectives you and then manage your critical applications during
are seeking and schedules, as well as a function times of crisis can be the defining factor between
for reporting on the results to leadership. Proper incurring multiple forms of damage to a business
evaluation of risks to the business is essential, tak- versus a quick recovery and a solid reputation that
ing into considerations such as whether you will your customers and users can count on.
need full or partial operational capability during a
crisis, will you have the workforce to support the Michael Tedrow
critical application, and will you have a reduced Independent Scholar
demand for your services during a crisis. Mainly,
validation of your assumptions to ensure they are See Also: Backup Facility; Backup Media; Backup
appropriate for your requirements is also a key Strategy; Business Continuity Management;
indicator that you have developed a strong test Business Continuity Planning; Business Continuity
plan to support your critical applications. Planning Life Cycle; Business Resumption Planning;
Classification of Systems; Contingency Planning;
Adding Business Value Critical Business Functions; Data Recovery; Disaster
Today, critical applications and the data that sup- Recovery; Exercises; Failover; Impact Analysis;
port them are the heartbeat of continued opera- Incidents Versus Crises; Operational Plans; Recovery
tions, for they make your operation unique; there- Time Objective; Risk Analysis; Scenario Planning;
fore, protecting the critical operations that drive Sustainability; Vital Records.
these data is vital to your survival. More impor-
tant, ensuring that your data are available goes Further Readings
beyond responsive actions to unplanned failures. Bowman, Ronald. Business Continuity Planning
It encompasses a proactive approach that leads for Data Centers and Systems: A Strategic
to competitive advantage, which automatically Implementation Guide. Hoboken, NJ: John Wiley
brings more value to your operation. This advan- & Sons, 2008.
tage is built when your customers not only are Fowler, Kim. Mission Critical and Safety Critical
loyal but also become promoters of your orga- Systems Handbook: Design and Development for
nization because they know they can depend on Embedded Applications. Boston: Elsevier/Newnes,
you, and having a resilient plan for critical appli- 2010.
cations is a key ingredient in gaining this support Hiles, Andrew. The Definitive Handbook of Business
In today’s highly competitive business environ- Continuity Management. 3rd ed. Hoboken, NJ:
ment, business interruptions resulting from sys- John Wiley & Sons, 2010.
tem outages can be devastating. Regardless of the
cause—hurricane, fire, accident, computer virus,
or even user error—downtime can be not only
costly but also in some cases catastrophic. With a
mobile workforce, global customers wanting to do Critical Business Functions
business around the clock, and continually greater
dependence on technology, you need to not only When a problem affecting critical business func-
protect your critical applications but also continue tions cannot be handled by normal problem-
business operations virtually uninterrupted. The management processes, the problem escalates
cost of downtime, depending on the industry, can to a crisis. The crisis-management process helps
206 Critical Business Functions

control the response to events that impact criti- Business Continuity Plan
cal business functions. To successfully manage a Once the critical business functions have been pri-
crisis involving critical business functions, those oritized, two planning processes should be con-
business functions must be identified and pri- ducted that will produce written plans. The first is
oritized, and methods of handling the possible the business continuity planning process, and the
impacts should be planned. Once a set of pos- second is the disaster recovery planning process.
sible responses is planned, the handling of the cri- The business continuity plan prepares procedures
sis should become easier and result in the quick that will enable critical business functions to be
resumption of those critical business processes. performed in the absence of the usual technology.
In addition, the process of identifying and pri- Business continuity plans often involve perform-
oritizing the critical business processes may also ing the critical business function using manual
find ways to prevent impacts to those processes processes. It is very good when manual processes
to avoid a crisis. can be used because it may be a while before tech-
nology can be reacquired. Another method that
Business Continuity Life Cycle can be incorporated into the business continuity
The business continuity life cycle is a good way plan is to use the more available technology that
to plan for events impacting critical business has not been impacted, such as applications on
functions. The business continuity life cycle will personal computers. Sometimes temporary pro-
identify business functions and determine their cesses using a PC and its applications can suc-
priority within the organization. The business cessfully perform critical business processes, and
continuity life cycle will also attach the impact of then later, the information stored on the PC can
interrupting each business function in the form of be sent to the recovered information technology
lost revenue and additional costs. Typically, the environment. In this way, when a crisis develops,
business functions that provide the most revenue the business continuity plan will allow the critical
or would result in the most cost are considered business function to operate until the technology
critical business functions. The business continu- can be recovered by the disaster recovery plan.
ity life cycle process lets decision makers finalize
the priority of critical business functions in what Disaster Recovery Plan
is commonly referred to as the business impact The disaster recovery plan prepares procedures to
analysis. recover the technology normally used for the criti-
cal business functions. There are many ways to
Hazard Vulnerability Assessment recover technology, but any recovery method must
Along with the business continuity life cycle, be compatible with the possible outcomes of the
there is the hazard vulnerability assessment, threats and vulnerabilities. For example, it may
which attempts to list the possible threats to a not be a good idea to plan to recover the technol-
critical business function and gauge the vulner- ogy in the same building that was just destroyed.
ability to those threats. The hazard vulnerability Instead, a disaster recovery site can be obtained to
assessment ranks the threats according to how hold the recovered technology until the destroyed
vulnerable an organization is to those threats, building can be salvaged. Because there are costs
yielding a prioritized list of threats. That list is associated with a disaster recovery site, the plan-
matched to the prioritized list of business func- ning should specify what type of site would work
tions in the business impact analysis, and where best. There are hot sites, where preconfigured
the high-vulnerability threats would impact the equipment is running and waiting to take over as
high-priority business functions, plans are made the primary data processing site. There are cold
to prevent and mitigate the impact. Critical busi- sites that consist of just raised floor space and cli-
ness functions very often make use of technol- mate control where replacement equipment can be
ogy and have a significant number of people shipped, then configured, and then used. There are
involved. Some critical business functions also also warm sites, where there is some raised floor
require specialized skills from the people who for replacement equipment and also some hot site
perform those functions. characteristics in that some equipment is there,
 Critical Business Functions 207

running, but not enough to recover everything— given to begin any business continuity processes.
just enough for the most critical applications. In When it is evident that the technology will not
addition to the site where the recovery will take become available for a predetermined period of
place, there is also need for backup media on time, the disaster recovery plan should be invoked
which the vital information will be stored. There and a disaster declared by the organization. As the
are many considerations for backup media that impacts and damages are documented, the com-
will affect how a recovery is performed. There are mands are given to initiate claims processes with
many options, and an organization new to disaster the insurer to provide funds for the recovery.
recovery planning should enlist the assistance of a
trained disaster recovery planner. Incident Command System
Crisis management can be a very chaotic process.
Succession Plans It is best to have a specific way to conduct the
Another important planning item is to have a line crisis management process. One proven method
of succession for key people and alternate places is the Incident Command System (ICS), is a stan-
to get the skilled workers necessary to perform the dardized, on-scene, all-hazards incident man-
critical business function. Key people should have agement approach that has been developed and
at least three alternative members of the organiza- proven successful over many years of crisis man-
tion who can make the same decisions in case the agement. It is a very organized approach to han-
key person is not available. Skills can usually be dling a crisis involving many organizations and
obtained from temporary help organizations that many people. The ICS can be scaled to any event,
have the people whose special skills are required. large or small, as well as any type of participant.
Training on the ICS is also free from the Federal
Insurance Emergency Management Agency’s Web site.
Planning ways to prevent and mitigate the
impacts to critical business functions is not with- Conclusion
out some cost. The business continuity plan and Prior to a crisis that impacts critical business pro-
the disaster recovery plan identify equipment and cesses, the business continuity life cycle should be
services that will help execute the business con- used to plan for the prevention and mitigation of
tinuity plan and the disaster recovery plan. To impacts to the critical business functions. These
help with the financial side of things, there are plans will be invoked by the crisis management
several types of insurance an organization can process as needed at predetermined intervals
obtain. Some of those insurance instruments are based on information obtained about the event
called business interruption insurance, lost rev- and its impacts. The plans consist of the business
enue insurance, and key person insurance. Each continuity plan, the disaster recovery plan, and
assists with the financial side of the problems the various insurance coverage. When the normal
they name. Of course, to make a claim for any problem management processes fail to handle a
insurance, a detailed list of equipment and skilled problem affecting critical business functions, the
people needs to be maintained because the first crisis management process is invoked to control
thing a claims adjuster will ask for is proof that activities and expedite the recovery of the criti-
the insured items are lost. cal business processes. With proper control of the
activities in the crisis management process, an
Invoking the Plans organization can respond to a crisis and limit the
The activities in the business continuity plan and impact to its critical business functions.
the disaster recovery plan and the process for
making claims for insurance all become part of, William Lang
and are controlled by, the crisis management pro- Independent Scholar
cess. Immediately after the event invokes the crisis
management process and the assessment of the cri- See Also: Backup Media; Backup Strategy; Business
sis says critical business function will be halted for Continuity Planning Life Cycle; Data Recovery;
a predetermined period of time, the commands are Dedicated Site.
208 Critical Infrastructure

Further Readings • Finance: banks, money supply, financial

Disaster Recovery Journal. “White Papers.” http:// services
www.drj.com/white-papers.html (Accessed March • Government: national, regional, local
2012). • Emergency services: fire, police, ambulance,
FEMA Emergency Management Institute. “ICS specialized response
Resource Center.” http://training.fema.gov/EMI
Web/IS/ICSResource/index.htm (Accessed March The critical nature of infrastructure can also be
2012). viewed in terms of geographical scale, and in this
Nokes, Sebastian. Business Continuity: A Guide context it can be classified as national (of impor-
to Risk Management and Contingency Planning tance to the functioning of national life) and local
to Protect Your Business. London: Kogan Page, (of importance to the functioning of local affairs).
2012. Essentially, three kinds of hazards threaten crit-
ical infrastructure: extreme natural phenomena
include floods, storms, earthquakes, and volcanic
eruptions, distributed according to the prevailing
geography and temporal pattern of such events;
Critical Infrastructure technological failures, which are complemented
by the damaging effects of human error; and
Infrastructure comprises the facilities and equip- intentional events, such as those associated with
ment needed for the operation of society or an terrorism and sabotage. The elements of critical
enterprise. It has both physical and organiza- infrastructure may be vulnerable and exposed
tional aspects, and hence the term covers facilities to these hazards either singly or in combination.
(such as buildings, roads, and bridges), sites, sys- Vulnerability refers to the propensity for harm,
tems, and networks, including electronic commu- while exposure can mean either that the assets are
nications. The term critical infrastructure refers under threat for given periods of time or that they
to those elements that are absolutely necessary to are at risk of possible loss to a given extent.
support the basic functioning of society and the
essential services upon which it depends. The loss Measuring the Risks
or inefficiency of these assets would lead to severe Damage to critical infrastructure during an
economic and social consequences, and in the extreme event may cause both direct and indirect
worst cases there could be loss of life. effects. The former comprise interruption of ser-
In any classification of critical infrastructure, vice, destruction of assets, and losses of capabil-
the main sectors are water, energy, food, health, ity that arise directly from the phenomenon that
transportation, communications, finance, govern- causes the harm. The latter result from “knock-
ment, and emergency services. These, in turn, can on,” or cascading, effects, for example, pollu-
be subdivided as follows: tion of the environment following natural hazard
damage to an industrial plant.
• Water: dams, treatment plants, pipelines, In the case of critical infrastructure, although
sewers there is a prima facie case for risk aversion, this
• Energy: power stations, transmission lines, is usually too expensive to contemplate, with the
transformer and switching stations exception of high-reliability systems, such as civil
• Food: warehouses, distribution networks, aviation, for which exceptional measures are both
sales points warranted and supported by public intolerance of
• Health: hospitals, emergency systems, the risks. Instead, for most forms of critical infra-
pharmaceuticals structure, risk is managed using the “as low as
• Transportation: road, rail, air, water reasonably possible” (ALARP) concept.
(including airports, sea ports, highways, This poses two arbitrary thresholds: one of
railway lines, and bridges) them defines unacceptable risk, and the other
• Communications: land-line and mobile pertains to broadly acceptable risk. Risks that
telephone systems, cyberspace fall above the former threshold must be reduced,
 Critical Infrastructure 209

U.S. Small Business Administration Administrator Karen Mills (left, front) and other federal and city officials survey storm damage
in Alabama from the April 27, 2011, tornado, which killed 72 people in four states. Tuscaloosa Mayor Walt Maddox said the area’s
infrastructure was decimated by the tornado. Among the infrastructure losses were a fire station, the police department’s east precinct,
a communication tower, and a facility that contained the Emergency Management Agency and Environmental Services Departments.

either because the consequences of failure are process is SMART: Specific, Measurable, Attrac-
unacceptably high or because there is strong tive (or acceptable), Realistic (or realizable), and
and fairly unanimous support for investment in adequate in terms of Timing.
risk-reduction measures. The second threshold is Whether or not infrastructure is critical can be
defined by consequences that are not sufficient to judged by establishing a threshold. This involves
render the infrastructure inoperative in any but assessing the threat to assets (either singly or in
the most improbable circumstances. Between the groups or clusters) in terms of how their total
two thresholds is an area in which it is oppor- or partial loss will affect normal life, economic
tune to reduce the risks to the lowest possible activities, and the provision of essential services.
level, conversant with reasonable expenditures For example, the United Kingdom (UK) uses five
and available—and acceptable—methods. In levels of criticality, ranging from cases in which
this process, it may be necessary to demonstrate losses would be negligible to those in which the
openly that ALARP has been applied, which can destruction of particular infrastructure would
usually be achieved by showing that the methods have a catastrophic impact on the nation. The
are appropriate, reasonable, sustainable, and jus- UK also has a basic crisis management law (the
tifiable in terms of costs, efficacy, and predicted Civil Contingencies Act of 2004) that designates
reductions in losses. A useful acronym for this the operators of critical infrastructure as “second
210 Critical Infrastructure

category emergency responders,” with a statutory and of national or local importance. The problem
responsibility to prepare for emergencies. is also a dynamic one. In some cases, short outages
By way of example, very many ordinary transac- may have only nuisance value, but longer interrup-
tions are dependent on the availability of banking tions may be very serious. For example, volcanic
services, without which salaries cannot be paid and ash in the atmosphere may curtail civil aviation,
goods and services cannot be procured. In a simi- as happened for almost one week in Europe in
lar vein, the loss of electrical current would cause April 2010 with the eruption of the Icelandic vol-
grave problems for medical procedures, transpor- cano Eyjafjallajökull. Airlines and businesses that
tation, commerce, and a host of other activities. In depended on airlines suffered losses, but a longer
both cases, the problems would tend to become period of inactivity would have led to a rash of
dramatically worse the longer the service inter- bankruptcies among strategically important indus-
ruption lasts. Hence, planning and protection are tries, not least the airlines themselves.
essential to the maintenance or quick restoration To prioritize interventions for the protection of
of vital services. For particular structures, services, critical infrastructure, a risk matrix can be used.
or groups of assets, a criticality threshold can be This classifies the level of harm that is likely to
established by ascertaining whether their loss occur to an asset or group of assets and compares
would pose serious problems for the conduct of that with the probability of an adverse event.
normal daily life. Above a certain level of loss, the High probability of a crisis and great sensitivity to
infrastructure affected can be classified as critical losses add up to a strong priority for intervention

Case Study: Earthquake Threats to Water Supply Infrastructure

Water supply systems and networks are part of a liquefaction (the spontaneous transformation
nation’s critical infrastructure. In seismic zones, of ground from the solid to liquid state under
the first task is to assess the nature and magnitude earthquake loading) is possible, a liquefaction
of the threat to the system. potential map can be drawn up. The interaction
Seismic microzonation can be used to of the water distribution infrastructure with the
subdivide geographical areas occupied by the performance of different terrains can be analyzed
infrastructure according to the pattern of hazards. in relation to a map of seismic amplification. An
This usually involves analyzing the historical earthquake response spectrum can be calculated
record of seismicity, including return periods and in order to represent peak acceleration, velocity,
local magnitude-frequency relationships. It also or displacement response of a structure or system
requires geologists and seismologists to scrutinize with a particular natural vibration period and a
the local stress field in the Earth’s crust and fixed damping ratio (damping refers to the forces
make projections of the slip rate of local faults. that resist vibration). These calculations and
Microzonation maps can show the potential for mapping exercises are conducted in relation to a
ground shaking, sedimentary and topographic design event, which is usually conceived of as the
amplification of seismic waves, liquefaction maximum credible earthquake (MCE).
susceptibility, lateral spreading, landslides, rock- A geographic information system (GIS) should be
fall hazards, and earthquake-related flooding. used to compare the seismic data described above
Moreover, the assessment of seismic risk to dams with the pattern of water supply lines. After an
and reservoirs can help define potential failure earthquake, damage data can be added as a map
inundation (that is, floodable) areas. overlay. Appropriate mapping scales are 1:50,000-
Maps of peak ground acceleration (PGA) or 1:100,000 for subregional networks, 1:5,000-
peak ground displacement (PGD) can depict 1:10,000 for local networks, and 1:1,000 for a
the potential for damage to buried lifelines. If specific plant, such as a water treatment facility.
 Critical Infrastructure 211

to reduce the risk. Once again, the matrix may strategies must be evaluated. If safety-critical
need to be viewed in terms of a dynamic reality, in objectives need to be adopted (and they are a
which risks vary over time, are possibly cumula- mark of the criticality of infrastructure), then
tive, or increase nonlinearly as a result of a pro- design should ensure performance levels that are
tracted crisis. capable of withstanding the greatest shocks to
the system that can be envisaged. With respect to
Protecting Critical Infrastructure “normal” (that is, noncritical) infrastructure, this
The process of critical infrastructure protection may appear to be overdesign, but in the event of
may involve programs, plans, activities, or, better a highly abnormal crisis, it will be well justified.
still, all three. Once an asset or group of assets Like other assets at risk, critical infrastructure
has been identified as of critical importance, the may be subject to cost-benefit evaluation of any
first action should be to assess its weaknesses. investment in protecting it. Crude logic suggests
This may involve creating scenarios of what is that investment in protection measures should
likely to happen in a crisis and how the infrastruc- cease once equality is achieved between cost and
ture is likely to perform under duress. The sec- benefit. However, the hidden costs of not protect-
ond stage is to create resilience and redundancy. ing critical infrastructure may change the picture.
This may involve “hardening”—that is, making Hence, there is a greater propensity to invest in
the assets more robust, so their performance does apparently disproportionate measures, because
not deteriorate significantly under stress. At the the infrastructure is strategically important and
same time, protection measures can be created, because its loss or inactivity would lead to excep-
including structural measures, such as building tionally serious or unduly expensive consequences.
techniques designed to resist impacts, and non- Most governments would recognize the value
structural approaches that rely on procedures of putting into practice a comprehensive program
and plans to counter the effects of an emergency. of critical infrastructure protection. This would
Design that is tolerant of faults can be used, and involve looking systematically at the list of essen-
so can “fail-safe” design, in which measures are tial physical, socioeconomic, and information
taken to ensure that the effects of damage or technology assets and creating a strategy to invest
destruction are relatively innocuous. in their protection on a prioritized basis. This
Resilience may involve maintaining adequate should be an ongoing process, as development
levels of operating supplies and ensuring that and growth constantly change roles, relations,
reserves of manpower are sufficient. Contingency and the value of the assets.
and emergency plans must be drawn up and kept
current. They must also actively involve top man- David Alexander
agement. The plans should include procedures for Global Risk Forum, Davos
restoring essential services in the event of any inter-
ruption. In most cases, they will be based upon See Also: Bridges; Buildings; Critical Business
credible scenarios for failures and disasters. Finally, Functions; Damage Assessment; Downtime; Hazard
most critical infrastructure protection involves Vulnerability Analysis; High Reliability Organization
redundant systems. For example, hospitals depend Theory; Sabotage; Strengths, Weaknesses,
so heavily on continuity of electrical supplies that Opportunities, and Threats (SWOT) Analysis; Threat
they usually have diesel generators that will start up Detection.
on the instant that power supplies are interrupted.
This limits the danger of, for example, spontane- Further Readings
ous interruption of surgical operations that require Boin, Arjen and Allan McConnell. “Preparing for
lighting and power to life-support systems. Never- Critical Infrastructure Breakdowns: The Limits of
theless, the autonomy of generators is limited by Crisis Management and the Need for Resilience.”
available diesel fuel reserves and supplies. Journal of Contingencies and Crisis Management,
Before design standards can be adopted in v.15 (2007).
order to protect critical infrastructure, interde- German Federal Ministry of the Interior (BMI).
pendencies must be measured and protection Protection of Critical Infrastructures, Baseline
212 Criticality Assessment

Protection Concept. Recommendations for A more formal criticality assessment requires

Companies. Bonn, Germany: BMI, 2005. more consideration than a chess game and uses
LaPorte, Todd R. “Critical Infrastructure in the Face methodologies and tools to help make determi-
of a Predatory Future: Preparing for Untoward nations about where and how to deploy avail-
Surprise.” Journal of Contingencies and Crisis able resources and assets. Criticality assessment is
Management, v.15 (2007). different from risk and vulnerability assessments
Lovecek, Tomas, Jozef Ristvej, and Ladislav Simak. but incorporates them into the matrix of consider-
“Critical Infrastructure Protection Systems ation. Criticality assumes limited resources, mean-
Effectiveness Evaluation.” Journal of Homeland ing that there are not enough to harden every per-
Security and Emergency Management, v.7 (2010). ceivable potential loss. At the very base of purpose,
Moteff, John and Paul Parfomak. Critical criticality assessment is a process that serves as a
Infrastructure and Key Assets: Definition and tool for helping identify those assets most critical
Identification. Washington, DC: Congressional to continuity of operations/existence. When we
Research Service, 2004. identify the assets most critical to us, we can more
Organization for Economic Co-operation and wisely apply available resources to protect them.
Development (OECD). Protection of “Critical Before engaging in criticality assessment, it is
Infrastructure” and the Role of Investment Policies important to understand that it is a tool in many
Relating to National Security. Paris: OECD, 2008. varieties; there us a plethora of methodologies
Pow, Chris. “Tuscaloosa’s April 27 Tornado by the and matrices to assist in the process. The fact
Numbers.” (October 27, 2011). http://blog is that two people performing criticality assess-
.al.com/tuscaloosa/2011/10/tuscaloosas_april_27 ments in the same organization may arrive at
_tornado_b.html (Accessed August 2012). different outcomes; there is some subjectivity in
United Kingdom Cabinet Office. “Strategic assessing what constitutes the greatest criticality.
Framework and Policy Statement on Improving the The process of assessment requires some level of
Resilience of Critical Infrastructure to Disruption predictability, which will also contribute to differ-
From Natural Hazards.” London: UK Cabinet ent outcomes. Determining success in criticality
Office, 2011. assessment is extremely difficult; proving the fact
that an event did not occur as the result of proper
critical assessment is seemingly impossible.

Criticality Assessment as a Process

Criticality Assessment In 2003, President George W. Bush issued Home-
land Security Presidential Directive 7 (HSPD-7)—
Although criticality assessments may be con- Critical Infrastructure Identification, Prioritiza-
ducted for a variety of potential hazards, the tion, and Protection. The directive title identifies
events of September 11, 2001, have seemingly the basic structure of the process of performing
permanently linked the term to thoughts of terror- a criticality assessment: identification of critical
ism. In an attempt to demystify the process, con- infrastructure, prioritizing the importance of each
sider that we all perform criticality assessments element, and implementing appropriate protec-
in life, and typically do so at an early age. In fact, tive measures. The process is essentially the same
we often perform criticality assessments without for any dimensions of assessment; the same three
even considering what we are doing. Imagine sit- basic steps are followed in reviewing a facility
ting in front of a chessboard across from a very or network of facilities, a small community or a
capable opponent. You have the move, and in large metropolitan area, an individual state, or a
preparation you consider where are you vulner- nation of them.
able, where the opponent is vulnerable, and what
are the consequences of a variety of moves avail- Step 1—Infrastructure identification: The 2003
able to you. As you consider these things, you are Bush directive essentially expands on President
in part performing a criticality assessment of your Bill Clinton’s 1998 Presidential Decision Direc-
own pieces, and also of your opponent’s. tive—63 (PDD-63)—Protecting America’s Critical
 Criticality Assessment 213

Infrastructures. The 2003 directive expanded the 20 sectors: telecommunications information net-
listing of infrastructure sectors from those listed works; energy; banking/finance; transportation;
in 1998. Other presidential papers have identified water; emergency services; government; health
different listings from these two; in fact, today services; national defense; foreign intelligence;
there are multiple lists of critical infrastructures. law enforcement; foreign affairs; nuclear facilities,
This points directly to one aspect of the difficulty in addition to power plants; special events; food
of performing a criticality assessment: determining and agriculture; manufacturing; chemical; defense
what constitutes a critical infrastructure. industry; postal and shipping; and national monu-
In their 2003 report for Congress, Critical Infra- ments and icons. This listing can be adapted to
structures: What Makes an Infrastructure Criti- give meaning and structure to the identification of
cal? John Moteff, Claudia Copeland, and John assets for any criticality assessment.
Fischer identified four paradigms of consideration Once the list is adapted to fit the assessment
that seemingly explain the multiple lists: national being performed, the structures can be identified
defense, economic security, public health and and assigned to the appropriate sectors. The cre-
safety, and national morale. Combining the list ation of a list based on sectors helps the identi-
for each of the four paradigms produces a list of fication process by prompting ideas about what

Case Study: Critical and Noncritical Infrastructures

Following the issue of President George W. Bush’s to augmenting them with activated soldiers of the
Homeland Security Presidential Directive 7 U.S. Army National Guard.
(HSPD-7)—Critical Infrastructure Identification, The governor’s office contacted the senior-level
Prioritization, and Protection—federal agencies corps official in the state, and a meeting was
assigned employees to perform criticality arranged to discuss the matter. During the meeting,
assessments of infrastructures relating to each it was determined that in the original assessment
agency’s function. One of these was the U.S. Army every asset was regarded as critical; a 50-space
Corps of Engineers, and an individual was assigned wilderness campsite was included, as were all
to identify critical infrastructures in a rural boat launches on the corps’ lakes and navigable
southern state. rivers. A more reasonable assessment found two
Eager to complete the tasks, the individual corps reservoirs that were prioritized as critical.
simply chose to view everything owned or operated One reservoir was the cooling and water source
by the corps as critical. The state police agency for two nuclear reactors used in the production of
received a very complex and long listing of electricity; the other had significant housing and
requests for troopers to be assigned to critical other critical infrastructure in the potential flood
assets. Although the state police agency stood zone if the dam were compromised.
ready to protect critical infrastructure, the listing Other infrastructure components were prioritized
required more personnel than there were troopers. as essential, including all locks and dams. During
A command staff officer contacted the corps’ the reevaluation process, it was determined
representative and explained that the agency had that many of the campgrounds prioritized as
to continue its primary enforcement mission, critical were on a corps closure list that had been
that there were fewer personnel than had been previously developed as a budget-cutting measure.
requested to cover corps resources, and that other Apparently no regard had been given to available
agencies were also requesting assistance. The corps data during the original assessment.
representative contacted the governor’s office and This case study makes plain the need for a
requested “immediate assignment of all available structured and reasonable approach to criticality
troopers” and suggested that consideration be given assessment.
214 Criticality Assessment

assets are essential to continuity of operations. this very simple example, it may become advanta-
Not all assets will fit into the identified sectors, geous to consider recovery time.
but not all assets are critical. Recovery time can be situational to the event
and other conditions, such as weather. Although
Step 2—Prioritization: The concept of prioritiza- in our family-level example drinking water is
tion helps identify assets that are most critical to the more critical than shelter, there are situations
continuity of operations. This facilitates a determi- where this may not be accurate. Consider that
nation of which assets to address first, based on the environment is one of sub-zero tempera-
their high criticality. Prioritization also allows logi- tures; shelter would take precedence over water.
cal determinations about where to utilize available Consideration of recovery time works similarly.
resources; again, the most critical assets would be Consider that the loss of available drinking water
selected first. There are a variety of available mod- could be remedied in a couple of hours, but hav-
els to use in determining prioritization, some being ing an available food source could take months.
quite complex and others very simple. Prioritiza- Prioritization would put food ahead of water,
tion is that part of criticality assessment that most since the water is easily replaceable. Applying the
nearly represents a quantitative methodology. principle of Maslow’s hierarchy of needs to prior-
A simple model uses three levels of prioritiza- itization sometimes helps to understand and focus
tion: critical, essential, and nonessential. An infra- on what constitutes the critical, and distinguishes
structure or asset is critical if it is vital to conti- the essential from the nonessential.
nuity of operations or essential to the life safety
of individuals. Those things classified as essential Step 3—Protection: The third step in addressing
are important but would only present a difficulty protection of critical infrastructure is the outcome
if unavailable. Nonessential things are those that of the critical assessment process. The purpose
would pose an inconvenience. of the critical assessment is to identify and pri-
A more complex model includes consideration oritize, but protecting becomes another function.
about the cost of replacement, downtime until Still, consideration must be given to protection
a replacement can be installed and operational, to determine if that process impacts the findings
and availability of outsourcing. Some of the more of the original critical assessment. This obviously
complex models include a threat assessment, hints that the process of critical assessment is not
whereby a determination is made about how a single one but an ongoing reevaluation.
likely the asset is to be destroyed by natural disas-
ters or human-made events. Critical Assessment Benefits
Taken to an individual family level as an exam- Utilizing critical assessment produces positive
ple, consider that those things critical to life safety benefits. One benefit is heightened awareness of
are food, water, some medications, and shelter. the value of assets and of threats and vulnerabili-
Those things that are essential include clothing ties opposing them. Another benefit is the realiza-
and sanitation. Most other things fall into the tion of the true level of interdependence within
nonessential classification; having electricity is the thing being assessed. There is also evidence
nice, but as many people in the world do, we can that performing critical assessment promotes
survive without this relatively recent innovation. interagency and interdepartmental cooperation,
Prioritization becomes more difficult with the again because of the understanding of interde-
complexity of the thing being assessed, since it is pendence that is made evident in the process.
easier to assess a smaller town that a large metro-
politan area; but the available resources may be Critical Assessment Evolution
less for the smaller town. Once the prioritization There is little doubt that with the growing body of
is complete for each sector, the task begins of pri- research and experience in critical assessment, there
oritizing across them. Using the individual family will be new tools introduced, and eventually there
model again as an example, once the determina- will be definition given to best practices. There is
tion is made of those things critical, it becomes a growing number of educational programs offer-
necessary to determine which comes first. Even in ing higher education courses, even at the graduate
 Cyber Crime 215

level, in critical assessment. There is also a grow- computers and other types of portable electronic
ing number of critical assessment professionals and devices capable of connecting to the Internet,
private firms now contracting to perform services such as cell phones and PDAs, are used to break
for those in both the public and private sectors. laws and cause harm. In a more technical sense, it
As the critical assessment process becomes more refers to the use of computers or other electronic
professional, there will likely be greater definition devices via information systems such as organiza-
given to terminology, sector identification, and tional networks or the Internet in order to facili-
process. The performance of critical assessment tate illegal behaviors. Cyber crime has developed
must be evolutionary, but it is also true that the and evolved alongside the Internet and the pro-
functional process itself is evolving. liferation of other advances in information tech-
nologies. The term cyber crime is sometimes used
George R. Franks, Jr. synonymously with technological crime, high-
Stephen F. Austin State University tech crime, Internet crime, and digital or elec-
tronic crime.
See Also: Classification of Systems; Commodity Although cyber crime has entered into com-
Shortages; Critical Applications; Food Security; mon usage—discussed in political, criminal jus-
Freshwater Demands and Shortages; Logistics; tice, media, public, and academic discourse in
Resource Collapse. diverse sources including academic journals and
newspaper articles—there are dramatically var-
Further Readings ied views of what cyber crime is. Legal defini-
Bennett, B. T. Understanding, Assessing, and tions vary drastically among jurisdictions and
Responding to Terrorism: Protecting Critical law enforcement agencies charged with tackling
Infrastructure and Personnel. Hoboken, NJ: Wiley/ it. In the academic arena, there is no consen-
Interscience, 2007. sus whether cyber crime is a new form of crime
Moteff, J., et al. Critical Infrastructures: What qualitatively different from “terrestrial crime”
Makes an Infrastructure Critical? Washington, or instead consists of criminal activities pursued
DC: Congressional Research Service, Library of with new tools and techniques.
Congress, 2003. According to some authors, cyber crime takes
White House. “Homeland Security Presidential place in cyberspace, a novel sociointeractional
Directive 7 (HSPD-7): Critical Infrastructure environment with certain features (the collapse
Identification, Prioritization, and Protection.” of spatial–temporal barriers, many-to-many con-
Washington, DC: White House Office of the Press nectivity, the anonymity and plasticity of online
Secretary, 2003. identity) that make possible new forms and pat-
White House. “Presidential Decision Directive terns of illicit activity, inexorably altering the rela-
63 (PDD-63): Protecting America’s Critical tionships between offenders and victims and chal-
Infrastructures.” Washington, DC: White House lenging the potential of criminal justice systems
Office of the Press Secretary, 1998. in order to offer satisfactory solutions requiring
White House. “The Clinton Administration’s Policy the development of a correspondingly innova-
on Critical Infrastructure Protection: Presidential tive criminological vocabulary and conceptual
Decision Directive No. 63.” White Paper. (May 22, apparatus. For skeptics, cyber crime is essentially
1998). http://clinton4.nara.gov/WH/EOP/NSC/html the same as the familiar terrestrial crime, which
/documents/NSCDoc3.html (Accessed May 2012). means that there is no need for the development
of new criminological theories.
This lack of consensus on a definition of cyber
crime impacts every facet of prevention and
remediation. On the other hand, there is sig-
Cyber Crime nificant confusion among academics, computer
security experts, and users about the extent of
Cyber crime is a relatively new kind of criminal real cyber crime, although research shows that
activity that encompasses all the ways in which the number of people and businesses impacted by
216 Cyber Crime

various types of perceived cyber crime is grow- committed using a computer, network, or hard-
ing, with no signs of declining. Cyber crime is a ware device. The computer or device may be the
global problem that costs an estimated $50 bil- agent of the crime, the facilitator of the crime, or
lion annually. The number of victims and cost of the target of the crime; indeed, the crime can take
cyber crime will inevitably rise with the number place on the computer alone or in other nonvir-
of Internet users. tual locations.
Sarah Gordon and Richard Ford suggest that
Types of Cyber Crime there are two main types of cyber crime. Type
Definitions of cyber crime differ depending on I, more technical in nature, has the following
the perception of both observer/protector and characteristics:
victim. The phenomenon also has many differ-
ent facets and occurs in a wide variety of scenar- • It is generally a singular, or discrete, event
ios and environments. The Council of Europe’s from the perspective of the victim.
Cybercrime Treaty uses the term cyber crime to • It is often facilitated by the introduction
refer to various offenses ranging from criminal of crimeware programs such as keystroke
activity against data to content and copyright loggers, viruses, rootkits, or Trojan horses
infringement. Gabriole Zeviar-Geese suggests into the user’s computer system.
that the definition is broader, including activities • The introductions can be, but may not
such as fraud, unauthorized access, child pornog- necessarily be, facilitated by vulnerabilities.
raphy, and cyberstalking. The United Nations
Manual on the Prevention and Control of Com- This type of cyber crime requires that data be
puter Related Crime includes fraud, forgery, and protected from traditional threats such as viruses
unauthorized access in its cyber crime definition. and worms; however, it is also necessary that users
Probably the most appropriate definition is that be cognizant of the concept of vulnerabilities.
cyber crime is any crime that is facilitated or More human in nature is Type II cyber crime,
at the other end of the spectrum, which includes
(but is not limited to) activities such as cyberstalk-
ing and harassment, child predation, extortion,
blackmail, stock market manipulation, complex
corporate espionage, and the planning or carrying
out of terrorist activities online. The characteris-
tics of Type II cyber crime are the following:

• It is generally facilitated by programs

that do not fit under the classification of
crimeware. For example, conversations may
take place using IM (instant messaging)
clients or files may be transferred using the
FTP protocol.
• There are generally repeated contacts or
events from the perspective of the user.

In reality, cyber crime presents a continuum

ranging from a crime that is almost entirely tech-
nological in nature to a crime that is, at its core,
entirely human related.
Secretary of Homeland Security Janet Napolitano observes Because of the transnational character of
agents working to identify cyber crime activity and protect cyber crime, there are significant law enforce-
victims at the Immigration and Customs Enforcement’s Cyber ment, regional, multinational, and global efforts
Crimes Center in Washington, D.C., on December 19, 2011. to fortify the legal battle against cyber crime
 Cyber Security 217

internationally. In 1990, the United Nations Gen- well as software, data, and other elements of
eral Assembly adopted the Guidelines Concern- cyberspace. Therefore, this term refers to united
ing Computerized Personal Data Files, and it has efforts and attempts, which include research and
endorsed several resolutions in order to improve analyses, with the aim of inventing new technolo-
cyber security awareness at both the international gies and improving the existing activities related
and the national levels. The General Assembly to the security of cyberspace and the level of its
invited states to consider the measures in their protection from cyber threats. Those activities
endeavor to fight the criminal misuse of infor- can contain, for example, an estimate of reliabil-
mation systems, and it has decided to maintain ity and vulnerability of the hardware and soft-
the question of the criminal misuse of informa- ware used in critical infrastructures of a particu-
tion technologies on the agenda of its future ses- lar country. The concept of cyber security implies
sions. The Council of Europe Convention on a holistic approach in research and confront-
Cybercrime is acknowledged as a landmark in ing cyber threats to information systems—from
the sphere of the international harmonization of standpoints of information and mathematic sci-
cyber crime law. ences and their special disciplines (like cryptogra-
phy and cryptanalysis), and military, legal, crime,
Želimir M. Kešetovic and criminology aspects.
University of Belgrade Etymologically, roots of the term cyber security
date back to the 1960s. At that time, communica-
See Also: Cyber Security; Cyber Warfare; Denial-of- tion security (COMSEC) was dealt with. When
Service Attack. computers appeared, during the 1970s, computer
security (COMPUSEC) came into being. In the
Further Readings 1980s, because of such threats as Cuckoo’s Egg
Furnell, S. Cybercrime: Vandalizing the Information and Morris Worm, it was realized that a network
Society. London: Addison-Wesley, 2002. consisting of a large number of computers could
Gordon, Sarah and Richard Ford. “On the Definition be used for malicious aims. That is when the inte-
and Classification of Cybercrime.” Journal of gration of communication and computer secu-
Computer Virology, v.2 (2006). rity happened, so the term information security
Grabosky, P. “Virtual Criminality: Old Wine in New (INFOSEC) was coined. Information security has
Bottles?” Social & Legal Studies, v.10 (2001). integrated disciplines that used to be separated,
McQuade, S. C., ed. Encyclopedia of Cybercrime. such as personnel security, computer security,
Westport, CT: Greenwood Press, 2008. communication security, and operational security.
Parker, D. Fighting Computer Crime: A New At that point, information security had already
Framework for Protecting Information. New York: become one of the four cornerstones of U.S.
Wiley, 1998. national security (besides diplomacy, economy,
Wall, D., ed. Crime and the Internet. London: and military components).
Routledge, 2001.
Yar, M. Cybercrime and Society. London: Sage, Definitions of Cyber Security
2006. Today, there is no generally accepted definition of
the term cyber security, but the terms information
security and information assurance are part of a
wider concept of cyber security.
The most widespread is the notion according
Cyber Security to which cyber security is identified with informa-
tion security, which refers to protection of infor-
The term cyber security denotes a number of mation and information systems against being
activities, measures, and techniques developed to broken into, used, spread, or subjected to service
protect from attacks, service interruptions, and interruptions, unauthorized changes, or destruc-
other threats to computers, computer networks, tion, with the aim of guaranteeing their confiden-
and information they contain and exchange, as tiality, integrity, and availability. The emphasis in
218 Cyber Security

information security is put on preventing unau- function only when it is requested to, and in a lim-
thorized access to information systems. From this ited and already scheduled time. From the opera-
standpoint, confidentiality of information is the tional standpoint, availability refers to acceptable
main consideration. system response time and appropriate quality of
According to another, newer, approach, the service. From the point of view of information
term cyber security is identified with the term security, however, availability means the ability
information assurance (IA). IA is defined by the to protect from a damaging event or the possibil-
National Security Agency of the United States as a ity of system backup in cases when the damag-
number of measures for protecting and defending ing event has already taken place. Availability of
information and information systems by means modern information systems, which are in a state
of securing and assuring their availability, integ- of ceaseless activity, is required not only for regu-
rity, authentication, privacy, and nonrepudiation. lar activities of an information society but also
It includes measures for backing up a system, for safety of human lives (it is enough to mention,
its protection, detection that the system is being for example, the systems that control air traffic or
hacked, and reaction to attacks. Assurance repre- automated devices in an operating room).
sents the level of confidence that is proportional Authentication is a measure of security with the
to the efficiency of additional measures of security. aim to determine values and validity of transfer
The introduction of this term, in a way, testifies to and message of sender. This measure also controls
the change of the granite concept of security, typi- authorization of a user to receive specific catego-
cal for traditional information systems that were ries of information.
not connected to a network, toward a more flex- Nonrepudiation is a measure of security with
ible concept of security that on one hand, implies the aim to ensure the stream of communication.
that the nature of cyberspace is against reaching It makes sure that the sender of information has
absolute security and, on the other hand, is mea- proof of its delivery, but at the same time, that the
sured by the value of information and devices that receiver has the information about the identity
have to be protected. of the sender, so that none of the participants in
the process of information transfer can later deny
Information Characteristics that the transaction was performed.
The progress in computer technology and ways The level of importance of the mentioned infor-
of interconnecting computer systems has, thus, mation characteristics, from the security point of
widened a list of information characteristics upon view, varies depending on the context in which
which security requests are put, regarding the information exchange takes place. In military sys-
concept of IA. From the point of view of informa- tems, for example, confidentiality of information
tion assurance, it is of great importance to ful- is of vital importance, wheras in financial transac-
fill the following information characteristics (or tions among banks, the emphasis is on integrity.
information security services and information
systems): privacy or confidentiality, integrity, and A Complex System
availability. Cyber security cannot be separated from a general
Confidentiality of information can be related to context in which an information society operates.
national security (e.g., information about weap- It encompasses a wide range of activities and mea-
ons), industrial security (e.g., projects relating sures and thus represents a complex system, bear-
to a new product), or the personal privacy of a ing in mind that it unites various but, at the same
user. Integrity aspires to ensure that information time, equally important aspects. That means that
and resources commanding it (hardware and soft- none of them can be neglected: if one part of the
ware) can be modified and destroyed only with a system received less attention, the whole system
special and formerly defined authorization. would stop functioning correctly. Such complexity
The aim of availability is to ensure that infor- makes it difficult to achieve an absolute level of
mation and services related to it are at any security. It is not possible to eliminate completely
moment available to authorized users. In other a risk from inadequate, accidental, or deliberate
words, a system that offers such services has to use of instruments of the information era. Cyber
 Cyber Warfare 219

security is, thus, above all, achieving control over http://csrc.nist.gov/publications/nistpubs/800-59/

the risk, continuously searching for a compromise SP800-59.pdf (Accessed March 2012).
among the value of what has to be protected, the Buxbaum, Peter. “U.S. Grapples With Cybersecurity.”
level of protection, and the price of protection. ISN Security Watch (October 10, 2007).
Achieving cyber security at a supranational Fischer, Eric. “CRS Report for Congress: Creating
level requires the synergic activity of all subjects a National Framework for Cybersecurity: An
of the international community, with a primary Analysis of Issues and Options.” (February 22,
role for experts in the field of information sci- 2005). http://www.fas.org/sgp/crs/natsec/RL32777
ences. Preventive activities for adopting hardware .pdf (Accessed March 2012).
and software standards, establishing national and Schneier, Bruce. Secrets and Lies: Digital Security in a
supranational expert bodies, improving inter- Networked World. Hoboken, NJ: Wiley Computer
national cooperation in this area, and adjusting Publishing, 2000.
national laws in the field of cyber crime are essen- World Summit on the Information Society.
tial steps for improving security of cyberspace. “Declaration of Principles Building the Information
The need to develop concepts of “cyber secu- Society: A Global Challenge in the New
rity,” on an international level, is especially high- Millennium.” (December 12, 2003). http://www.itu
lighted in the Declaration of Principles, which was .int/dms_pub/itu-s/md/03/wsis/doc/S03-WSIS-DOC
adopted by the World Summit on the Information -0004!!PDF-E.pdf (Accessed March 2012).
Society in 2003. In the chapter of the declaration
dedicated to building confidence and security in
the use of ICTs, it is stated that for the develop-
ment of an information society and creating con-
fidence among the users of ICTs, it is necessary to Cyber Warfare
strengthen mutual confidence, as well as informa-
tion and security of computer networks, authenti- The security of highly information-based societies,
cation, privacy, and protection of users. A need for which in all their segments depend on computers
promotion, development, and implementation of and computer networks, can be jeopardized not
a global culture of cyber security through coopera- only by physical threats but also by threats from
tion of all decision makers and international expert cyberspace. That is why cyber attacks, in all tech-
bodies is stressed. This effort should be supported nologically advanced countries, are perceived as
by improving international cooperation. Within one of the greatest threats to national security, and
a global culture of cyber security, it is important securing one’s own national cyberspace is consid-
to improve security and ensure protection of data ered to be an absolute imperative. Cyber warfare
and privacy of users, together with improving the is a particular and comparatively new form of
possibility of access and trade. These activities, social conflict. Activities of cyber warfare usually
according to the declaration, must take into con- reduce to offensive use of cyber attacks, as well as
sideration the social and economic level of each taking measures of precaution and using tools for
country, as well as respect development-oriented prevention of breaking into one’s own systems.
aspects of information society. The main characteristic of this kind of conflict is
that it takes place in cyberspace by means of soft-
Želimir Kešetovic ware tools and propaganda techniques, as well as
Nenad Putnik various techniques for deceiving an opponent’s
University of Belgrade use of information-communication technologies,
with the aim of causing damage to the opponent,
See Also: Critical Infrastructure; Cyber Crime; Cyber his or her information infrastructures, and other
Warfare; Information Asymmetry. mutually interconnected critical infrastructures,
as well as the data contained in them. Although it
Further Readings takes place in a virtual world, cyber warfare can
Barker, William. “Guideline for Identifying an result in real material losses and human casual-
Information System as a National Security System.” ties if targets of those attacks are, for example,
220 Cyber Warfare

critical infrastructures or supervisory control and well as other critical infrastructure. They pose a
data acquisition (SCADA) systems for automated threat to the national and Euro-Atlantic security,
control of industrial processes. Cyber warfare can stability, and development. Today, the term cyber
be waged independently or as a support to a con- warfare is used not only to describe military
ventional, kinetic conflict. offensive and defensive activities in cyberspace
but also as an umbrella term for denouncing a
The Unique Nature of Cyber Warfare wide range of activities on individual, social, and
Cyber warfare is, according to most of its char- corporate levels that are usually subsumed under
acteristics and principles, different from conven- cyber crime.
tional, kinetic warfare. One of the basic differ- Actors of cyber warfare are numerable—they
ences lies in the nature of their environments. can be national armies, security and intelligence
Kinetic warfare takes place in a physical world and agencies, politically and ideologically motivated
is governed by the laws of physics. Cyber warfare individuals, “hacktivists,” various formal and
takes place in an artificial world that can hardly informal subversive social groups (terrorists,
be predicted and is susceptible to quick changes. criminals, and religious sects), and also business
That is why only a few principles of kinetic war- corporations competing against rivals for domi-
fare can be implemented in cyber warfare. nation of the market. Sides in the conflict try to
The term cyber warfare originates from the use any kind of system vulnerability or weakness
military discourse and is frequently identified (technical or human) of the victim. The arsenal
with information warfare. That kind of identi- of cyber warfare is very diverse and numerous—
fication is not completely justified because cyber attacks are usually performed by means of mali-
warfare is only a variation of information war- cious software (malware: virus, worm, Trojan
fare—the former term covers a narrower range horse, backdoor, spyware, keylogger, hijacker)
of uses because it limits activities of informa- and compromised computer networks (botnet)
tion warfare to the space of computer networks. with the aim of causing a distributed attack tar-
Today, many countries and their armies are geted at service obstruction (distributed denial-
developing doctrines and strategies of offensive of-service-attack (DDoS). In addition, in order
and defensive cyber warfare and forming special to obtain administrator authorizations and other
units for performing information combat. In that necessary information for initializing an attack,
regard, for example, as of October 2010, the U.S. phishing techniques and social engineering are
National Cyber Security Strategy had been offi- used. As objects of cyber warfare, data and infor-
cially approved, and in the same year, the United mation in electronic form, computer systems, and
Kingdom government announced a new national critical information infrastructure in general, can
security strategy in which cyber warfare and ter- be identified.
rorism were proclaimed the greatest threats to Although activities of cyber warfare have been
the country. During the North Atlantic Treaty carried out for over a decade, an adequate legal
Organization (NATO) summit in Lisbon in 2010, definition for them still has not been found. The
a new strategic concept of this organization was entire field of cyber law is still not properly devel-
adopted. Among the most important aims, which oped. Some attempts at applying already existing
should be realized by 2020, there is protection models from international laws of war to this area
from unconventional threats, that is, updating have been shown to be inappropriate. Moreover,
the approach of the alliance for solving crises a general consensus on international agreements
caused by such threats as terrorism, prolifera- that would clarify the legal status of state and
tion of the weapons of mass destruction, cyber nonstate actors in cyber conflicts has not been
attacks, and disruption of vital energy streams reached.
of supply. Article 12 says that cyber attacks have Taking into consideration the lack of consen-
become more and more frequent, organized, and sus regarding formal and legal ownership over the
expensive from the aspect of the damage they Internet, existence of national and regional devel-
cause to governments, businesses, economies, oping disparities regarding approach to infor-
and, potentially, energy transport and supply, as mation-communication technologies, and the
 Cyber Warfare 221

globally present battle for domination in cyber- Further Readings

space, a tendency of activity growth in the field of Arquilla, John and David Ronfeldt. Networks
cyber warfare can be expected in the future, espe- and Netwars: The Future of Terror, Crime, and
cially bearing in mind that the number of users Militancy. Santa Monica, CA: RAND, 2001.
of the global network is continuously growing Carr, Jeffrey. Inside Cyber Warfare. Sebastopol, CA:
while prices of computers, computer equipment, O’Reilly Media, 2010.
and software are falling. That makes the tools of Clarke, Richard and Robert Knake. Cyber War. New
cyber warfare widely available to all potential York: HarperCollins, 2010.
actors of cyber conflicts. Janczewski, Lech, et al., eds. Cyber Warfare and
Cyber Terrorism. Hershey, PA: IGI Global, 2007.
Želimir M. Kešetovic Karatzogianni, Athina, ed. Cyber Conflict and Global
Nenad Putnik Politics. Abingdon, UK: Routledge, 2006.
University of Belgrade Shackleford, Scott. “From Nuclear War to Net War:
Analogizing Cyber Attacks in International Law.”
See Also: Critical Infrastructure; Cyber Crime; Cyber Berkeley Journal of International Law, v.27/1
Security; Interstate War. (2009).
 D
Damage Assessment more devastating impacts in the long run. Dam-
age assessments are part of routine emergency
Assessment of disaster impacts is crucial to the operations at the local level, but assessments
many different aspects of response, recovery, and for larger events that surpass local capabilities
mitigation activities occurring post disaster. Not are not regularly trained for or undertaken in a
only must damage assessments be completed in a standardized fashion from place to place. Differ-
timely fashion for initial responders and search- ent methods, achieved using disparate means and
and-rescue (SAR) teams, but they must also accu- yielding divergent results, were not uncommon
rately quantify both areal extent and level (lim- until very recently, when automated procedures
ited to catastrophic) of the disaster impact for began replacing flawed computations and human
higher-level decision making, long-term response introduction of error and bias. This technologic
planning, and recovery operations. Imprecise innovation, although welcomed and useful, does
damage assessments can have dire consequences not completely replace human intellect within the
at all levels of disaster response and management. disaster decision-making process but rather pro-
The criticality of damage assessments to U.S. vides a rapidly deployable additional resource to
disaster operations is evidenced in the Home- the emergency manager’s arsenal.
land Security Geospatial Concept of Operations.
Damage assessments supported by location-based History and Methods of Damage Assessment
technologies such as geographic information sys- The concept of understanding disaster impacts is
tems (GIS), global positioning systems (GPS), and not a new one. Chronicles of disasters, their dam-
remote sensing (RS) are recognized as crucial mis- age to landscapes, and their effect on people can
sions and provide important components of the be found as far back as 9,000 years or more in
essential elements of information (EEIs), which old African cave etchings revealing details about
inform decision-making processes during initial prehistoric flood events. More detailed maps
response and recovery operations and influence depicting spatial locations of disaster impacts
longer-term rebuilding and mitigation efforts. can be traced back to both the 1854 London
Incomplete or inaccurate assessments may slow cholera outbreak and the devastating Japanese
the procurement and delivery of assets to the earthquake and tidal wave. Throughout human
affected area and can lead to complex or compli- history, people have (for pragmatic reasons)
cated disaster events that sometimes result in even become ever-entwined with disastrous places

223
224 Damage Assessment

and subsequently have felt the impacts of haz- businesses, infrastructure, and residents. Often,
ard events. Lack of sufficient details on the scope ancillary impact/damage data such as informa-
and spectrum of a disaster’s impact can have dire tion from nonprofits (Red Cross and other vol-
consequences for the entire disaster management unteer organizations), hospitals, and the general
cycle. Vast improvements in technology, commu- public is included in PDAs. This type of assess-
nication, visualization, and spatial understand- ment generally includes the use of aircraft so that
ing have occurred since the first known “damage officials can understand and estimate the scope
assessments,” yet the premise of understanding of damages from a broad perspective. The PDA
the consequences of disaster remains constant. is a required step in the process of requesting a
Comprehensive damage assessments that balance presidential disaster declaration (PDD) both in
speed with the provisioning of adequate details the United States and across the globe. Because
are necessary for both short- and long-term the PDD is the means by which the federal gov-
response planning and operations. Decisions ernment justifies and allocates financial and other
about which response assets to utilize during the disaster support assets to an area, the PDA must
initial phases of response are inextricably linked not only be accurate and complete but must also
to understanding the impacts on individuals and be undertaken rapidly. The final type of damage
communities in a disaster area. In the longer run, assessment—the technical damage assessment—
return and recovery can be managed more suc- involves very specific insurance and federal inves-
cinctly if plans are made based upon quality base tigation into both the site-specific (house, critical
(damage assessment) information. infrastructure piece) causal agent of damage and
Historically, a number of different types of a strict economic accounting of damages, losses,
damage assessment and varied methods for cap- and costs of the disaster. The TDA is used both
turing, analyzing, and understanding damages to identify appropriate reimbursement amounts
across space have been invented, improved upon, and to plan operations for the often long road to
and in some instances mandated as part of a larger recovery from disaster.
emergency management process. Generally, these
assessments fall into three main categories, each The Future of Damage Assessment
linked with the scale of disaster: initial damage Until very recently, all of these types of assess-
assessment (IDA), preliminary damage assessment ments were completed and compiled by hand and
(PDA), and technical damage assessment (TDA). used less-than-perfect technologies coupled with
During every emergency event from a routine imprecise analysis where human bias was con-
traffic accident to a major disaster occurrence, an sistently introduced. Although the “first” peo-
IDA is conducted. Here, local emergency response ple may have simply been telling a story about
personnel reconnoiter the area and begin mobiliz- a specific event, such actions have evolved over
ing local and regional resources through memo- time to include the most sensitive remote sensing
randums of understanding (MOU). technologies. A new advent of practice-oriented
Often, these IDAs are termed “back of the (rather than research-based) supercomputing is
envelope” because they are routinely undertaken enabling real-time, on-the-fly damage assessment
with both the greatest of haste and with resources using remotely sensed imagery. Included in this
at hand (i.e., back of an available envelope). ever-evolving science are three main advance-
IDAs are often completed by conducting a drive- ments in the creation and utilization of remote
through assessment where officials scour the area sensing technologies. First, the sheer number
for a general understanding of the damages. If the of available “vehicles” for capturing remotely
disaster is large enough to overtax local resources sensed imagery of the Earth is greater now than
(flooding, hurricanes, chemical spills, etc.) a ever before. There were four times the number of
preliminary damage assessment (PDA) is under- satellites capable of capturing information about
taken. Here, a more complete and fact-based the Earth’s surface launched into orbit around
(empirical) assessment of damages takes place the Earth in 2011 than there were just 10 years
that results in a tally of damages (both financial ago (Figure 1). Although each of these has its
and from a volumetric standpoint) to buildings, own specific mission and capabilities, the fact
 Damage Assessment 225

45 2011 response. Among these is the International Char-

40 Satellites
40 ter–Space and Major Disasters (www.disasters
35 charter.org), which aims to provide a unified
30 system of space data acquisition to mitigate the
25 effects of disasters on human life and property.
20
2000
Additionally, the Remote Sensing Hazard Guid-
15
9 Satellites ance System (RSHGS) (ww2.rshgs.sc.edu) devel-
10
oped through Department of Homeland Secu-
5
rity Science & Technology (DHS S&T)–funded
0
84 93 95 97 99 01 03 05 07 09 11 research at the University of South Carolina is a
19 19 19 19 19 20 20 20 20 20 20
Web-based decision support tool supporting haz-
Figure 1 Total number of observational satellites launched ards managers in the process of acquisition and
since 1984 analysis of remotely sensed imagery for their area
Source: Union of Concerned Scientists Satellite Database, 2012. of interest.
RSHGS provides information on satellite
resources and capabilities—an invaluable tool
for incident commanders; however, under many
that more than 950 (known) observational satel- disaster scenarios, satellite-based resources are
lites currently orbit the Earth helps us understand not usable because of weather or atmospheric
the sheer volume of Earth surface data being col- disturbances, creating more opportunities for
lected and analyzed across the globe. the deployment and utilization of manned and
Couple these with emerging capabilities related unmanned aircraft. Although planners, emer-
to local remote sensing using portable/unmanned gency managers, and decision makers can now
sounding or imaging devices and the number of quickly identify informational needs about a
available assets in a post-disaster environment hazard area quickly and accurately—both req-
becomes countless. Utilizing unmanned aerial uisite characteristics of damage assessment
vehicles for the capture of remote sensing imag- needs—challenges still remain in provisioning
ery and spatial data is perhaps the best example these aerial assets in a timely manner. To be effec-
of this ever-evolving scientific field. Researchers tive for life-saving missions, RS data and imag-
have already begun the tenuous process of vetting ery-derived products must reach the frontline
this new technique and have identified numerous responders within 12 hours, and derived dam-
applications, including rapid deployment into age assessment products must be in the hands of
hurricane impact areas where historical remotely community assistance and recovery teams within
sensed damage assessments have often taken days 48 hours to effectively support delivery of com-
to collect and weeks to process into usable spatial munity rebuilding processes and aid critical sec-
data for decision making. tor restoration activities.
Applications of this technology have a lower
cost, a more flexible ability to deploy assets, and Missing Pieces and Opportunities
a less time-intensive turnaround on final data The sum of all the technology across the globe
products. However, although the cost of this cannot make up for the fact that disaster/crisis
new technology is lower than traditional in-flight events are often unanticipated and impact areas
data collection, it is not without cost. For this of the globe where residents are less than pre-
reason and the fact that the United States, other pared. Couple this with the fact that we cur-
global governments, and private-sector partners rently do not have a complete understanding of
have already deployed assets capable of the same the true costs of disasters in the United States
data collection, there are other opportunities to and around the world, and one quickly realizes
access remotely sensed damage assessment data that each piece of the emergency management
at little or no cost for disaster response activities. puzzle is just as important as the others. Effective
Numerous efforts are under way to speed access and efficient emergency response and long-term
to useful remotely sensed data pertaining to crisis recovery may be in part based on quality damage
226 Damage Containment

assessments, but the process of creating replete McEntire, D. A. and J. Cope. “Damage Assessment
damage assessments must begin long before After the Paso Robles (San Simeon, California)
the disaster event. Pre-impact planning based Earthquake: Lessons for Emergency Management.”
on efficacy in every aspect of emergency man- Quick Response Research Report #166. Boulder,
agement provides the basis for quality response CO: Natural Hazards Center, 2004. http://www
and recovery efforts in which complete IDAs, .colorado.edu/hazards/research/qr/qr166/qr166.pdf
PDAs, and TDAs are made possible through (Accessed March 2012).
unified multiple data collection, analysis, and Nakamura, H. “Old Chinese World Maps Preserved
assessment. Unity of knowledge, or consilience, by the Koreans.” Imago Mundi (1947).
across disciplines, sectors, agencies, and the Olsen, M. J., Z. Chen, T. Hutchison, and F. Kuester.
general public, coupled with information about “Optical Techniques for Multiscale Damage
losses from a central loss repository, will enable Assessment: Geomatics, Natural Hazards, and
responders and decision makers to understand Risk.” (2012). http://www.tandfonline.com/doi/abs
past and future damages, calibrate models, and /10.1080/19475705.2012.670668 (Accessed
create new techniques—not simply for damage March 2012).
assessment but also for the larger community of Union of Concerned Scientists Satellite Database.
responders, emergency personnel, and citizens. http://www.ucsusa.org/nuclear_weapons_and_glo
Formal incorporation of location-based tech- bal_security/space_weapons/technical_issues/ucs
nologies into the emergency management life -satellite-database.html (Accessed March 2012).
cycle is a prerequisite for developing a culture of
preparedness that sees location-based technol-
ogy as a necessary component for ensuring that
the right information gets to the right people at
the right time. This delivery of real-time informa- Damage Containment
tion and data informs our understanding of crisis
events, producing better decisions, and the rou- Damage containment—often referred to as “dam-
tine testing of these capabilities creates a culture age control” or just “containment”— is identified
of preparedness and a technical state of readiness by most emergency management researchers as the
for sustaining life-saving, damage assessment, most often overlooked aspect of emergency plan-
and recovery and mitigation missions. ning. Planning for damage containment is as an
element of mitigation and actually occurs in two
Christopher Todd Emrich stages. The first stage is in planning for future disas-
University of South Carolina ters, and the second is in responding to an event.
David J. Alexander
George Mason University Planning for Damage Containment
Each situation presents a different paradigm of
See Also: National Response Framework; Pre-Impact planning for damage containment. In the case
Planning Process; Response. where a new structure is being planned, the con-
cept of damage containment can be applied in site
Further Readings selection. There are obvious things that should
Adams, S. M., C. J. Friedland, and M. L. Levitan. be considered: selecting areas outside established
“Unmanned Aerial Vehicle Data Acquisition for floodplains; avoiding building on slopes of hills
Damage Assessment in Hurricane Events.” (2010). where tall grass, brush, or timber may dry and a
http://www.enveng.titech.ac.jp/midorikawa/rsdm fire develop (fires tend to naturally climb hillsides);
2010_pdf/13_adams_paper.pdf (Accessed March building in high-crime areas; and other consider-
2012). ations particular to the facility being built.
Johnson, S. The Ghost Map: The Story of London’s Once a suitable site is selected, planning for
Most Terrifying Epidemic—and How It Changed damage containment should continue in determin-
Science, Cities, and the Modern World. New York: ing materials and design; a bank and a cardboard
Penguin, 2006. box factory require different levels of design and
 Damage Containment 227

structure. Structures can be designed specifically confined to a specific area. Some are designed
to resist earthquakes, wind (even tornados and to prevent fire from spreading from one area to
hurricanes), fire, and flooding. Different levels of another. Nuclear power plants are designed to be
security as well as fire suppression can be designed locked down and sealed to prevent the escape of
into the building. Installing redundancies into sys- radioactive materials.
tems is a way of lessening the damage that can Damage containment usually refers to an
occur in a system loss. The level of security and attempt to confine damage to a certain level within
safety that can be built in is determined mainly by a certain area. The Titanic was deemed unsink-
the budget available for building. able, not because of special hull strength, but
Some buildings are designed to accomplish because of the use of bulkheads that were designed
damage containment by keeping the danger to contain any flooding that might occur. Ships

Case Study: Chernobyl—Planning and Response Damage Containment

On April 26, 1986, in Chernobyl, Ukraine, which planning and design of the nuclear facility led to
was then a part of the Soviet Union, the world ineffective containment barriers. The roof of the
watched a major nuclear disaster play out through facility was not constructed according to design
the obscured lens of Soviet secrecy. The Chernobyl specifications, which allowed radioactive materials
nuclear power plant suffered an explosion and to escape as a result of the explosion and fire.
fire that released huge quantities of radioactive The uncontained explosion threw large pieces
materials into the environment. The accident was of graphite fuel rod channels out of the facility
caused by an electrical power failure that resulted and onto responding firefighters and emergency
in a loss of necessary water transfer to keep the response personnel; these materials were extremely
radioactive materials at a controlled temperature. radioactive. The firefighters and other emergency
Nuclear power plants are designed with thick personnel had not been properly trained to respond
concrete and steel housing intended to contain to a nuclear explosion and fire, nor were they
radioactive materials, even in the event of an equipped to protect themselves from the radiation.
accident, provided there is sufficient water The containment effort continued until May 10,
exchange to keep the temperature within certain 1986, when the fire was eventually extinguished in
parameters. Tests had revealed a flaw in the backup the reactor core. This was accomplished through a
electrical plans, resulting in a power gap that would massive effort that involved using helicopters to drop
allow the radioactive materials to super-heat. 5,000 metric tons of materials onto the burning
The actual cause of the disaster was explosion reactor itself. The materials included boron (which
and fire, but it was most assuredly a series of absorbs neutrons), clay, sand, and lead. In addition
events and failures that led to the single greatest to the material that was air-dropped, responders
nuclear accident in history. One of the major pumped liquid nitrogen directly into the reactor.
contributors to the destruction was the Soviet Nuclear material was spread over a rather large
practice of keeping secrets even from their own area, but fallout spread across a huge region of
people. Instead of evacuating the nearby towns, the Soviet Union and eastern Europe. Estimates
there was no discussion about the accident itself, have placed the potential death toll at more than
and assurances were given that all was normal. 200,000 persons, but whatever the number, the
Responders were not given the needed information incident continues to claim victims through deaths
to make a proper response, so containment efforts resulting from radioactivity-induced cancers.
of firefighters proved fruitless. Chernobyl represents a model of what goes
In the post-Soviet days, more has been learned wrong with poor planning in design and response,
about the event. Evidence indicates that poor coupled with ineffective response measures.
228 Damage Containment

The Chernobyl power plant reactor number 5 sits ghostlike in October 2011, 25 years after an explosion and fire caused the single
greatest nuclear accident in history. The event also became a prime example of nearly everything that can go wrong within planning,
design, response, and damage containment. The design of the facility led to ineffective containment barriers, emergency personnel
had not been properly trained for or protected against a nuclear accident, and the Soviet government withheld critical information.

and submarines are still designed with watertight capability of being completely sealed, augmented
bulkheads designed to be closed to contain flood- by positive internal pressures. The air supply is
ing or fire to a specific area. Damage containment recirculated through cleansing filters designed to
can also be accomplished through designs to keep detect toxic and poisonous substances.
hazards from entering; a double-hulled ship is an Another form of planning for damage contain-
attempt to confine the damage to the exterior skin ment can be accomplished through segregation of
and not allow water into the larger body of the assets; this is referred to in risk management as
ship. “spreading risks.” One of the more common mis-
Some buildings are designed to accomplish takes in discussing the concept of spreading risks
damage containment by preventing external haz- is to confuse the term with “sharing risks,” which
ards from entering the building; these buildings is the use of insurance. Spreading risks literally
can shutter themselves to prevent toxic fumes means putting assets in different locations so that
and poison gases from entering. This is damage no one event can destroy everything. This recalls
containment through design to restrict hazards the adage “don’t put all your eggs in one basket.”
from entering buildings. Schools, hospitals, and In investment planning, a common strategy is to
residence care facilities are the most common spread money across different opportunities to
structures of this design. The building has the avoid one failure causing a total loss of assets; the
 Damage Containment 229

same concept applies here. Damage containment Damage Containment Methods

through spreading became more popular follow- There are a variety of methods for accomplishing
ing the events of September 11, 2001. damage containment during a disaster response.
Many of these provisions may be viewed as These include utilizing specially designed materi-
costly, but nothing saves response and damage als and devices, such as oil containment booms,
costs more than preventing an event altogether. If petroleum-eating bacteria, spill-absorbent materi-
an event cannot be totally prevented, lessening the als, temporary liquid barriers, and new innova-
damage is the next most advantageous attempt. tions that are being introduced all the time. Dur-
Properly planning for damage containment can ing the BP Gulf of Mexico oil disaster of 2010,
pay for itself many times over in stopping one specially designed ships were deployed that col-
event. Prevention of an event is the ultimate dam- lect oil-contaminated water and clean it through a
age containment. filtration system, retaining the oil for refining and
returning the water to the ocean.
Damage Containment Through Response Damage containment methods for forest and
Obviously, the best of plans are sometimes foiled grassland firefighting can include removing poten-
by acts of nature, human failure, or intentional tial fuel sources to create a fire break, applying fire
design. Should an event occur, adequately plan- retardant materials to block the path of the fire
ning and equipping for a response is the next by denying it fuel, and reverse burning to cause
stage of damage containment. Auxiliary equip- a small controlled fire to move against the larger
ment can be installed to provide advanced dam- uncontrolled one to remove fuel and oxygen from
age containment, but properly trained personnel the larger fire.
can enhance the cause further. Installing advanced Almost every disaster has some methodology
firefighting equipment and emergency medical designed to help contain damage and bring the
devices (such as portable automatic defibrilla- disaster under control.
tors) can help defer damage, but having employ-
ees trained to operate the equipment properly Psychological Damage Containment
adds to the level of protection. The training and A growing form of damage containment is psy-
prevention programs may be augmented further chological damage control—working to prevent
through the employment of practice drills and long-term mental health issues in victims and
exercises. These exercises should be coordinated responders alike. Psychologists are increasingly
with response agencies to allow for verification of finding evidence of post-traumatic stress disor-
correct addressing of alarms and 911 call systems; der in victims of natural and human-made disas-
an incorrect auto-address assignment can be eas- ters. Once thought to be a product of battlefield
ily discovered in a coordinated exercise, but left action only, its recognition in victims quickly led
undiscovered can become an element of disaster. to acceptance that responders also suffer from the
In a response, damage containment often disorder.
requires resourceful thinking and innovative Many response agencies now offer psycho-
response measures. The very nature of damage logical counseling and stress debriefing exer-
containment during response means that the situ- cises for both victims of and responders to natu-
ation is not under control, and this tends to be a ral and human-made disasters. Here again, this
very-high-risk period of the response. Once dam- works best with preplanning and special train-
age containment features are in place, the response ing. Research indicates that responders are more
will shift to extinguishing the event completely; likely to participate in post-event counseling and
this is true of all disasters, whether human-made debriefing exercises when these are made a part of
or natural. their training programs.
One of the more memorable attempts to bring
a disaster under control during the response Conclusion
phase is the Chernobyl nuclear reactor accident of Damage containment saves lives, property, and
1986, but there are examples of damage control money. Effective damage containment is a product
in response for every disaster. of proper planning, design, and the equipping and
230 Dams, Levees, and Seawalls

training of personnel. Perhaps the most important seawall often requires destroying the beach. Fur-
aspect of damage containment is to encourage thermore, wheras a seawall can be constructed
innovation in the methods used to bring an event to protect inland habitats, it can also destroy
under control. shoreline habitats, many of which—such as wet-
lands and intertidal beaches—are especially frag-
George R. Franks, Jr. ile and key to the planet’s biodiversity. Seawalls
Stephen F. Austin State University that replace beaches also jeopardize recreational
tourism and quality of life for locals. The conven-
See Also: Disaster Drills; Disaster Risk Reduction; tional wisdom is that although beaches provide
Insurance; Prevention; Response; Strategic Plans. some protection from coastal events—they form
a buffer between the shore area and inhabited
Further Readings areas—seawalls do a much better job of minimiz-
Chien, Calvin C., Hilary I. Inyang, and Lorne G. ing property damage and hazards to human life in
Everett. Barrier Systems for Environmental extreme events like tsunamis or hurricanes. This
Contaminant Containment and Treatment. Boca wisdom has been challenged by recent events.
Raton, FL: CRC/Taylor & Francis, 2006. Forty percent of Japan’s coastline was lined with
Shrivastava, Paul and George Siomkos. “Disaster seawalls and similar structures when the 2011
Containment Strategies.” Journal of Business Tohoku earthquake and tsunami struck, damag-
Strategy (September/October 1989). ing the containment buildings of the Fukushima
Smith, Jim T. and Nicholas A. Beresford. Chernobyl: nuclear power plant. These seawalls were a key
Catastrophe and Consequences. Berlin: Springer, component of postwar Japan’s initiative to intro-
2005. duce nationwide infrastructure that provides a rig-
orous defense against earthquakes and tsunamis.
However, reliance on the seawalls to do their
work may have allowed standards to be more
lax in other areas of building than if the seawalls
Dams, Levees, and Seawalls were not there. Fukushima’s diesel generators,
which powered reactor cooling systems during
Dams, levees, and seawalls are all barriers against shutdown, were positioned on the assumption
water. A dam blocks the flow of water for the pur- that the coastal seawalls would prevent flooding.
pose of impounding it, generally storing it in a They did not—waves rushed over the seawalls.
reservoir, sometimes with the additional benefit At least some of the damage at Fukushima would
of yielding hydroelectric power. Levees manage have been preventable had more of the plant been
water flow and redirect it away from protected designed with the possibility of a seawall failure in
land regions, such as the settlements around a mind. As many critics have pointed out since the
body of water; they either occur naturally or are tsunami, the efficacy of seawalls is hard to quan-
constructed, usually parallel to the course of a tify because the extreme events that put them to
river, but sometimes following the shore of some the test happen so rarely.
other body of water. (The word originated in New
Orleans, Louisiana, where levees are constructed Levees
around Lake Pontchartrain.) Similarly, seawalls Like seawalls, levees primarily protect land areas
are constructed around the coast to reduce coastal from water. The levee system in New Orleans
erosion and protect habitats and human settle- has often presented problems. During the Great
ments from wave and tidal water. Mississippi Flood of 1927, when the Missis-
sippi basin was hit by heavy rains and the riv-
Seawalls ers swelled to record levels, 30 tons of dynamite
Seawalls are expensive to construct but provide were detonated on the levee at Caernavon, Loui-
a more long-term solution to coastal manage- siana, during a torrential rainstorm in order to
ment than does maintenance of beaches. In many keep the levees around New Orleans from spill-
locations, a choice must be made—constructing a ing over. New Orleans escaped serious damage,
 Data Mirroring 231

but neighboring St. Bernard and Plaquemines erosion, or geological instability, but often the
Parishes (counties) were significantly flooded. It cause is anthropogenic: the 1972 Buffalo Creek
was thought to be a fairly clear-cut case of poor flood in West Virginia killed 125 people as a result
black neighborhoods being sacrificed in order to of design failure four days after its satisfactory
spare rich white ones, and the same charge was inspection; the 1985 Val di Stava dam collapse
levied against the involved governments in 2005 killed 268 when negligent maintenance allowed
following the failure of the levee system during sediment to build up and warp a drainage pipe;
Hurricane Katrina, which disproportionately and in 1889, the South Fork Dam in Pennsylvania
affected black neighborhoods. There is no evi- failed because of a poorly designed spillway. The
dence of a conspiracy in that more recent case; resulting flood of Johnstown was the first major
the rumors of such simply evince the poor state disaster relieved by the newly formed American
of the levees. Their failure was responsible for Red Cross.
more of the damage in New Orleans proper than
the hurricane wrought directly. Both independent Bill Kte’pi
investigations and the Army Corps of Engineers’ Independent Scholar
own reports showed that the levee failure resulted
from a faulty design. The natural forces exerted See Also: Damage Assessment; Disaster Assessment;
on the levees were well within the limits of what Disaster Drills; Drought; Earthquakes; Evacuation;
the levees were intended to withstand; a National Floods; Preparedness; Prevention.
Science Foundation investigation found evidence
that the Corps was aware of these design flaws Further Readings
no later than 1986. As with the Japanese sea- Kraus, Nicholas and William C. McDougal. “The
walls, one of the problems with a levee system Effects of Seawalls on the Beach.” Journal of
is the choices that are made on the assumption Coastal Research, v.12/3 (Summer 1996).
that it will work; in this case, the existence of the Seed, Raymond B. “Hurricane Katrina: Performance
levee system almost surely influenced the delay in of the Flood Control System.” Testimony before
calling for a mandatory evacuation and may have the Committee on Homeland Security and
influenced the choices of some of those who chose Government Affairs, November 2, 2005. http://
to stay, when weighing the expense of departure. www.berkeley.edu/news/media/releases/2005/11
It undoubtedly also influenced design choices /02_levee_testimony.shtml (Accessed April 2012).
made in the city, and the city and Orleans Par- van Heerden, Ivor and Mike Bryan. What Went
ish’s choices in budgeting for and designing disas- Wrong and Why During Hurricane Katrina. New
ter protection plans, since the maintenance of the York: Viking, 2006.
levee system had been assumed by the Corps and
its efficacy was treated as a fait accompli.

Dams
Dams, on the other hand, generally are built not Data Mirroring
to protect from disaster but to control water level,
whether the principal aim is to maintain a reser- As individuals, organizations, government enti-
voir, generate hydroelectric power, or limit water ties, and corporations prepare to deal with
flow in order to render land habitable. A dam potential disasters and crises that may arise, data
failure is a catastrophic event, enough so that in mirroring has come to represent increasingly
times of war, the laws of armed conflict forbid important practices, policies, and procedures for
the targeting of dams in inhabited areas. Prior these groups. Data mirroring involves the repli-
to the adoption of this law, the British Royal Air cation of data stored on logical disk volumes on
Force targeted three German dams in World War separate physical hard disks, often in real time,
II’s Operation Chastise, in order to hurt Germa- so that continuous availability of that data is
ny’s infrastructure and manufacturing capacity. ensured. Data mirroring provides several advan-
Dam failures can be caused by natural disasters, tages in crisis management situations, insofar as it
232 Data Mirroring

protects data in the event of hardware failure, but or hacking. Corrective measures are those that
it also significantly improves system performance involve restoring the system after a disaster so that
with regard to speed. More sophisticated systems operations may resume in a timely manner.
of data mirroring permit data backup to occur When considering an appropriate disas-
while the first disk remains active. ter recovery plan, organizations must consider
appropriate recovery point objectives (RPOs)
Storage Replication and recovery time objectives (RTOs). An RPO
In the event of a disaster, either natural or human- involves the maximum tolerable period in which
induced, having the information technology (IT) data may be lost from an IT service because of a
systems that support a business or organization crisis. RPOs provide system operators a guideline
secure is of vital importance. Since the 1970s, for planning for backup services; for example,
when business leaders first began to understand if the RPO were set at six hours, daily backup
the increasing importance that constant access would be inappropriate. An RTO represents the
to data meant to their organizations, interest has duration of time in which a certain process must
developed in providing a safe and reliable means be restored after a disaster or other interruption
to safeguard data. Beginning in the late 1970s, of service. RTOs generally include time to fix the
companies such as Sun Information Systems (later problem, the recovery itself, testing, and com-
known as SunGard Data Systems) began provid- munication of the problem to users, as well as a
ing backup computer systems that would pre- return to full service. Data mirroring is a means of
serve a client’s data in the event of a disaster. Such providing continual backup of data, thus permit-
endeavors provided what is known as hot site/ ting an RPO of zero lost data.
cold site locations. A hot site is fully equipped to
permit an organization to resume operations after Data Mirroring
a disaster; a cold site does not have that capac- Storage technology that employs multiple disk
ity but does preserve data that would otherwise drives to achieve data mirroring is sometimes
be lost. Organizations that preserved their data at referred to as “redundant array of independent
hot or cold sites made a cost-benefit analysis that disks” (RAID). RAID is a method of storage vir-
assisted them in deciding what sort of backup tualization, a means of providing very fast and
arrangements were needed. These determinations very reliable data storage. First developed at
are made as part of the development of a disaster the University of California, Berkeley, by David
recovery plan. Patterson, Garth A. Gibson, and Randy Katz in
Disaster recovery plans focus on various con- 1987, RAID was soon marketed commercially as
trol mechanisms that can assist in reducing or a means of providing quick and safe data protec-
eliminating various threats to an organization’s tion. Originally, there were five RAID levels, each
operations. Disaster recovery plans are generally of which indicated basic RAID configurations,
a subset of an organization’s continuity planning. each with relative benefits and failure rates. Data
As such, disaster recovery plans need to include mirroring is generally synonymous with RAID 1.
planning for resumption of applications, commu- Disks are an inherently unreliable component
nications, data, hardware, and other IT infrastruc- of computer systems, with the average disk hav-
ture. In the event of a major crisis or disaster, plans ing a 5 percent probability of failing within five
to replace personnel and facilities and to augment years. To remedy this, RAID 1 creates an exact
communication must also be considered. Strong mirror (or copy) of data on two separate sets of
disaster recovery plans consider three aspects: pre- disks, which do not have to be housed at the same
ventive measures, detective measures, and correc- location, thereby increasing the reliability of the
tive measures. Preventive measures include those data storage. This setup is most useful when read
steps that are taken to prevent an event from performance, or reliability, is more important
occurring, such as precluding flood damage or than data storage; as such, an array can only be
power outages. Detective measures involve using as large as the smaller of the two member disks.
controls to detect or discover unwanted events, Because each disk contains a complete copy of the
such as monitoring systems for computer viruses data and can be read independently, reliability of
 Data Mirroring 233

the system is raised by the power of the number During the resilvering process, system performance
of self-contained copies. If only one disk fails, no is interrupted or significantly degraded, as the disk
data are lost. Although a RAID 1 system provides system is fully occupied in the process of copying
effective protection against physical disk failure, data from the remaining disk to another. Mirror-
it is not effective in combating computer viruses, ing of disks must be augmented by regular back-
accidental file changes, or deletions. To provide ups. Although many organizations utilize frequent
better protection against such harm, any data and comprehensive data backups, this is especially
mirroring system must also be combined with a important for commercial entities, as user mistakes,
robust backup system. Some systems store a series processing errors, and hacking are not protected
of backups so that inappropriate changes can be by data mirroring. Rapid data links, such as those
fixed if needed. Remote backup services are often provided by fiber-optic links, allow data mirroring
used to prevent the loss of data in the event of to take place site to site, especially if the distance is
a disaster. Continuous data protection systems 1,500 feet or less. For remote data mirroring, asyn-
allow a system to immediately log every change chronous copying systems are often used.
on the host system; it differs from data mirroring In addition to preserving additional copies
in that it allows a rollback of the log. of data, mirroring allows separate disks to be
Mirroring may take place locally, where it accessed individually for reading purposes. Many
specifically protects against disk unreliability, or large organizations maintain multiple mirrors
it may be done remotely. When mirroring takes for this purpose, because in the case of a disas-
place remotely, it generally forms part of a more ter or other crisis, several tasks may compete for
sophisticated disaster recovery system. Certain data on the same disk. Data mirroring permits
data mirroring systems combine both local and faster downloads of data accessed via the Inter-
remote mirroring, usually to protect high-avail- net, and many corporate and other organizational
ability systems that have a large volume of users. users utilize mirrors dispersed geographically to
Data are usually mirrored onto a physically iden- improve performance. Data mirroring also helps
tical drive, although sometimes the process is organizations to balance the load on their serv-
applied to logical drives that are different, as the ers, which can be helpful if a disaster strikes and
fundamental physical format is hidden from the causes an upsurge in usage in a certain region.
mirroring process. Although data mirroring was
initially a hardware solution using disk arrays, it Stephen T. Schroth
now also can use software within the operating Jason A. Helfer
system. Several possibilities exist when a disk fails. Knox College
In a hot swap system, the system itself diagnoses a
disk failure and signals the system administrators. See Also: Alternate Site, Corporate; Backup Strategy;
If the system is sophisticated enough, it automati- Cyber Security; Data Recovery; Disaster Risk
cally sets in motion a hot standby disk and utilizes Reduction; Operational Readiness.
the functioning active disk to copy live data to this
disk. Failing this, a new disk is installed imme- Further Readings
diately to replace the failed disk, and data are Crandell, W., J. A. Parnell, and J. A. Spillan. Crisis
copied onto this disk. In less advanced systems, Management in the New Strategy Landscape.
the system operates on the remaining disk until a Thousand Oaks, CA: Sage, 2010.
spare disk can be installed with minimum distur- Schulz, G. Cloud and Virtual Data Storage
bance. Some data mirroring systems utilize three Networking: Your Journey to Efficient and
or more disks, with two of the disks used for the Effective Information Services. Boca Raton, FL:
redundancy mirroring and the third disk utilized CRC Press, 2012.
for backups. The third disk is sometimes referred Troppens, U., R. Erkens, W. Müller-Friedt, R.
to as a business continuance volume (BCV). Wolafka, and N. Haustein. Storage Networks
When data are copied from one disk of a mir- Explained: Basics and Application of Fibre
ror to another, the process is sometimes called Channel SAN, NAS, iSCSI, Infiniband, and FCoE.
“resilvering,” which is a rebuilding of the data. Chichester, UK: John Wiley & Sons, 2009.
234 Data Recovery

Data Recovery highest-level decision makers to determine how

much they are willing to spend on data recovery
The purpose of data recovery is to create and main- to mitigate the identified costs. With an approved
tain the ability to recover data that are required to spending threshold, the data recovery processes
perform one or more necessary functions. Prior to can be determined. At times, the data cannot be
designing data recovery, the functions must be pri- recovered within the approved spend threshold.
oritized and the required data identified. Recovery If that happens, the decision makers must decide
objectives are defined, including the recovery time whether they want longer RTO and RPO to avoid
objective (RTO) and the recovery point objective the cost of data recovery or provide additional
(RPO). The RTO is the length of time a function funding to accomplish proper data recovery.
can operate without the data, and the RPO is how Armed with the entire set of requirements and
old the data should be when they are recovered. objectives from the BIA and the spending thresh-
After these recovery data requirements and recov- old, the data recovery processes can be designed.
ery objectives are determined, processes are put The first part to design is the data backup. Lon-
in place to back up and recover the required data ger RTOs and RPOs allow less expensive backup
meeting the recovery objectives. After all the pro- and recovery designs, while shorter RTOs and
cesses are in place for backup and recovery, those RPOs require more expensive backup and recov-
processes are tested regularly to ensure they will ery designs. The data must be backed up in a for-
work properly when needed. Data recovery is an mat that can be recovered according to the RTOs
activity that is authorized by the crisis manage- and RPOs.
ment process.
Recovery Objectives
Business Impact Analysis Very short RTOs and RPOs make it necessary to
Necessary functions are identified using a busi- design a high-availability (HA) environment where
ness impact analysis (BIA) or a similar tool for data are used or stored in two geographically sepa-
nonbusiness purposes. The BIA lists the func- rate locations at the same time. HA environments
tions performed and prioritizes them in order allow either location to be destroyed with little to
of most important to least important. Another no loss of data and little to no recovery time. Of
determination is the RTO for each function; usu- course, the people performing the function must
ally, the more important the function, the shorter also be HA so that the entire staff is not disabled
the RTO. Then the RPO is determined by under- with the single location. Short RTOs and RPOs
standing the maximum age of the data that must provide some leeway in design. There are backup
be recovered. At times, functions cannot continue processes called “replication” that back up data
if they must start again with recovered data that from one location to another, called a hot site, with
are too old. This also helps determine the backup dedicated equipment ready to be used. When the
and restoration processes that must be used. Typi- original location goes down, the replicated site can
cally, the shorter the RTO and smaller the RPO, come online in the amount of time it takes to bring
the more expensive data recovery will be. the systems up using the replicated data. Data
Along with the BIA are financials that state the recovery can take from minutes to hours.
various costs of all functions not working. Quanti- Medium RTOs and RPOs allow backup and
fying how much revenue will be lost or how much recovery of more moderate expense. Knowing
cost will be incurred while waiting for the data the amount of data to be recovered helps as well.
to be recovered helps tell how much to spend on Many backup and recovery options have esti-
the data recovery processes. Typically, the higher mates of backup and restore data transfer speeds.
priority a function has, the more it will cost in This means it is possible estimate the amount of
revenue or other costs to be without the function. time it will take to back up and also to restore
Conversely, functions with a low priority typically the data during recovery. For example, if the data
don’t garner much revenue or cost much to be transfer rate is 3 billion characters per minute and
without for extended periods of time. Of course, the data to restore amount to 300 billion charac-
when this information is presented, it is up to the ters, then the restore will take about 100 minutes.
 Data Recovery 235

If the data transfer speed meets the RTOs and (electronic). The possible environmental threats
RPOs, the design will work well for the recovery. that the backup media would be exposed to
When designing for data recovery in the medium should help determine which media are used.
RTO and RPO range, a warm site can be used. Optical media tend to be stored on reflective
A warm site is an alternate location with equip- material in a plastic substrate, such as compact
ment in several different states of readiness. Some discs (CDs) and digital video discs (DVDs). These
equipment is powered off, waiting to be used, and optical media are susceptible to damage from
other equipment is powered up and ready for use, scratches, heat, and ultraviolet rays from the sun
as well as leaving space for equipment that can over prolonged exposure. Magnetic media such
be shipped for longer RTOs and RPOs. In many as tapes and external hard disk drives (HDD) are
cases faster tape backup and restore devices are susceptible to electric surges and strong magnetic
used, allowing recovery in one or more days. fields as well as string X-rays that may be found
Longer RTOs and RPOs offer even more in airport baggage scanners.
choices. A cold site is an alternate location with Whichever backup media are used, there should
no powered up equipment—often just an empty be periodic backups to acquire several versions of
shell of air-conditioned, raised floor space. The information just in case one medium is destroyed
use of a cold site is the least expensive choice, or cannot be recovered properly. There are sev-
other than doing nothing, but again, it requires eral types of periodic backups using media. Often,
RTOs and RPOs of days or longer. The option there will be a full backup once a week or once
of preconfigured equipment shipped quickly to a month followed by daily incremental backups.
the cold site can provide an affordable recovery Incremental backups hold only the small amount
option. Again, often tape backup and restore of information that changed that day. Recovery
media are used, and even slower, less expensive would first need to restore the full backup to get all
devices can be obtained. Another option is to re- the information and then apply incremental back-
create systems from the install and either reenter ups to bring the data to their most current state.
data or start fresh, entering older data by hand as Older media backups should be kept track of
time permits. so they can be destroyed or converted as newer
media replace older media. Some media backups
Bunkers should be stored off-site to protect them from
One final option is to avoid losing data and also harm during disasters. There are many off-site
avoid having the cost of equipment just for recov- storage vendors that even have climate-controlled
ery. One choice that meets these criteria is known storage rooms to prevent condensation from
as a bunker. Just as the U.S. military used bunkers forming within the media containers and damag-
to protect assets, a business can use a bunker to ing the media.
house its existing systems and data. Because the
bunker is impervious to all natural hazards and Conclusion
most human-made hazards, there is only the need One of the activities that can be authorized by cri-
for the equipment used on a daily basis. No extra sis management is data recovery. The purpose of
cost for backup equipment for alternate site recov- data recovery is to create and maintain the ability
ery is needed, no HA site, no cold site, no warm to recover data that are required to perform one
site. The only drawback is that everyone must or more necessary functions. To design a good
access the site through network connections that recovery, there must be a business impact anal-
may go down; but redundant connections and ysis that prioritizes each function, identifies the
redundant telecom vendors in the site can allow a required data, and determines both the RTO and
quick switchover to an alternate network vendor. RPO. Once the requirements and priorities are set
and agreed to by decision makers, a cost thresh-
Backup Media old for the design is determined and the design is
Some other things to consider are the different conducted using standard recovery options such
forms of backup media. There are two major as hot sites, warm sites, and cold sites or bunkers.
types of backup media: optical and magnetic After design approval, the design is implemented
236 Debriefing

and then tested regularly to ensure it will work training and education for future events. In this
properly when needed. type of debriefing, the questions center on words
like who, what, where, when, why, and how.
William Lang The purpose is to collect experiences within the
Independent Scholar framework of understanding what happened,
what things could have been done to lessen the
See Also: Backup Media; Backup Strategy; Business impact of the event, and how to avoid or prepare
Continuity Planning Life Cycle; Critical Business for future events.
Functions; Data Mirroring; Dedicated Site. Post-crisis analysis may go beyond debrief-
ing to include a review of archival information,
Further Readings such as newspaper reports of the event, pho-
Disaster Recovery Journal. “White Papers.” http:// tographs of the event and of the affected area
www.drj.com/white-papers.html (Accessed March before and after the event occurred, post-event
2012). maps, weather and geological data from the time
Kaspersky, Kris. Data Recovery: Tips and Solutions: of the event, official reports, and even the diaries
Windows, Linux, and BSD. Wayne, PA: A-LIST, of persons involved. Depending on the age of the
2006. event, there may also be an attempt to collect
Snedaker, Susan. Business Continuity and Disaster archaeological and anthropological information,
Recovery Planning for IT Professionals. such as has been done in the study of early and
Burlington, MA: Syngress, 2007. prehistorical events.
The findings are used to assist planners in devel-
oping more informed responses to future crises of
a similar kind, if not in the same location. Trainers
use the information to revise or design new pro-
Debriefing grams or to develop practical exercises and drills,
to inform the public about protective measures,
Crisis managers understand that the damage does and to help responders prepare for future crises.
not end with the event; for instance, the effects of Educators use the information to develop course
the September 11, 2001, terror attacks are still curricula for developing emergency managers.
being discovered and evaluated. One very impor- Experiential learning can also occur immedi-
tant post-event component of crisis management ately, using a debriefing session following the crit-
is the debriefing, or post-crisis analysis. Debriefing ical incident. Generally, because of the need for
exercises usually are conducted shortly after the expediency, the session is a very basic discussion
event, and sometimes again after participants have between those involved about what happened,
had the opportunity to rest and refresh themselves what caused the event, how the crisis played out,
from the event, which allows reflection time. A and who did what during the event. As partici-
debriefing exercise has multiple purposes, depend- pants tell their stories, the facilitation can develop
ing on how it is structured, and with proper plan- a discussion about how the response could have
ning can be beneficial in many ways. These include been improved; the purpose in these sessions is
experiential learning, event reconstruction and not to belittle or ridicule but to collectively learn
investigation, screening for post-traumatic stress a better approach to future incidents, or even how
disorder (PTSD) and other mental health issues, to avoid a similar event altogether.
public confidence building, and research.
Event Reconstruction and Investigation
Experiential Learning Debriefing for event reconstruction and investiga-
Debriefing and post-crisis analysis are used tion has been done since before recorded history;
in experiential learning. Debriefing individu- investigators seek to put the stages of an event into
als involved in a crisis event, whether as victim, an order that can be understood and give mean-
respondent, or nonparticipating witness, leads ing to the specifics being reviewed. The desire to
to information that helps in the development of investigate and determine what happened in the
 Debriefing 237

The charred hulls of automobiles remain in front of the bombed Alfred P. Murrah Federal Building in Oklahoma City two days after
a car bomb exploded inside the building on April 19, 1995 (left). Rescue Team 5 spray-painted a message (right) on a brick wall
nearby in the aftermath of bombing. This was a sentiment echoed during the post-crisis analysis and debriefing process, which helped
investigators to reconstruct the attack, determine the cause, and identify a suspect.

process and cause of an event (post-crisis analy- on the Alfred P. Murrah Building in Oklahoma
sis) is a natural human instinct. City in 1995 and to demonstrate the plausibility
In modern times, new investigative abilities of the single device explosion.
have improved post-crisis analysis. The process
of reconstructing critical events has been greatly Screening for Mental Health Issues
improved with the development of computer- Counselors use debriefing of victims, responders,
aided design (CAD) and other digital imaging and eyewitnesses in post-crisis analysis to iden-
advancements. Using eyewitness accounts, known tify emotional welfare concerns. The debriefing
data, and digital imaging and design, investiga- is the second-level contact with persons directly
tors can reconstruct the crisis event and explain involved in a crisis event, the first being “defus-
the multiple causes of an event. Having the ability ing.” Defusing is often confused with debriefing,
to input known data to determine if it fits into but it occurs immediately following a crisis event,
the models developed from debriefing helps inves- at the scene, and is essentially an outreach to
tigators know where to look for more clues. As explain the normalcy of the feelings being expe-
an example, the multiple causes of the sinking of rienced, and to provide a communications lifeline
the Titanic are becoming clearer with the help of for access before the debriefing occurs.
the ability to observe the debris and enhance com- Emotional welfare debriefing usually occurs
puter modeling. within hours of a critical incident. Depending on
Information from post-crisis analysis (inves- the situation, the debriefing may be done individ-
tigation) and reconstruction helps investigators ually, one-on-one with a counselor, or in a series
not only to determine the causation but also to of group sessions; the determination of method
develop suspects in cases where the crisis appears is based on the type and scope of the event. The
to be a criminal or terrorist event. Post-crisis anal- International Critical Incident Stress Foundation
ysis, including information obtained from debrief- (ICISF) has established guidelines for conduct-
ing eyewitnesses and physical evidence, helped ing debriefing of this kind. The ICISF debrief-
investigators to reconstruct the devastating attack ing process follows seven steps: The intervener
238 Debriefing

introduces self, establishes guidelines, and invites this way can be found in the Exxon Valdez and
participants to introduce themselves, making British Petroleum Gulf oil spills.
clear that participation is voluntary (although One side benefit of this paradigm of debrief-
attendance itself may be required); details of the ing is that the organization learns firsthand and
event are developed from individual perspectives; early what those involved will be repeating to
emotional responses are given subjectively; dis- news media and in other public forums, allow-
cussions look at personal reaction and actions; ing for “damage control.” A second side benefit is
this is followed again by a discussion of symptoms that the organization can develop an understand-
exhibited since the event; there is an instructional ing of any health issues (physical and/or mental)
phase where the team discusses the symptoms and that may be forthcoming as a result of the event.
assures participants that most are a normal reac- Another benefit is that the organization can use
tion to an abnormal event and that these should the debriefing process to demonstrate concern to
diminish with time; and this is followed by a brief the affected persons.
period of shared informal discussion, most often Although this form of debriefing for damage
done in a relaxed atmosphere, often with nonal- control may seem questionable, these are com-
coholic drinks and snacks. The participants are mon practices for both government and private
then allowed to return to duty and resume normal organizations and have proven effective in reduc-
tasks. Throughout the ICISF process, the inter- ing the impact of an event on them.

vener is attempting to identify individuals who
are not coping well; these participants are offered Research
additional assistance. This debriefing process is Post–critical event debriefing works well for qual-
usually followed by intervener visits with partici- itative research into the various stages of a criti-
pants; again the purpose is to ensure that proper cal incident. The researcher has a distinct advan-
coping patterns are being followed. tage in being a part of the debriefing team but
Unfortunately, there is some evidence from can also benefit from recordings and documents
research that indicates that critical incident stress collected during debriefings when the researcher
management itself has little benefit for victims, is not a part of the team. There are lessons to be
responders, and witnesses of critical incidents. learned, and benefits to research activities, from
However, there is also evidence that the debriefing debriefing sessions conducted for all of the other
itself, the talking about the incident, allows par- purposes. In conducting research into the crisis
ticipants to identify with each other and develop event, the investigator develops themes that cor-
self-help networking. relate across the observations and stories from the
participants. These themes can be explored fur-
Public Confidence Building ther against the backdrop of the physical evidence
Debriefing is a method of building public con- available, or the information can be developed
fidence in the ability to address issues of crisis solely as experiential.
management and response. In this form, those In this kind of research, the investigator may
conducting the debriefing collect the stories and answer questions about perceptions of surviving
evidence relating to the critical event. The infor- the critical event, which training related to the
mation is analyzed by the government or respon- response to the critical event, and many simi-
sible organization to identify those practices lar questions. There are many cases where such
that worked well, those that need improvement/ research was not the motivation of investigator
alteration, and failures that can be attributed else- involvement in the debriefing, but as the informa-
where. The focus is to use debriefing exercises to tion collected was processed, themes developed
demonstrate concern for the public and environ- that led to deeper understanding and/or new
ment through pre-event preparation, planning, knowledge of benefit to others.
and training; interest in the welfare of the general
public and responders; and dedication to being Post-Crisis Analysis Separate From Debriefing
better prepared for future events. Classic corpo- There are many aspects of post-crisis analysis
rate examples of using the debriefing process in that are distinguished from debriefing, and the
 Debris Management 239

post-event analysis can continue for many years and better respond to crises. Debriefing can serve
beyond the event itself. Such an example is the many different functions in the post-crisis period.
Chernobyl nuclear plant disaster that occurred
in 1986. Although the debriefing phase is long George R. Franks, Jr.
past, the post-crisis analysis continues. Data col- Stephen F. Austin State University
lected immediately following the event and dur-
ing the response are being analyzed in new ways See Also: Blame, Politics of; Documentation;
to develop deeper understandings of what went Emergency Responders; Journaling; Post-Traumatic
wrong, how the response could have been more Stress Disorder; Public Image.
effective, and what the long-term effects are to
human life and the environment. Further Readings
Another excellent example is the Columbia Bisson, J. I., A. C. McFarlan, and S. Rose.
space shuttle explosion that scattered debris “Psychological Debriefing.” In Effective
over east Texas and west Louisiana in 2003. The Treatments for PTSD, E. B. Foa, T. M. Keane, and
National Aeronautics and Space Administration M. J. Friedman, eds. New York: Guilford Press,
(NASA) is still collecting and analyzing debris 2000.
from that critical event. There have been repeated Everly, G. S., Jr., and J. T. Mitchell. “The Debriefing
studies done on locals in the area to determine ‘Controversy’ and Crisis Intervention: A Review
health, particularly focusing on increases in can- of Lexical and Substantive Issues.” International
cer rates of people living in the debris field and Journal of Emergency Mental Health, v.2/4 (2000).
those responding to the cleanup/collection effort. Rose, S., J. Bisson, R. Churchill, and S. Wessely.
Such post-crisis analysis can include field “Psychological Debriefing for Preventing Post-
research as well as testing in a laboratory. In this Traumatic Stress Disorder (PTSD).” Art. No.
form of analysis, highly specialized technicians CD000560. Cochrane Database of Systematic
and investigators seek to determine causation in Reviews (2002).
an effort to avoid future events.

Conclusion
Debriefing is a part of post-crisis analysis but
plays the central role in reviewing a crisis event. Debris Management
This is because the debriefing process includes
participants who were victims, responders, Debris management is a critical but understudied
and witnesses to what occurred. Even in recent phase in disaster response and recovery. Indeed,
times, investigators are going back and reading of the top 10 most expensive disaster recover-
the papers, diaries, and texts of interviews with ies in United States history (measured in terms
Titanic survivors. The stories, drawings, and of federal relief funds expended), six occurred in
observations reanalyzed provided new insight the last 10 years—and all were debris-inducing
into what happened in this tragedy of passenger events. Debris management refers to the process
shipping. Some of this information has led to of planning for, removing, and disposing of debris
new theories about the ship’s underwater resting induced by disasters.
place, and the evidence collected from the scene
of the debris field has yielded new clues. Some of • Pre-event planning consists of activities
the evidence has shown that early statements of associated with identification of debris
survivors about what they saw, once dismissed as removal capacity in at-risk areas, as well as
confusion, are now supported by debris findings. forecasting of debris fields and estimation
Debriefing and post-crisis analysis play an of personnel and equipment requirements
important role in the emotional healing process • Debris removal consists of activities
and future mental health of those involved in a associated with identifying and removing
crisis event. Another important contribution is debris from public (and sometimes private)
to the improved knowledge of how to prevent land and waterways
240 Debris Management

• Debris disposal consists of recycling, and reporting of field conditions. Debris pickup
destroying, or otherwise disposing of debris may have several subphases, including a first
that has been removed pass to open main arteries for emergency vehi-
cles, clearance of rights-of-way such as secondary
In all of the above phases, advanced technolo- roadways, and clearance of debris from private
gies are increasingly being used to support (and property. In the United States, debris removal
sometimes substitute for) debris management from waterways is likely to require coordination
activities accomplished by debris management of organizations such as the U.S. Coast Guard.
personnel. As has been amply documented else- At some point, the debris removal operation is
where, large-scale debris-inducing events continue declared to be completed. Key measures of per-
to pose considerable challenges for efficient, effec- formance effectiveness are likely to include incre-
tive, and equitable debris management activities. mental (e.g., daily) and overall volume/weightage
This article reviews the major phases of debris of debris removed, as well as progress in reduc-
management, with particular emphasis on current ing the volume of debris at TDSRs. To support
practices and likely future challenges. the debris removal mission, new techniques and
technologies have been developed for tracking
Pre-Event Planning debris loads and estimating their size. These may
Pre-event planning encompasses three activities: range from small, handheld devices that function
advance contracting, temporary debris storage much like bar code scanners to more sophisti-
and reduction (TDSR) site screening and selec- cated technologies that will “X-ray” the contents
tion, and debris field forecasting and estimation. of the hauling vehicle.
Advance contracting identifies a single contractor Debris disposal activities include recycling,
responsible for debris removal in a specific area. burying, or burning various types of debris, both
This contractor is then responsible for contract- nonhazardous and hazardous, as appropriate.
ing and managing any debris mission in its region. Given the volumes that may be generated by
TDSR site screening is used to identify geographic large-scale events, as well as difficulties in segre-
areas that are appropriate for temporary storage gating materials in the debris stream, recycling
of debris. Debris field forecasting and estimation continues to pose a challenge to debris manage-
occurs in the days or weeks before a debris-induc- ment. Similarly, affected areas may be limited—
ing event in order to estimate resulting volume, due to environmental and other regulations—in
distribution, and composition of debris. Forecast- their ability to burn or bury some types of debris.
ing models are often embedded in computer-based
tools used to guide decisions about initial activa- Conclusion
tion of debris removal personnel and equipment. Recent disasters such as Hurricane Katrina in
the United States in 2005 and the 2011 earth-
Debris Removal and Disposal quake, tsunami, and nuclear “triple disaster” in
The debris field may consists of a potentially wide Japan have highlighted debris management chal-
variety of material distributed over the landscape. lenges associated with scale, scope, and type of
Debris is typically cleared from property and debris. In the coming years, debris management
roadways and pushed to curbside, where it is seg- is expected to become more integrated into the
regated and loaded onto trucks and trailers at des- overall emergency management cycle. Indeed,
ignated pickup points by debris removal teams. efforts are under way, both in the United States
Loads are then delivered by truck to temporary and abroad, to revisit long-standing practices in
debris storage and reduction sites (TDSRs), and debris management, whether in the development
their size estimated. Highly distributed team- of guidelines for best practices or in the develop-
work is central to the organization of the debris ment of new technologies.
removal mission.
The three broad stages of debris removal are David Mendonca
identification, pickup, and reduction. Concur- James D. Brooks
rent with activities in these stages are monitoring Rensselaer Polytechnic Institute
 Debt Crisis 241

See Also: Disaster Recovery; Hazardous Waste and sovereign defaults as separate types of debt
Disposal; Preparedness. crises. Perhaps the most notable of these individu-
als was Karl Marx, who argued that capitalism
Further Readings was the first system in human history where over-
Luther, L. Disaster Debris Removal After Hurricane production was possible. Once overproduction
Katrina: Status and Associated Issues. Washington, occurred, Marx reasoned that it can set in motion
DC: U.S. Congressional Research Service, 2008. a vicious cycle of reactions leading to falling prof-
Swan, R.C. “Debris Management Planning for the 21st its, investment declines, increased debt, unem-
Century.” Natural Hazards Review, v.1/4 (2000). ployment, and deflation. For Marx, a crisis did
U.S. Federal Emergency Management Agency. not result in the collapse of the capitalist system,
(FEMA) Public Assistance Debris Management but rather enabled the system to survive periods
Guide. Washington, DC: FEMA, 2007. of fluctuation through increased consolidation,
ultimately making the system more unstable in
the long run.
More recently, scholars from the 1960s
onward have sought to conceptualize what is a
Debt Crisis crisis, identify crisis symptoms, and attempt to
offer integrated solutions, or at least attempts to
A debt crisis occurs when borrowers’ margins of ease crises for those most vulnerable. During this
safety have eroded to the point where borrow- period, one of the more influential of these “cri-
ers are unable to meet their scheduled debt obli- sis theorists” was James O’Connor, whose work
gations and risk a default without intervention. sought to identify crisis tendencies in capitalism
Although the term generally refers to macroeco- and the increased consolidation and integration
nomic, nation-state actors, global financial orga- of private and state actors in contemporary capi-
nizations have long been involved in debt crises, talism. O’Connor was among the first to argue
and the underlying phenomena may also apply to that as the private sector runs into debt crises,
individual actors. the state must play an increasing role in resolving
these problems. As the state becomes increasingly
Typologies of Crisis involved in the capital system, profits tend to be
More broadly, a crisis is a type of social change privatized, while economic risk tends to be dis-
where individuals, organizations, and society proportionately borne by the state. An additional
face widespread exceptions over a relatively short important aspect of this analysis is that nearly
duration. Crises often serve as focusing events every social group wants resources from the state,
for media, the public, and policy makers to pay but few, if any, groups want additional taxes, cre-
attention to a certain problem and to attempt to ating a gap between revenues and expenditures,
resolve the problem through some sort of col- known as the fiscal crisis of the state. This fiscal
lective action. Thus, a key component of a crisis crisis of the state tends to lead to other forms of
is the relatively short duration when the excep- social crisis. O’Connor’s work heavily influenced
tion occurs, media and the public pay attention, the social philosopher Jurgen Habermas. Haber-
and policy makers are willing to dedicate time mas offered a highly influential view of crisis as
and resources to attempt to resolve the problem. a systemic problem in capitalism resulting from
Within economics, a crisis is commonly referred “steering problems” between economic, political,
to as a dramatic and painful deviation from a and sociocultural actors. Over time, these unre-
well-established norm. solved steering problems may lead to economic
Over the past three centuries, a variety of crisis, rationality crisis, legitimation crisis, and
economists, philosophers, sociologists, political motivation crisis.
scientists, and policy makers have offered various More recently, economic scholars Carmen
typologies of crises related to debt. Many of these Reinhart and Kenneth Rogoff have conducted
typologies have highlighted banking panics, stock empirical analyses of economic downturns across
market crashes, financial bubbles, currency crises, centuries and concluded that that there are five
242 Debt Crisis

“varieties” of financial crises: external default, a bank would be relatively inefficient if all of its
domestic default, banking crises, currency cash flows exceeded its debt, or amount loaned,
crashes, and inflation outbursts. Although all of most banks fall into the category of speculative
these financial crises are useful for comparison financial units. Third, “Ponzi finance units” are
between crises over time, all of these typologies those whose cash flows are not sufficient to fulfill
and categories are largely symptoms of debt cri- either repayment of the principal or the inter-
ses rather than exploring the mechanisms that are est due on outstanding debts from cash flows. In
similar across all types of financial crises. this instance, Ponzi units can either sell assets or
borrow additionally to meet prior debt obliga-
Debt Crises and Financial Instability tions; however, a unit engaged in Ponzi finance
Building upon prior research on debt and finance lowers the margins of safety it offers to holders
by Joseph Schumpeter and John Maynard Keynes, of its debt obligations. It is important to note
the economist Hyman Minsky offered an alterna- that Ponzi finance does not necessarily mean
tive approach that could more adequately explain the financial arrangements of an institution are
the origins of instability and the importance of fraudulent or deviant—it simply indicates that
debt in understanding crisis. In Minsky’s view, this type of borrowing may not be sustainable in
social organizations create an evolutionary pro- the long term and these financial arrangements
cess of invention, innovation, and obligations. are more susceptible to market conditions, such
For each unit, whether a household, a firm, or as increases in wage or construction costs or
a national economy, these obligations appear as increases in interest rates or short-term market
liabilities on the balance sheet and determine a fluctuations. Generally, the greater the number
series of prior, current, and future obligations of speculative and Ponzi finance units in the sys-
that constrain or facilitate future opportunities. tem, then the more fragile the financial system.
Because investment and debt obligations play a The financial instability hypothesis begins with
central role in understanding the financial system, the proposition that in the capitalist economy,
banking, in the broadest sense of the term, includ- finance occurs within a system of borrowing and
ing bank intermediaries, offers a useful starting lending based upon the “margins of safety,” or
point for understanding the overall workings of the ratio of cash flows relative to debt obligations.
the capitalist system. When hedge finance units dominate the economy,
For Minsky, the debt-income relations of there is general stability in the financial system.
finance break down into three ordinal categories Over time, speculative or Ponzi finance units may
from stable to fragile. First, “hedge finance units” offer innovations not traditionally found among
are those that can fulfill all payment obligations hedge finance units. Because innovation is an
with their cash flows. The greater the income rel- essential aspect of the capitalist economy, hedge
ative to debt on the balance sheet, the more sta- finance units may invest in the development of
ble the financial unit, and the greater the number instruments and markets that enable higher lev-
of hedge finance units in the financial system, els of profit to be financed. In return, borrow-
then the more stable the financial system. Sec- ing units assure those who finance them that the
ond, “speculative finance units” are those that money will be available at the appropriate time
can meet their payment commitments on income requested. This success of prior hedge investments
accounts even though they cannot repay the into speculative and Ponzi finance units breeds
principal with their cash flow and, consequently, confidence, additional borrowing, and additional
must roll over their debt obligations at specified economic expansion. During this period of eco-
times. In this instance, when a firm recently pur- nomic expansion, additional borrowing tends to
chases a new capital good and can make regu- result in a decline in hedge finance units and an
lar payments but cannot pay off the asset all at increase in speculative and Ponzi finance units.
once, the firm is said to be a speculative finan- Over time, this period of economic expansion
cial unit, as debt on the capital good must be may lead to economic euphoria and a belief that a
rolled over at a specified interval, whether it be new era has arrived, where increasing short-term
at the end of a month, quarter, or year. Because financing of long positions becomes normative.
 Debt Crisis 243

Once an investment boom starts, the volume of their margins of safety, which may quickly dis-
funds demanded increases and the rapid expansion appear once selling of liabilities evaporates and
of investment straps “liquidity,” or the amount short-term financing is still necessary to meet cur-
of capital available to be borrowed. During this rent obligations. Because Ponzi finance routinely
period, debt-to-equity increases, margins of safety results in a continuous erosion of equity, Ponzi
erode, and a generalized belief may emerge that financial units may no longer become rare and
these developments are not cause for concern. the financial system becomes increasingly fragile
The reason for this is that as innovations gain as the ratio of Ponzi finance units increases. As
increasing acceptance, output, employment, and an increasing number of units are unable to meet
firm profits increase, leading many economists, debt obligations, firms may attempt to merge, be
financial experts, and policy makers to believe acquired by other financial units, or request lender
that hedge finance units were justified in their of last resort action from the federal government.
decision to invest in financial innovations. This Finally, at this point, a break in the boom occurs,
period may also be characterized by a disregard leading to a debt crisis, or as is more commonly
for the possibility of failure, and in the absence reported, economic or financial crisis. The extent
of serious failure, this leads to further support of to which the financial system will enter a recession
the exuberant economy. During this exuberant or depression depends largely upon the overall
period, warnings that there is a financial breaking liquidity relative to government policy and lender
point that will lead to a crisis are ignored because of last resort actions by the government. Lender
of such profitable circumstances. Additionally, of last resort interventions almost always follow
because critics may not have quantitative data to an explosion of speculative and Ponzi finance, and
support future predictions that differ so drasti- generally, once a lender of last resort intervention
cally from the contemporary reality, their claims has occurred, hedge finance units, burned by their
and unconventional wisdom are easily dismissed previous speculative or Ponzi finance investments,
and ignored by the established authorities of eco- build up their margins of safety once again, to the
nomics, finance, and policy. point where the cycle may repeat.
However, delays or unforeseen exceptions lead
to additional unanticipated erosions of the mar- John Barnshaw
gins of safety. When these unanticipated erosions University of South Florida
occur, additional borrowing is required, or firms
may engage in balance sheet adventuring to avoid See Also: Bankruptcy, Corporate; Business Impact
disclosing their actual exposure to risk. Once this Analysis; Cascading Crisis; Fraud; Information
occurs, speculative and Ponzi units, debt laden Asymmetry; Resource Collapse; Resource
and reliant upon borrowing to meet current obli- Management; Risk; Stock Market Crises; Strengths,
gations, must attempt to shore up their financial Weaknesses, Opportunities, Threats and (SWOT)
positions and may have difficulty doing so as addi- Analysis.
tional questions may arise about their financial sta-
bility. The two most frequent sources of unantici- Further Readings
pated erosions of the margins of safety stem from Habermas, Jurgen. Legitimation Crisis. Boston:
the long gestation of capital-intensive projects and Beacon Press, 1973.
financial innovations that fail to produce the pro- Marx, Karl. “Capital, Volume One.” In The Marx-
jected levels of output. The financing of positions Engels Reader, R. Tucker, ed. 2nd ed. New York:
may also be complicated whenever short- and Norton, 1973.
long-term interest rates rise, and new valuations Minsky, Hyman. Can “It” Happen Again? Essays
must occur. In an effort to shore up financial posi- on Instability and Finance. Armonk, NY: Sharpe,
tions, more stable hedge and speculative units may 1982.
request additional capital from borrowing units. Minsky, Hyman. “The Financial Instability
Speculative borrowing and Ponzi finance units, Hypothesis.” Working Paper No. 74. Annandale-
which are entirely reliant upon the servicing or on-Hudson, NY: Jerome Levy Economics Institute,
sale of debt to meet current obligations, must use Bard College, 1992.
244 Decision Making

Minsky, Hyman. Stabilizing an Unstable Economy. quickly with little or no information available,
New York: McGraw-Hill, 2008. but it will be the responsibility of the crisis lead-
O’Connor, James. The Fiscal Crisis of the State. New ers to do their best to make the most informed
York: St. Martin’s Press, 1973. decisions they can as rapidly as possible. Most
O’Connor, James. The Meaning of Crisis: A decisions will not be easy to make and may even
Theoretical Introduction. New York: Blackwell, be based upon conflicting information. These
1987. decisions will need to be prioritized in importance
Reinhart, Carmen and Kenneth Rogoff. This Time and communicated appropriately.
Is Different: Eight Centuries of Financial Folly.
Princeton, NJ: Princeton University Press, 2011. Making a Decision
Westbrook, David. Out of Crisis: Rethinking Our When a decision needs to be made, it is best to
Financial Markets. Boulder, CO: Paradigm, 2010. make the most informed decision possible. The
decision maker will need to decide what the
desired outcome will be and design multiple
choices to try and attain that outcome. In order
to make the best decision, it will be important
Decision Making to utilize data and documents, other team mem-
bers, and experts’ opinions to decide which of
One of the most important responsibilities a the choices will be best. Rules, regulations, and
leader has is the power of decision making. Espe- policies will need to be considered and weighed
cially during a crisis, the ability to make decisions into the decision-making process. After examin-
becomes extremely important and essential for ing all of the possible factors, the decision maker
leaders and responders. Decision making can be will need to make a choice between the different
defined as the process a person goes through in choices created in order to achieve the outcome.
order to make the choices he or she needs during During a crisis, time will often be a major fac-
a crisis. This skill can be one of the most impor- tor in the decision-making process. Time must
tant skills a leader has in a crisis situation and be accounted for by the decision makers, and at
is often one of the first things followers or team some point a decision must be made in order to
members will look to as a quality for their leader. move on. It is important that clear communica-
With all of the stresses brought to a crisis tion channels and access to resources have been
situation, the ability to make decisions becomes established before the incident in order that a
harder because of the additional burdens result- timely and correct decision can be made during
ing from what has happened. A crisis will bring the actual crisis.
time pressures, risks, and an ever-changing situa-
tion, and seldom will the crisis responder be able Decisions Before the Crisis
to control the timetable of the event. The people One of the most important decisions to be made
who make the decisions in the crisis will have to is to plan for the crisis before it happens. The
make many difficult decisions and will ultimately decision to create a crisis management plan in
be responsible for those decisions once the situa- advance, choose a crisis team, and practice sce-
tion has calmed down. Often, the decision makers narios in advance will give people the opportunity
will express self-doubt, lose their own perceptions to become more aware of what crises they may
of the scenario, or cause stress upon themselves face and allow them to practice sample decision
about the decisions that were made in the heat of making. During the actual crisis may not be the
the crisis. best time to think and second-guess decisions, so
It is important that when decisions are made, by thinking in advance about some of these deci-
they are made quickly and decisively. The first sions and their long-term outcomes, the decision
consideration should be people’s safety, and the maker may be better informed to make the neces-
decisions that are made need to be communicated sary decisions.
precisely to those who need the information. During an actual crisis, the decision maker
Frequently, the decisions will need to be made will often have only a short amount of time, with
 Decision Making 245

limited resources and information, to make the burden on some, and not everyone is willing to
decisions he or she will need to make. With proper be placed into a situation where he or she will
utilization of the training and preparation in the be accountable for decision making. The person
pre-crisis phase, the decision maker will become making the decision will have to take responsibil-
more skilled and aware of the right decisions he ity for the outcome of those decisions. Because
or she may have to make if an actual crisis were of this difficulty, the person making the decisions
to happen. needs to make the most well-informed decision
possible. This can be done by collecting informa-
Difficult Decisions tion and data, talking with experts and counsel,
During a crisis, those who are responsible for not making assumptions, thinking about out-
making decisions will often have to make diffi- comes, and looking out for the safety of people
cult decisions. This responsibility can be a heavy and the protection of property.

Case Study: Decisions Made at Louisiana State University During Hurricanes Katrina and Rita

During Hurricanes Katrina and Rita, the campus This was not an easy decision to make. University
of Louisiana State University was impacted not officials had to gather information and opinions
only by the damage caused by the storm but also from many people involved with running the
by evacuees from New Orleans and other southern institution. They had to make sure their facilities
Louisiana towns. Operation of the university was were operational, faculty and students could get
disrupted, and administrators had to make many back to the classrooms, and operations could return
decisions regarding the sustainability of the to normal. They looked at their options, knowing
institution and how to handle the institution’s role they would be questioned by many for returning to
in the crisis. Administrators at all levels had to normal operations, which included everything from
make decisions regarding the operation of their classes to athletic events. Some felt the university
particular units. should remain closed in this time of crisis and
One of the important decisions that had to continue with humanitarian efforts.
be made for the university was if and when the Additionally, a decision was made to open up
campus would reopen. The campus had suffered the university to the University of New Orleans,
damage, athletic facilities now housed evacuees, another school within the system, so it could hold
parents and friends were living with students in classes, along with admitting students from other
their residence halls, other students and faculty New Orleans institutions that had to be shut down.
had left town to avoid the storm, and many people Decisions were made to diverge from normal policy
throughout the city were still without power. Many to enable the temporary admission of students
staff and faculty members were volunteering in from other universities for enrollment until their
the relief effort and not doing their regular tasks. institutions returned to normal operation.
State and federal governmental agencies were on These were only two of the larger decisions
campus using facilities, and the military was a that had to be made to restore operation of
constant presence on campus. With all of the chaos the university. During any crisis, many difficult
on campus, administrators began to wonder if the decisions will have to be made. The outcome of
university would ever reopen for normal business. those decisions may not be known until much later.
Administrators began to realize that if the At the time, many people thought the university
university did not reopen shortly, the university reopening for normal operation was not the correct
would not be open for the semester, if not the decision, and it was a hard one to make. However,
year. It was decided that the university would open time showed that the hard decision to reopen the
for classes on the eighth day after the hurricane. university was the right choice.
246 Decision Making

Not everyone will agree with every decision the greater good. Often, during a crisis, decisions
that is made. Decisions will often be challenged, may need to be made that would go against the
especially if they are controversial or if they have normal rules, regulations, and procedures one
an impact on certain groups. Often, these chal- would follow during a normal situation. A deci-
lenges may come from those outside the organiza- sion may need to be made that would “bend”
tion, from groups such as stakeholders and the these regulations in order to do the greater good
media. A well-informed decision-making process and protect or help the most people. In a crisis
may be the best defense to any accusations. In the situation, ethical and moral responsibilities may
end, only in hindsight will people be able to know override the rules and regulations that have been
if the decision made was the right one. put into place to regulate day-to-day operations.
If a rule or regulation is broken when a decision
Wrong Decisions is made to do the “right thing” and help people,
Even with much planning and forethought put one can hope that it will be judged to be the right
into the decision-making process, wrong deci- decision in the best interest of people. That does
sions will occur. With decisions being so crucial not mean that a person would not be punished or
during a crisis, wrong decisions will often have a reprimanded in some way for making the decision
very drastic impact. Stakeholders and the media at that time.
will often focus on the wrong decisions, even if
there were very few, rather than concentrate on Steven McCullar
the correct decisions that were made. In the end, St. Cloud State University
it is important for the crisis leaders and respond-
ers to take actions and make the decisions that See Also: Backup Strategy; Brain Drain; Bureaucracy;
will be needed, even if the decisions are later Collaboration; Command and Control; Contingent
determined to be the wrong ones. Often, making Coordination; Coordination; Criticality Assessment;
a wrong decision will still be better than making Decision Making, Theories of; Decision Making
no decision at all in a crisis. Under Stress; Decision Stream; Decision Support
When a wrong decision has been made and Tools; Disaster Assessment; Emergency Operations
identified, the person who made the decision Center; Evacuation; Hazard Mitigation; Improvising;
should be honest, apologize about the decision, Incident Management; Incident Response; Panic,
and explain his or her decision-making process Nature and Conditions of; Strategic Plans.
and how and why he or she made the wrong
choice in that given situation. Once the decision Further Readings
maker recognizes that he or she has made the Bacher, R. and T. Devlin. LSU in the Eye of the
wrong decision, the decision maker should take Storm: A University Model for Disaster Response.
the necessary steps to correct it. In some cases, it Baton Rouge: Louisiana State University, 2005.
may be determined after the fact that it was the Coombs, W. T. Ongoing Crisis Communication:
wrong decision, but it still would be in the best Planning, Managing, and Responding. Thousand
interest to explain that a mistake was made and Oaks, CA: Sage, 2007.
proceed with taking whatever corrective mea- Fink, S. Crisis Management: Planning for the
sures may be necessary to right the wrong. Real- Inevitable. New York: American Management
izing one has made the wrong decision during a Association, 1986.
crisis is not the time to worry about one’s own ego Klann, G. Crisis Leadership. Greensboro, NC: Center
or the perception of others. It is best to admit the for Creative Leadership, 2003.
mistake that was made and to go about correcting Silva, M. and T. McGann. Overdrive: Managing in
this mistake. Crisis-Filled Times. Hoboken, NJ: John Wiley &
Sons, 1995.
Decisions for the Greater Good Zdziarski, E. L., N. W. Dunkel, and J. M. Rollo, eds.
One characteristic of decision making that is Campus Crisis Management: A Comprehensive
often expressed by those who have to make hard Guide to Planning, Prevention, Response, and
decisions during a crisis is to make a decision for Recovery. San Francisco: Jossey-Bass, 2007.
 Decision Making, Theories of 247

Decision Making, decision, and is pursued mainly in psychology and

economics, especially with a prescriptive bent—
Theories of that is, in the hope of identifying the best decision
in a given situation, rather than descriptively ana-
Decision making is the series of cognitive pro- lyzing the mechanisms of decision making with-
cesses, by an individual or group, that selects an out determining an optimum. Decision theory
option—a choice or an opinion—from a set of has a tendency to describe many decisions in text-
possibilities. Formalized processes of decision book terms that are neater and tidier than what
making exist in a finite sphere—an election is a is found in the real world, and in this way differs
formalized decision-making process requiring from behavioral economics; decision theory will
candidates (the set of possibilities) to register and sometimes discuss binary decisions between two
restricting such registration to a set defined by choices, like in the Prisoner’s Dilemma or Pascal’s
eligibility requirements, followed by a narrowing Wager, which are rarely found in real life.
of the available options through the primary pro- Although the ins and outs of decision theory
cess, culminating in a vote that is then carried out overlap considerably with the modern science
by the electoral college and results in a binding of game theory, many of its concepts originated
choice. More simply, choosing an item for dinner much earlier, and the core concept of “expected
from the menu is a process that exists in a finite value” was popularized by 17th-century French
period of time; the item is chosen, delivered, con- mathematician Blaise Pascal. In what is now
sumed, and paid for, and the process ends. But called Pascal’s Wager, Pascal described the relative
cognitively, decision making is a continuous pro- outcomes of theistic and atheistic worldviews in
cess, a layer of the mind’s interaction with the terms of a decision, one that “bet” on a particular
environment; the outcome of the election, or the assumption (there is a God, or there is not) being
taste of the meal we ordered, informs the choices correct. Decision theory now calls that scenario
we make next time. Regret, or opportunity loss, an example of choice under uncertainty, the class
is the difference between the positive outcome of scenario with which decision theory is prin-
we experience and the positive outcome we cipally occupied. Pascal’s assumption was that
could have enjoyed if we made another choice, the reward for theism was infinite if correct, and
and some decision makers become motivated by therefore belief in God was the pragmatic choice
attempting to avoid regret. because disbelief offered no comparable reward;
Decision making is affected by cognitive biases although the wager made many logical missteps
and emotional processes and may be rational or and was founded on too many tacit assumptions
irrational, informed by tacit or explicit assump- to be useful to anyone in a genuine spiritual crisis,
tions. Though much attention is paid to formal- the framework of the argument was nevertheless
ized, explicit, and therefore conscious decision compelling, and it anticipated elements of mod-
making, most decision-making processes occur ern behavioral science that would not be explic-
unconsciously—even when we are aware we are in itly formulated and identified for some time.
the process, we rarely consciously examine the fac-
tors going into it or dwell much on why we may Causal Versus Evidential Decision Theories
“just feel like it” when we make a particular choice Two opposing schools of thought in decision
like what to wear on a given day or what to eat theory are causal decision theory and eviden-
for dinner. The mind’s ability to engage in infor- tial decision theory. The causal school weighs
mation-intensive decision-making processes with- the “expected utility” (a game theory term that
out calling conscious attention to doing so, and replaced the older “moral expectation”—both
without requiring the conscious engagement of the terms refer to the positive outcome of a decision
self, is an important adaptation—but it can lead to and its likelihood of occurrence) of an action
poor choices, which in crisis situations or for those in terms of that action’s consequences. The evi-
in leadership positions is especially critical. dential school weighs expected utility according
Decision theory is the study of decision making to the best outcome that can be expected for the
in terms of the rationality and optimality of the actor (the decision maker). The difference may
248 Decision Making, Theories of

sometimes seem negligible; what is key is the that analysis paralysis can occur is when every
causal school’s need for the actor’s action to be possible option includes the expectation of some
the cause of the positive outcome. In the classic amount of negative outcome. Rather than choose
game theory example of the Prisoner’s Dilemma— among negatives, no one is willing to appear to
in which each of two individuals is told that if he be supporting any negative outcome, and so deci-
betrays the other, he’ll go free and the other will sion makers circle around and around, unable to
receive a long sentence, while if neither betrays come to a decision that will minimize the nega-
the other, each will receive a short sentence—the tive outcome—or unable to do so in time for it
causal school is unable to come to the same con- to matter. In emergency management, there is a
clusion as the evidential school (that the actor risk of this occurring when the situation is such
should remain silent), because the actor’s action is that there is no choice that can be made that will
unable to influence the other actor’s decision and solve everything; rather, priorities must be made,
so may be irrelevant to the outcome. and decisions made accordingly. One of the main
One of the concepts in decision theory that has objectives of the professionalization of emergency
a large impact on crisis decision making is ambi- management has been to avoid analysis paralysis
guity aversion or uncertainty aversion, a prefer- in emergency management institutions.
ence for known risks over unknown risks. Ambi- Group decision making often leans toward con-
guity aversion, for instance, is one of the factors sensus decision making, which bases its decisions
that keeps people working at jobs they dislike, in on the consent of group members rather than
relationships that don’t make them sufficiently on their agreement or on the advocates’ ability
happy, or living in areas they know are unsafe— to address objections to the decision. The goal of
because while they know they are in a nonoptimal consensus decision making is to avoid adversarial
situation and have exposed themselves to a risk of decision making, so that there is no “winner” and
negative outcome, they are also familiar with the “loser” in the process. Dissenters may have the
situation and its risks, whereas a new situation option to formally declare their reservations or
would include many unknown elements. Risk stand aside rather than block the decision.
aversion is similar but is specifically a preference
to avoid risk even if that means limiting positive Prospect Theory
outcomes; ambiguity aversion prevents the actor Prospect theory is similar to decision theory but
from choosing options that may have very low is descriptive rather than prescriptive and is part
risk, as long as the outcome is sufficiently ambig- of behavioral economics. Prospect theory exam-
uous. Although women are more risk-averse than ines decisions actors make between options that
men, there is little gender difference in ambiguity involve a reasonably understood level of risk
aversion. (rather than focusing on decisions made in con-
Another pitfall in decision making, especially in ditions of uncertainty). Daniel Kahneman was
organizational decision making, is analysis paral- awarded the Nobel Prize in Economics in 2002
ysis, in which a decision is never made because for his work introducing prospect theory, which
the explicit decision-making process becomes was originally described in terms of the decision-
overly detailed and cumbersome. Although indi- making processes involved in buying a lottery
viduals are prone to this as well, in organiza- ticket.
tions analysis paralysis can be the result of the
need of an employee or executive to appear to Sense-Making and Situational Awareness
be doing something, and when enough people Sense-making is an important cognitive pro-
are involved in the decision-making process, that cess involved in decision making. The term was
can result in an overabundance of extraneous or coined in studies of human-computer interac-
overly granular information provided to the pro- tion, but has been applied more broadly to the
cess, so that each person has a chance to make process by which people assign meaning to their
a contribution and tangibly demonstrate his or experience–that is, “make sense” of it. Sense-
her involvement rather than simply register agree- making is the process of responding to the cog-
ment with another person’s input. Another way nitive gap as the individual confronts observed
 Decision Making Under Stress 249

data, especially when the individual is aware Trends in; Decision Making; Decision Making Under
of an inadequacy in his or her understanding. Stress; Decision Stream; Decision Support Tools;
In organizational science, sense-making is dis- Documentation; Emergency Management, Principles
cussed as occurring on the organizational level of; Emergency Management System; Fink’s Crisis Life
rather than in the mind of the individual. Iden- Cycle; Groupthink; Panic, Nature and Conditions of;
tity—who people think they are—is critical in Paradigm Blindness.
organizational sense-making, which becomes a
social activity as narratives are shared that could Further Readings
explain the data, with the most plausible nar- Baumgart, Leigh A., Ellen J. Bass, Brenda Philips, and
ratives embraced by the group. Sense-making Kevin Kloesel. “Emergency Management Decision
is increasingly recognized as a key process in Making During Severe Weather.” Journal of the
understanding the cognitive processes of crisis American Meteorological Society, v.23 (2008).
management and critical decision making. Gist, Richard and Bernard Lubin. Response to
Situational awareness is another process that Disaster: Psychosocial, Community, and Ecological
affects the information to which the actor has Approaches. New York: Routledge, 1999.
access in order to inform his or her decision. Situ- Kapucu, Naim and Vener Garayev. “Collaborative
ational awareness is the actor’s perception and Decision-Making in Emergency and Disaster
understanding of his or her surroundings, spa- Management.” International Journal of Public
tially and temporally, and of changing variables Administration, v.34 (2011).
in those surroundings. It is often discussed in Kowalski-Trakofler, Kathleen M. and Charles Vaught.
the context of emergency services, as police and “Judgment and Decision Making Under Stress: An
firefighting personnel often arrive on a quickly Overview for Emergency Managers.” International
changing scene with which they must engage; so, Journal of Emergency Management, v.1/3 (2003).
too, in the military and in aviation. Situational Mendonca, David and W. A. Wallace. “A
awareness can come from the actor’s own per- Cognitive Model of Improvisation in Emergency
ceptions or can be supplemented by information Management.” IEEE Systems, Man and
provided externally, such as being told where in a Cybernetics: Part A, v.37/4 (2007).
building a fire started, or on which floors people Simon, Herbert A. “Theories of Decision Making in
are known to be trapped, or by examining the Economics and Behavioral Science.” The American
building’s blueprints. Sense-making is a process of Economic Review, v.49/3 (1959).
engaging with data; situational awareness is the Stern, Eric K. Crisis Decisionmaking: A Cognitive
product of that process. Institutional Approach. Stockholm: University of
In contrast with decision theory, the naturalis- Stockholm, 1999.
tic decision-making (NDM) movement began in Streufert, Siegfried. “Emergency Decision Making
1989 to focus descriptively on the process of deci- and Metacomplexity.” In Proceedings of ISCRAM
sion making rather than to analyze the optimal 2005, Bartel van de Walle and Benny Carlé, eds.
choice. Whereas decision theory weighs various Brussels, Belgium: ISCRAM, 2005.
approaches of decision making, NDM focuses
on cognitive processes like situational awareness
and sense-making, and the effects on the actor of
factors like resource constraints, time constraints,
high-stakes consequences, vagueness in specifying Decision Making
objectives, and the actor’s experience level.
Under Stress
Bill Kte’pi
Independent Scholar Stress is one of the key factors that underlie the
demands on decision makers when faced with
See Also: Agency Notification and Mobilization; crises. Whether the individual is an airline pilot;
Bounded Rationality; Chaos Theory; Cognitive the manager of a nuclear plant; a police, fire, or
Novelty, Engaging in; Crisis Management, Emerging naval commander; or an emergency or business
250 Decision Making Under Stress

continuity manager, crises are likely to result in

decision makers dealing with an enormous num-
ber of variables, often in very short time frames.
Decisions are judgments or choices between
two or more alternatives and include the period
from the resolution of a problem to the imple-
mentation of a course of action. There are two
comments to be made about this definition. First,
one of those choices might be to do nothing, but
it must be a positive decision to do nothing and
not an abdication of responsibility. Second, in a
crisis, there is no point in solving problems by
making decisions if part of the process does not
include the implementation of those decisions.
Stress is the ordinary reaction of normal people
to events that, for them, are unusual or abnor-
mal. Invariably, decision makers will undergo
some stress when dealing with crises. Increased
stress can be both positive and negative. In some
cases, it has been found to improve performance
in that it makes people more alert and gives them
an ability to think and act quicker; in other cases,
heightened stress levels result in diminished
performance.

Literature
Most of the literature on decision making is of
little use to those who are required to respond
to crises because it deals with the making of
decisions in the normal progression of organiza- Captain Chesley Burnett “Sully” Sullenberger III visits the virtual
tions. However, the most capable managers run- motion simulator at NASA’s Ames Research Center, Moffett
ning organizations on a day-to-day basis are not Field, California, December 15, 2012. Sully is best known for his
necessarily those who will stand up best to the cool-headed landing of U.S. Airways Flight 1549 in the Hudson
stress of managing crises. For instance, up until River on January 15, 2009, saving all 155 lives on board.
1987, offshore installation managers—those in
charge of oil rigs—were selected purely on their
ability to get oil and gas from underneath the
sea bed. However, in the inquiry into the Piper strategic, tactical, or operational level are identi-
Alpha oil rig disaster, following a fire and its fied as able well before any such event.
collapse into the North Sea and resulting in the The impact of stress on decision making can
deaths of 167 people, Lord Cullen, the inquiry be significant and yet it is an aspect of human
chairman, found that the offshore installation behavior that has, arguably, only been explored
manager (OIM) “took no initiative in an attempt in the United States since it was mentioned as
to save life” and suggested that “the death toll a factor during a congressional hearing in 1988
of those who died ... was substantially greater following the shooting down of an Iranian Air-
than it would have been if such an initiative had bus by the USS Vincennes, killing all 290 peo-
been taken.” Now, before being appointed as an ple on board. As a result, the Office of Naval
OIM, a candidate is required to undergo simu- Research sponsored a research and development
lated emergencies. It is essential that those who program, Tactical Decision Making Under Stress
will be required to make decisions either at the (TADMUS), the aim of which was to provide
 Decision Making Under Stress 251

principles and guidelines to enhance team tac- the decision-making process. For instance, tunnel
tical decision making in complex environments. vision or task fixation occurs because of a lack
At about the same time in the United Kingdom, of knowledge of the type of crisis that has arisen;
Rhona Flin, a professor of psychology at Aber- consequently, decision makers focus on what they
deen University in Scotland, led a team looking know rather than on the wider picture. Alterna-
at decision making under stress following the tively, decision makers tend to focus on insignifi-
Piper Alpha disaster. cant things that are, in relation to the actual crisis,
often minor in terms of bringing the crisis under
Causes of Stress control. Because they are relatively immediate,
The causes of stress are many and varied. Crises decision makers may concentrate on short-term
produce unfamiliar and dynamic events; thus, gains when under stress without thinking through
they are constantly changing. Invariably, during the long-term implications. Alternatively, faced
the early stages, the scene or location of a crisis with serious crises arising from something they
is confusing because information may be in short have done previously, or something they should
supply; later, the amount of information may be have done that has been overlooked, the enor-
too much for the decision makers to absorb with- mity of the situation suddenly hits them, and the
out support. Communication systems may have resultant stress can cause them to “freeze.” Acute
been destroyed or become inoperative. Resources perseverance occurs particularly when decision
may be in short supply or be inappropriate, and makers stand by a decision already made because
it may be necessary to coordinate the activities they believe that changing it is a sign of weak-
of numerous specialists, each of whom may have ness, even if all the information coming to hand
different vested interests. People may be seriously suggests that a change of direction is necessary.
injured, even dead. There may be environmental Finally, there is mental and physical fatigue; after
factors such as the weather or the inaccessibility about 12 hours of intense concentration in com-
of the scene of the crisis. plex crisis situations, the ability to make rational
The location of the decision makers may place decisions begins to deteriorate, even in the fittest
them under additional stress if they themselves are of decision makers.
in danger. A host of other people and groups are
likely to put pressure on the decision makers, for Reducing the Impact of Stress
example, senior management, who are concerned The ability of decision makers to cope with stress
with the impact that the crisis will have overall on is dependent on a number of key factors that
the organization; those below, who will be wait- reduce the chances of their being affected by neg-
ing for a decision to be made that decision makers ative stress:
may be incapable of making at that precise time
because of a lack of information; the media, who • The knowledge that they have of the area in
have deadlines to meet; and the community, who which they are required to make decisions.
are desperate to know how long the crisis will last • Their experience in similar situations.
and will it occur again. Finally, there is the time • The training they have undergone, including
pressure. Time moves on, and this, in itself, puts taking part in exercises, to prepare them
pressure on decision makers, particularly if lives for making decisions in stressful situations.
are at stake. All these place pressure on an indi- In order to minimize the effects of stress
vidual’s decision-making process. on decision makers, pre-event training is
essential but, although it is impossible to
Impact of Stress on Decision Making re-create reality in its entirety, that training
A lack of training and a lack of experience cou- must be as realistic as possible.
pled with a lack of ability or initiative leads to • The crisis response procedures that exist
a lack of confidence and a fear of failure, thus within their organization.
placing decision makers under even more stress in • Active support from their colleagues.
already stressful situations. But it can also lead to • Their ability to quickly adapt to varying
a number of other negative aspects or defects in demands.
252 Decision Stream

• Their fitness, both physical and mental.

• Their temperament and suitability to be in
Decision Stream
the position of handling stressful events. Decision streams utilize numerous components of
business intelligence to aid business leaders and
There are numerous examples of military com- decision makers in analyzing data and ultimately
manders making decisions under stress but few making better operational decisions. The princi-
from civilian crises. Some of the best examples ples and practice of using decision streams adds a
of the latter are to be found in aviation. William dynamic component to processes in crisis manage-
Langewiesche’s description of how, following an ment that have been historically static. For crisis
almost complete engine failure, Captain Chesley managers, decision streams’ greatest benefit is the
Sullenberger was able to land his plane, carrying integration of decision support, decision evalua-
155 on board, on the Hudson River on January tion, and impact analysis to determine the full and
15, 2009, is one of the most recent. In under- total implications of every crisis and associated
taking this operation, Sullenberger was, claims actions. The use of streams is unique because users
Langewiesche, “capable of exceptional mental are able to quantify data previously in a qualitative
focus,” suggesting that “during the glide to the format and attach a fiscal component to actions
Hudson” he had been able to “ruthlessly shed previously perceived to be nonfiscal in nature.
distractions, including his own fear of death.” It
is worth pointing out, perhaps, that airline pilots Decision Evaluation
are regularly given the opportunity to react to Crisis managers using business or operational
simulated emergencies. intelligence tools to evaluate decisions and action
interactions are presented with graphical and tex-
Tony Moore tual outputs through tools such as Sync Matrix
Institute of Civil Protection and similar systems. Sync Matrix was originally
and Emergency Management pioneered by Argonne National Laboratory, in
support of the Federal Emergency Management
See Also: Command and Control; Coordination; Agency (FEMA) and the Department of Defense
Coping Capacity and Response Capability; (DoD), to evaluate several complex emergency
Credibility; Decision Making; Decision Making, response programs, most notably the Chemi-
Theories of; Decision Stream; Decision Support Tools; cal Stockpile Emergency Preparedness Program.
Interoperability; National Incident Management Tools, such as Sync Matrix, allow crisis manag-
System (NIMS); Simulations. ers to view the complex interactions between deci-
sions, actions, and reactions from the operational
Further Readings environment in a variety of graphical and data
Cannon-Bowers, Jannis A. and Eduardo Salis. forms. These outputs then drive a data-based after-
Making Decisions Under Stress: Implications for action or performance review process that has his-
Individual and Team Training. Washington, DC: torically been qualitative in nature. The data-based
American Psychological Association, 1998. reviews also assist crisis managers with the process
Flin, Rhona, Michael Strub, Eduardo Salas, and of separating perceived gaps in performance from
Lynne Martin, eds. Decision Making Under Stress: actual gaps in performance. Furthermore, when
Emerging Themes and Applications. Aldershot, decisions are charted in real time and compared
UK: Avebury, 1997. with predetermined benchmarks, crisis managers
Kowalski-Trakofler, Kathleen M., Charles Vaught, have the ability to trend responses and actions over
and Ted Scharf. “Judgment and Decision Making a period of years. Multiyear trending allows man-
Under Stress: An Overview for Emergency agers to separate effective and ineffective initiatives
Managers.” International Journal of Emergency over a prolonged period of performance.
Management, v.1/3 (2003).
Langewiesche, William. Fly by Wire: The Geese, The Integrated Data Flow
Glide, the “Miracle” on the Hudson. New York: Data generated during a crisis and reviewed fol-
Penguin, 2010. lowing a crisis response can also be channeled
 Decision Stream 253

Case Study: Decision Stream at the University of North Carolina Health Care System

In 2006, the University of North Carolina health each of the four components listed above. Each
care system started aggregating and trending component features an established range, with the
threat data through a database with the intention expectation that a particular action or metric will fall
of utilizing decision streams as a decision within the acceptable range. Any and all outlying
support and planning tool. In 2011, following actions and/or metrics are subjected to after-action
the collection of five years of data, response review and, if necessary, a root cause analysis.
benchmarks and profiles were compiled for six Emergency response and actions falling
categories of frequently occurring emergencies. outside the established categories are archived.
These profiles measured and benchmarked the Once five related responses are achieved and
following components: (1) productivity loss during validated, a new profile is established. As of
emergency response; (2) time lapse between 2012, this new integrated system has resulted in
warning receipts and message dissemination; around a $55,000 reduction in lost productivity
(3) time spent conducting pre-planning, response, by benchmarking emergency response teams for
and recovery operations; and (4) loss of revenue/ response time and alert activation accuracy. In
increase in expenses during the crisis. 2014, the Office of Emergency Management and
Starting in 2012, all emergency responses and Business Continuity Planning intends to add four
actions that fall into an established hazard profile additional benchmarked components to all active
are evaluated against the benchmarks listed for and future profiles.

back into an integrated hazard vulnerability to streamline processes and reduce expenses.
analysis (HVA) and associated business impact Although crisis management is not a “revenue-
analysis components to challenge current rat- generating” discipline, crisis managers can contrib-
ings or profiles for specific hazards or threats. ute directly to cost savings and expense manage-
Although a single outlying data set is not suf- ment. Integrated decision evaluations and HVAs
ficient to change all planning assumptions, it can dramatically increase efficacy of continuity of
does, however, provide a point of reference for a operations as well as business continuity plans. If
response outside the assumed norm. These points normal operations can be sustained longer and/or
of reference, over time, can be used to establish resumed more quickly, this will directly correlate
outer edges, or sigmas, of a response or action with expense reductions and revenue stabilization.
curve. In the case of crisis management and emer- Every action taken during a crisis has the oppor-
gency response, these points represent the best- tunity to have fiscal impact, even those involv-
and worst-case scenarios. Periodic evaluations ing preservation of life safety. By using decision
and statistical analysis are required of data sets streams and business impact data derived from
to ensure the data inside these sigmas remain sta- HVAs, crisis managers can know in advance what
tistically significant and valid. As the results of the potential impacts of a hazard are before it
an integrated HVA start to ebb and flow, so does occurs. This allows the crisis manager to propose a
the decision stream for certain hazards or risks. solution or countermeasure. The rationale follows
As a particular hazard increases or decreases in the same thread of a business unit requesting fund-
threat or impact, crisis managers can adjust the ing for a project that could increase revenue. In
benchmarks accordingly. this case, the crisis manager is requesting funding
for resources to preserve the revenue and/or mar-
Market Share and Fiscal Reductions ket share already in place. The latter is especially
Businesses across multiple sectors have long used true in service-oriented sectors, including health
decision streams and other business intelligence care, leisure and hospitality, and telecommunica-
tools, coupled with lean/six sigma principles, tions. If customers are not being served by their
254 Decision Support Tools

primary provider choice for a prolonged period of platforms, which moved to the Windows platform
time, they will find a new service provider. in the 1990s. The majority of the initial versions
of these tools were stand-alone software designed
Dalton Sawyer for a single user at any given time. The growth
University of North Carolina Health Care System and research advancements made in networking
(World Wide Web, the Internet, and telecommu-
See Also: Business Continuity Management; Business nication technologies), computing (processing
Continuity Planning; Business Impact Analysis; speed, hardware memory, and graphic visualiza-
Business Resumption Planning; Hazard Vulnerability tion), information sharing (availability of digital
Analysis; Impact Analysis; Losses, Quantitative data), and programming have allowed develop-
Versus Qualitative; Risk Analysis. ment of DSTs that are knowledge based, imple-
ment artificial intelligence, and allow access to
Further Readings multiple users at once.
Ferrell, O. C., John Fraedrich, and Linda Ferrell.
Business Ethics: Ethical Decision Making. 9th Advantages and Limitations
ed. Independence, KY: South-Western College Though advancements in information technology
Publishing, 2012. in the 21st century have increased the popularity
Seeger, Matthew W., Timothy L. Sellnow, and Robert and development of computer technology–based
R. Ulmer. Communication and Organizational tools, these tools still are riddled with limitations.
Crisis. Westport, CT: Praeger, 2003. The merits of these tools include the following:
UNC School of Medicine Southern Programs for
Medical Disasters. “Healthcare Emergency • Efficiency: The tools allow better
Disaster Planning and Preparedness.” http://www understanding of a problem and impacts
.med.unc.edu/burn/disaster-programs/southern-pro of potential solutions, thereby resulting in
grams-for-medical-disasters/hospital-healthcare faster decision making and time saving.
-emergency-disaster-planning-and-preparedness • Effective: Because of availability of
(Accessed August 2012). information regarding problems, DSTs
enable improved decision making and better
decisions.
• Participatory: Because data and other
ancillary information are readily available,
Decision Support Tools the tools enhance communication and
collaboration among participants.
A decision support tool (DST) is a tool that assists • Cost savings: Because a group of users can
in decision making rather than making a decision use the same tool, DSTs reduce costs for
for the user. The tool can provide guidance and labor and for technology and infrastructure
analytical or procedural information to help users purchase.
make optimal decisions. The tool can be a writ- • Satisfaction: The tools assist in determining
ten document providing guidance or a computer adverse impacts of different solutions to a
technology–based tool comprising written docu- problem. It is, therefore, possible to choose
ments, a number of functionalities, and wizards to a decision satisfactory to decision makers.
aid in the decision-making process. A computer- • Accessibility: Use of the Internet/World
based tool, also known as a decision support sys- Wide Web has increased accessibility of
tem (DSS), is a system designed in the framework a DST to any individual interested in the
of intelligence (helps resolve a problem), design decision-making process. These tools
(allows development of alternative solutions to a eliminate the influence of demographic/
problem), and choice (helps analyze the impacts of income/ethnic/cultural diversity of decision
alternatives to determine the best decision). makers on decisions.
The development of computer-based DSTs • Promote learning: Use of these tools and
started in the 1970s in the DOS and UNIX constant updating of information help
 Decision Support Tools 255

decision makers learn new concepts and resulting in lack of reliability in the tool.
better understand the relationship between Developers and users of these tools need to
a problem and potential solutions. resolve the status issue.
• Increase organizational control: By storing • Information overload: DSTs can manage
all information shared by decision makers and reduce information load on a user.
about a problem, these tools work as a Developers and managers of these tools
warehouse of information. Thus, they allow need to monitor user perception and
managers responsible for problem solving provide adequate information to make a
to choose the best solutions based on suitable decision.
participant information.
Components of a DST
The limitations of these tools include: A DST comprises four main components: (1) a
user interface allowing user interaction with the
• Overemphasize decision making: Although tool, and graphic functions to visualize outcomes
DSTs support decision making, the success and reporting tools; (2) an interactive database
of a decision is influenced by social/political/ management system to access different sources of
cultural characteristics of the problem- data, information, and knowledge; (3) a model-
managing organization. Hence, managers based management system comprising models
should decide the appropriateness of using and analytical tools and functions to analyze and
these tools with regard to a problem. interpret data to help in making decisions; and
• Relevant information: Because the (4) the network and architecture of the tool that
information is public, citizens tend to assists its deployment on a network for user-group
believe in the relevancy of information. access. A DST can also be classified based on its
It is, therefore, imperative to check and input (problems that need to be analyzed, associ-
update relevancy and accuracy of data and ated data/information), user expertise (required
information. expertise and knowledge of users to solve prob-
• Unanticipated effects: Information lems and analyze information), output (the final
availability is crucial for successful use of information that will be used in formatting user
these tools. The amount of information decisions), and result (the final decision made
available can influence users’ final decision, based on user inputs).
thereby leading to chaotic decisions and
other such effects. Future Trends
• Obscuring responsibility: Decision makers Successful deployment of each component and
rely on available data/information to make their interactions with each other is vital for the
appropriate decisions. Decision makers may success of a decision support tool as well as for
blame the tool for their actions rather than an organization’s operation and technical deci-
assuming responsibility. Decision makers and sions. These tools also need to be technically and
managers should understand the role of the economically feasible for use; must contain legal,
tool in decision making, and developers must regulated, and detailed information appropriate
also understand the problem and provide for the problem; and have information adequate
relevant information. to help users successfully make a decision. Hence,
• Objectivity: The tool can be used to a DST must aid a variety of stakeholders to make
rationalize certain decisions that might not usable decisions based on available information.
be acceptable to the broader community. Following are some of the issues that influence
Hence, managers responsible for final acceptability and adaptability of these tools and
deployment of a decision should account require further research:
for this problem.
• Status reduction: Managers may argue that • Privacy/confidentiality: Because participants
the tool can diminish their status in the share their personal information, protecting
overall organizational structure, thereby privacy of participants and maintaining
256 Dedicated Site

confidentiality of user information will allow See Also: Coordination; Crisis Communications;
citizens to feel secure in using these tools. Data Mirroring; Decision Making; Decision Making,
• Integrity: The tools should be accessible, Theories of; Early Warning Systems; Social Media.
reliable, timely, and transparent, and they
should meet expectations of citizens so that Further Readings
future participation can be encouraged. Carver, S., A. Evans, R. Kingston, and I. Turton.
• Accountability/nonrepudiation: To ensure “Public Participation, GIS, and Cyberdemocracy:
interaction and participation of users in Evaluating On-Line Spatial Decision Support
the decision-making process, it is required Systems.” Environment and Planning B: Planning
that providers and recipients of information and Design, v.28 (2001).
are accountable for using and providing Pattison, D., D. dosReis, and H. Smillie. “An
information. Inventory of GIS-Based Decision-Support Tools for
• Trust: Increasing user trust will increase MPAs.” (2004). http://www.mpa.gov/pdf/publica
acceptability and usage of these tools. tions/FINAL_Decision%20Sup%20Rpt.pdf
This can be accomplished by verifying (Accessed April 2012).
information quality, accuracy, and relevancy, Schraagen, J. M. and J. G. M. van de Ven.
and by taking measures to protect IT “Improving Decision Making in Crisis Response
infrastructure from failure. Though digital Through Critical Thinking Support.” Journal of
data availability has enabled providing Cognitive Engineering and Decision Making, v.2/4
updated information at a faster pace, these (2008).
data are not always available publicly or are Shim, J. P., M. Warkentin, J. F. Courtney, D. J. Power,
expensive to obtain and maintain. Attempts R. Sharda, and C. Carlsson. “Past, Present, and
should be made to provide cheaper accurate Future of Decision Support Technology.” Decision
and updated information. Support Systems, v.33 (2002).
• Knowledge representation: Data and Sieber, R. “Public Participation Geographic
information can be represented by different Information Systems: A Literature Review and
visualization techniques. The kind of Framework.” Annals of the Association of
information each technique depicts can American Geographers, v.96/3 (2006).
influence the decision-making process. Sullivan, T. “Evaluating Environmental Decision
Exclusion of user knowledge or the Support Tools.” Brookhaven National Laboratory
assumption that the user is knowledgeable (2002). http://www.bnl.gov/isd/documents/30163
about a problem can influence eventual .pdf (Accessed April 2012).
decisions. Understanding user knowledge Zerger, Andre and D. I. Smith. “Impediments to
and need is essential to design tools. Using GIS for Real-Time Disaster Decision
• Sustainability: Updating these tools and Support.” Computers, Environment and Urban
information is imperative. However, cost of Systems, v.27 (2003).
hardware, software, and data can influence
the sustainability of a tool.
• Interactivity: Tools should be interactive,
which means they should allow transaction
of information. Dedicated Site
• Scale: Although each user’s decision is
crucial, an individual’s decision might be To effectively manage a crisis, key people must
different from that of a group of participants. all know where to meet to gather pertinent trust-
It is, hence, required to decide the scale at worthy information, exchange ideas, and autho-
which a decision should be made for effective rize organized actions in response to a crisis. A
and satisfactory decision making. dedicated site equipped specifically to manage
crisis will help accomplish effective crisis man-
Bandana Kar agement, saving time, money, reputation, and
University of Southern Mississippi even lives.
 Dedicated Site 257

Organized Response or paper purchase orders for extra supplies. Most

Without an organized response, a crisis will often, the site will be well removed from the cri-
evolve through the disorganized activities of the sis, so running can be internally within the site;
people involved, which may have adverse impact however, if technology is unavailable, the runner
on the people and organizations assumed to have may be the only real alternative.
responsibility and accountability for the results of Television and radio bring outside news of the
the crisis. Effective crisis management can control crisis and can help determine the direction of the
and direct the evolution of a crisis. To do so, the public’s perception regarding the crisis. They can
organization with responsibility needs to bring also help the team prepare public information
key people together to understand the crisis and statements to the press and public to explain the
direct actions in response. team’s strategy and belay any fears about how the
The velocity at which a crisis unravels and crisis is being handled.
information and misinformation travels requires Internet access can provide ways to moni-
an equally speedy crisis management process that tor information from popular social network-
can be achieved only by having key people in ing Web sites and to receive e-mails from many
close proximity for communication and discus- sources containing information and even pictures
sion before authorizing actions that control and and videos. The Internet can also be used for out-
direct the evolution of a chaotic incident into an bound communication to the public as well as
event with an organized response. to vendors and outside team members who are
hands-on in direct response to the crisis. With the
Characteristics of a Dedicated Site speed of Internet communications and the abil-
A dedicated crisis management site must have the ity to lose control of the delivery of confidential
following characteristics: (1) It must be accessible communications, the Internet should not be used
under all weather conditions and circumstances for confidential communications. Internet access
because key people must be able to travel to the site; should also be secure from cyber attacks through
(2) the location must be communicated regularly to the use of firewalls that prevent unauthorized
all key people; (3) it must be secure from unauthor- access. Inbound e-mails should be scanned for
ized access both physically and technically (such as threats that could incapacitate the site’s ability to
a cyber attack); (4) it must be equipped with many communicate using the Internet.
forms of communication; (5) it must be insulated Multiple methods for inbound and outbound
from the most common threats so it is not involved phone calls help facilitate verbal communication
in the crisis; and (6) to assist with maintaining its between an organization’s staff, concerned public,
usefulness, the site must be exercised regularly the press, and local government. Phones tend to
using crisis management drills that also offer the be the most used form of communication, but at
advantage of training key people to use the crisis times they can be affected by the crisis and should
management process effectively at the site. It is also not be the only form of communication avail-
advisable to have at least one alternate site in case able. It’s helpful to separate inbound calls from
the primary site is disabled by the crisis. outbound calls to prevent one single phone or set
Important capabilities of a dedicated crisis of phones from being made useless by excessive
management site are multiple inbound ways to traffic. Phone communications should include
gather information about the crisis and multiple both wired phones and cell phones, and can even
ways for outbound communication to help autho- include satellite phones. Every type of phone has
rize response actions that control and direct the limitations and the potential to be affected by the
evolution of the crisis. Following are important crisis, so the more means of communication a cri-
inbound and outbound capabilities. sis management site has, the better chance it will
Runners are people whose purpose it is to run have to fulfill its purpose.
information and physical objects to and from the Monitoring amateur radio can bring more
site—information as in commands to take actions, information because it is used by government first
maps, pictures, and verbal information relays; and responders to address public safety. In fact, most
objects such as additional radios or cell phones crisis management sites are also called emergency
258 Deforestation

operations centers (EOCs); even though their pur- See Also: Command and Control; Emergency
pose is slightly different, their form and function- Management Agencies, City and County; Emergency
ality can be almost identical. If the site will also Operations Center; Emergency Support Functions;
communicate with local government, it should Federal Emergency Management Agency (FEMA);
have amateur radio capabilities. Fusion Center; Incident Action Plans; Incident
Fax machines are also useful for communica- Management; Incidents Versus Crises; State
tion, mainly outbound. Many news services and Emergency Management Agencies.
vendors will accept faxes to report on crisis activi-
ties and purchase supplies needed during the cri- Further Readings
sis. There are also fax services on the Internet and ASTM Standard E2668-10. “Standard Guide
fax servers with the ability to both handle large for Emergency Operations Center (EOC)
volumes of fax communication and store the Development.” West Conshohocken, PA: ASTM
faxes for future reference. International, 2011.
Some computer applications can also help Barton, Laurence. Crisis Leadership Now: A Real-
organize and document crisis handling to be used World Guide to Preparing for Threats, Disaster,
for verification of completed actions and also as Sabotage, and Scandal. New York: McGraw-Hill,
future legal proof of whether certain activities 2008.
were ordered at the proper time. These appli- Buchanan, Robert W. Disaster Proofing Information
cations can be used from the Internet or can be Systems: A Complete Methodology for Eliminating
located on servers in the crisis management site. Single Points of Failure. New York: McGraw-Hill,
Great care should be taken when obtaining an 2003.
application, as it may be affected by the crisis.
Every dedicated crisis management site must
have the capability of serving the people using it
for the longest period of time it may be required. If
people will be using the site for weeks or months, Deforestation
their creature comforts must be addressed in
design and construction of the dedicated site’s Forests are generally defined by the amount of
capabilities. Sleep areas, food/drink, kitchens, tree canopy cover; deforestation is removal of tree
bathing facilities, health care, and other needs cover. Deforestation is the practice of removing
should all be considered before a dedicated site is tree cover and converting covered forested lands
deemed worthwhile. to nonforest uses, resulting in the permanent
The final and perhaps most important char- destruction of the forest. Deforestation accounted
acteristic is that a dedicated site for crisis man- for an annual loss of 16 million hectares (39
agement should be as immune as possible to the million acres) of forest through the 1990s and
things that would cause a crisis. Uninterruptable dropped to 13 million hectares (32 million acres)
power supplies (large batteries) and generators as annually in the first decade of the 21st century.
well as a fortified structure can help a dedicated The Southern Hemisphere accounts for the
site survive the crisis and be available for the crisis majority of forest loss, with South America
management team. (4 million hectares [8.9 million acres]) and
Africa (3.4 million hectares [8.4 million acres])
Conclusion accounting for a little over half of global forest
A properly equipped and utilized dedicated cri- canopy loss. Forest utilization in the less-devel-
sis management site can be a very effective tool oped countries is a result of rapid urbanization,
allowing an organization to control the evolution population growth, and economic demands for
of a crisis to limit risk and save time, money, repu- forest products. European forests have contin-
tation, and even lives. ued to expand, while those in North and Cen-
tral America have remained stable. Australia has
William Lang been losing forest since 2000 as a result of consid-
Independent Scholar erable drought-related issues and forest fires. The
 Deforestation 259

tropical areas are being deforested at a faster rate open pit and large scale), the creation of livestock
than other areas globally. For example, from 2000 pastureland, human settlements, and infrastruc-
to 2005, deforestation in tropical areas increased tural projects (dams, road systems). The most
by 8.5 percent compared to the 1990s. During the common reasons for converting deforestated land
same time, the loss of old-growth forest in Nige- globally are subsistence farming (46 percent),
ria and Vietnam doubled, and it tripled in Peru. commercial agriculture (32 percent), logging
The largest forest in the world is the Amazon rain- (14 percent), and for fuel products (5 percent),
forest, covering 550 million hectares (1.3 billion according to the United Nations Framework
acres). Sixty percent of the Amazon rainforest is Convention on Climate Change (UNFCCC).
located in Brazil, and the remaining 40 percent
is located in the countries of Bolivia, Colombia, Effects
Ecuador, French Guiana, Guyana, Peru, Suriname, Deforestation results in soil degradation, water
and Venezuela. Over the past 40 years, Brazil has cycle disruption, loss of biodiversity, increased
deforested 60 million hectares (148 million acres) flooding and drought, and increases in carbon
of the Amazon, primarily for cattle ranching dioxide (CO2) in the atmosphere. The removal
(more than 60 percent) and subsistence farming of forest cover and vegetation exposes the soil
(30 percent). As a comparison, the United States to direct sunlight, resulting in drought condi-
has deforested 215,228 hectares (531,840 acres). tions, and the nutrient-rich topsoil is lost to wind
Globally, the reasons for deforestation include and runoff erosion, increasing sedimentation in
agriculture production (i.e., fruit tree [banana], streams, rivers, and wetlands, thus preventing
soybean, and palm oil plantations), clear-cutting future forest regeneration because of soil deg-
(e.g., for pulpwood and charcoal), mining (e.g., radation. Ultimately, the severity of the topsoil

A peat forest in Indragiri Hulu, Riau Province, Indonesia, is deforested to make way for an oil palm plantation, a highly lucrative
venture and one in which Indonesia is now the leading supplier. According to the WorldWatch Institute, deforestation of peat bogs
and native tropical forests to plant oil palm plantations creates numerous crises, such as species endangerment, the uprooting of local
communities, and the release of methane gases that contribute to global warming.
260 Deforestation

degradation results in its being unworkable, and positive changes to the rural and remote forest
the land becomes a barren wasteland. people. The benefits are building communities,
The water cycle is significantly disrupted by colonizing regions, and providing an economic
deforestation. The process of transpiration is dis- base for impoverished areas. Harvesting of the
rupted by the loss of trees and vegetation. Tran- forest allows for economic growth as well as the
spiration is the process of trees and plants draw- lumber for building homes, buildings, and fac-
ing up groundwater, commonly with their roots, tories. Roads and bridges are pushed through,
then releasing the water (evaporation) into the which open areas for trade and provide transport
atmosphere via pores in their leaves. Over half routes, allowing new products in rural and remote
of the water in the Amazon rainforest is circulat- areas. Small-scale farms can supply agricultural
ing inside the trees and plants. Trees also absorb products to other regions and provide locals with
precipitation and runoff, thus preventing topsoil a modest income.
erosion. The loss of trees increases soil erosion These same perceived benefits have also cre-
and diminishes the replenishing of the water ated friction. First, economic and development
table. Trees also absorb heavy precipitation, and decisions do not significantly include the indige-
without trees, the unabated runoff can result in nous people most affected by the plans. Next, not
floods. Ultimately, the loss of water cycle results all areas are interested in the changes, and some
in the land becoming a barren wasteland as well groups view the changes as destroying their way
as the surrounding area becoming susceptible to of life. As a result, deforestation creates conflict
flooding. (sometimes violent) between the local indigenous
The loss of trees, vegetation, topsoil, and the people and those modernizing under governmen-
water cycle results in significant biodiversity loss. tal approval. The conflict is also over ancestral
This is particularly acute in tropical regions, rights and governmental rights, as the encroach-
which harbor almost half of the Earth’s species ment onto indigenous lands is seen as ignoring
but account for less than 10 percent of the dry the rights and removing the livelihood of the
land. The tropical animal and plant species are indigenous people. Millions of indigenous people
very diverse and highly specialized to specific already make their living from the tropical for-
microhabitats and ecosystems. Deforestation in est through subsistence (hunting and gathering)
these highly specialized microhabitats can result and/or harvesting forest products. The challenge
in specific animal and plant species becoming to governments is balancing forest use/conserva-
threatened and even extinct. tion, economic development, and needs of indig-
Forests are like the lungs of the Earth, because enous people.
they absorb and store carbon dioxide from the
atmosphere (a biological process called biose- Reforestation
questration), which is converted to nutrients One solution to buffering the effects of defores-
for the tree. When the tree dies and rots, is cut tation is reforestation. Reforestation is beneficial
down, or is burned, the stored carbon is released to humans and ecosystems because it enables the
as CO2 back into the environment. Trees lost to capture and storing of carbon dioxide. Planting
deforestation result in more CO2 being released trees is critical in reducing the effects of defor-
in a small time window than trees dying natu- estation because trees prevent flooding and ero-
rally. Deforestation is estimated to be contribut- sion, reduce topsoil loss, and prevent increased
ing to between 20 and 30 percent of the total of sedimentation in streams, rivers, and wetlands.
human-caused (anthropogenic) CO2 emissions. Reforestation benefits water bodies as well
These carbon emissions are a major contributor through aquifer recharge, storage, and recovery,
to climate change. and recycling inland rainfall. Tree planting and
maintaining topsoil are essential for rebuilding
Conflict in the Forest natural habitats for plants and wildlife.
There are some positive and negative socioeco-
nomic results from deforestation. On the posi- Andrew Hund
tive side, deforestation can be viewed as making Umea University
 Denial-of-Service Attack 261

See Also: Avalanches and Landslides; Climate safety, as Internet-based systems can now be con-
Change Adaptation; Floods; Global Warming; sidered to be part of the critical infrastructure of
Poverty; Resource Collapse; Resource Management; society. They therefore require explicit consider-
Wildfire. ation within crisis management plans. They may
be conducted by terrorists, by criminals, or just
Further Readings for maliciously mischievous purposes.
Food and Agriculture Organization of the United Generally, DoS attacks do one of three things:
Nations (FAO). “Global Forest Resources they force the target to reset continually, they
Assessment 2010: Main Report.” FAO Forestry block communications between the target and
Paper 163. (2010). http://www.fao.org/docrep/ its intended users, or they consume its resources
013/i1757e/i1757e00.htm (Accessed May 2012). to the extent where it can no longer appropri-
Humphreys, D. Logjam: Deforestation and the Crisis ately respond to legitimate traffic. Bombarding
of Global Governance. London: Routledge, 2008. the target with external communication requests
Palmer, C. and S. Engel, eds. Avoided Deforestation: is a particularly common form of attack. The
Prospects for Mitigating Climate Change. London: target becomes saturated with these requests to
Routledge, 2009. the point where it is incapable of responding to
Williams, M. Deforesting the Earth: From Prehistory any other form of traffic or it becomes so slow
to Global Crisis, An Abridgment. Chicago: in responding that it is ineffectual for legitimate
University of Chicago Press, 2006. business. When DoS attacks are targeted at a
United Nations Framework Convention on Climate network, every computer within the network is
Change (UNFCCC). “Investment and Financial affected by the attack and experiences detrimen-
Flows to Address Climate Change, Vol. 13.” tal effects in functioning.
Technical Report FCCC/TP/2008/7. Bonn,
Germany: UNFCCC, 2007. Ethics and Legality
DoS attacks have been specifically considered by
organizations that provide and police Internet ser-
vices and have been deemed to be unethical prac-
tices. The Internet Society’s policy statement issued
Denial-of-Service Attack through its Internet Architecture Board explicitly
states that disrupting the intended use of the Inter-
A denial-of-service (DoS) attack is a cyber attack net and wasting resources through such actions is
intended to deprive users of a resource or service both unethical and unacceptable. In addition, Inter-
that they normally expect to have. Specifically, it net service providers issue acceptable use policies
is an attempt to render a computer or network that govern and restrict the ways their services can
inaccessible to its intended users by suspending be used. DoS attacks violate virtually all such poli-
the communications of networked computers to cies. In addition to being considered ethical viola-
the Internet. The term is sometimes used inter- tions, DoS attacks are often illegal according to the
changeably with distributed denial-of-service laws of individual nation-states. For example, in
attack (DDoS attack) because this is the most the United States, these are a serious federal crime
common form of DoS attack, though they can carrying lengthy imprisonment penalties, and in
take other forms. DDoS attacks come from mul- the United Kingdom, DoS attacks these have been
tiple computers and systems, meaning that they illegal since 2006, carrying a maximum penalty of
are much more complex than simple DoS attacks 10 years imprisonment. Other countries have simi-
and also much harder to protect against. DoS lar legislation and punishments.
attacks constitute a significant threat to the oper-
ational functioning of any organization depen- Prevention and Motivations
dent on the Internet for a significant part of its Intrusion detection systems are likely to be of little
operations. They can create significant functional use, as DoS attacks rarely hide themselves and are
crises that not only threaten the organization intended to be visible and obvious disruptions.
itself but also can have implications for public DoS attacks exploit normal traffic routes, meaning
262 Department of Homeland Security (DHS)

that it is not an option to close routes in order In 2011, following the posting online of a
to prevent attack. Prevention of DoS attacks gen- “recruitment” video, rumors began circulating
erally relies on a combination of tools to detect that Anonymous (a decentralized anonymous
attack, to classify traffic, and to respond appro- online community that takes coordinated action
priately. Ultimately, the aim is to block illegitimate toward self-agreed goals) was to attack the social
traffic but still allow legitimate traffic. This is not networking site Facebook. These rumors resur-
straightforward, however, as the illegitimate traf- faced in 2012, shortly before Facebook’s initial
fic often closely resembles the legitimate, deliber- public offering in the stock market. Anonymous
ately spoofing this. This means that many protec- denied the rumors, and no such attacks appear to
tion systems, such as firewalls, cannot differentiate have occurred. However, Anonymous has claimed
between them. Attacks that exploit systems’ vul- responsibility for a number of high-profile DoS
nerabilities may be avoidable to a certain extent, attacks. These include a number against the Inter-
but attacks that flood systems with communica- national Federation of the Phonographic Indus-
tions are much harder to resist. There is a range of try, as a pro-piracy stance, as well as an attack
tools available for purchase that assist in defend- against a child pornography site called Lolita City,
ing against DoS attacks, and some of these have intended to take the Web site off-line, an example
successfully prevented attacks in the past. Where of a DoS attack being used for vigilantism.
operations depend on continuous Internet avail-
ability, there is a definite danger of DoS attacks, Vivienne Brunsden
but vigilance and forward planning can still pre- Nottingham Trent University
vent attacks from becoming serious crises.
The motivations for DoS attacks are various. See Also: Business Continuity Planning; Critical
There may be ideological or political motivations, Infrastructure; Cyber Crime; Cyber Security.
or vigilantism, or attacks may be used by states
or governments as a form of censorship. There Further Readings
may also be less ideological motivations, such Deng, J., R. Han, and S. Mishra. “Security Support
as extortion, where a business is asked to pay a for In-Network Processing in Wireless Sensor
“fee” to prevent DoS attacks by the extorter. It Networks.” In Proceedings of the 1st ACM
has also been suggested that DoS attacks could Workshop on Security of Ad Hoc and Sensor
be used as a form of stock manipulation or to put Networks. New York: Association for Computer
competitors out of business; however, there is less Machining (ACM), 2003.
obvious evidence that this is occurring. Mirkovic, J., S. Dietrich, D. Dittrich, and P. Reiher.
Internet Denial of Service: Attack and Defense
Examples Mechanisms. Upper Saddle River, NJ: Prentice
Perhaps the clearest example of the problems that Hall, 2005.
DoS attacks can create is the attack in 2010 that Mölsä, J. “Mitigating Denial of Service Attacks: A
took the entire country of Myanmar (Burma) off- Tutorial.” Journal of Computer Security, v.3/6
line. The attack happened as Myanmar was hold- (2005).
ing its first election in 20 years. The ruling military
claimed that the election heralded the transition
to a democratic state, but there were doubts,
both within Myanmar and internationally, as
to whether this would be a sham. International Department of Homeland
observers and foreign journalists were not allowed
into Myanmar to cover the election, which made Security (DHS)
the Internet vitally important as a communication
tool to monitor events. This was not the first time The Department of Homeland Security (DHS) is
that Myanmar had gone off-line; in 2007 the gov- a department of the United States’ federal govern-
ernment allegedly severed the country’s Internet ment, developed from the National Strategy for
links as a response to growing political unrest. Homeland Security that emerged in the aftermath
 Department of Homeland Security (DHS) 263

of the terrorist attacks on September 11, 2001. The Crisis Management and Other Operations
organization saw several evaluations and modifi- DHS is involved in many levels of crisis manage-
cations in 2005, 2006, 2007, 2009, and 2010. The ment. According to the Department of Homeland
department was created by integrating all or parts Security Act of 2002, DHS is responsible for giving
of 22 existing federal agencies and departments. crisis management support to local, state, and pri-
DHS has five key roles in addition to efforts to vate entities that take part in information, analysis,
strengthen the department itself: (1) preventing or warning systems. This support often emerges
terrorism and enhancing security, (2) securing and after threats to or attacks on those systems.
managing U.S. borders, (3) enforcing and admin- Through DHS-related laws and presidential
istering immigration laws, (4) safeguarding and directives, as well as the National Strategy for
security of cyberspace, and (5) ensuring resilience Homeland Security, several new policies have
to disasters. Each of these roles centers on domes- emerged related to the operation of DHS and
tic safety and security and includes and influences other federal agencies and crisis preparedness
crisis management efforts. and management. Homeland Security Presiden-
tial Directive-5 required federal departments and
Organization agencies to adopt the National Incident Manage-
DHS is run by the Secretary of Homeland Secu- ment System (NIMS). Following from NIMS,
rity, a position in the president’s cabinet and part the National Response Plan (NRP) was created
of the presidential line of succession after the Sec- in 2004 and replaced in 2008 with the National
retary of Veterans’ Affairs. After the inclusion of Response Framework (NRF). The NRF Resource
many preexisting agencies and the development Center falls under the purview of the Secretary of
of the new department, DHS has grown to be the Homeland Security, the head of DHS. As an inci-
third-largest American cabinet department after dent-management system, NIMS includes efforts
the Departments of Defense and Veterans’ Affairs, to prevent, prepare for, respond to, and recover
with over 200,000 individuals. The department from a wide range of crises, emergencies, and
is part of the United States Homeland Security disasters. These management efforts include not
Council (HSC), along with the departments of only helping other organizations in their efforts
Treasury, Defense, Health and Human Services, but also ensuring that various groups can work
and Transportation, as well as the Federal Emer- together effectively.
gency Management Agency (FEMA) and the Fed-
eral Bureau of Investigation (FBI). Problems
Many of the agencies and departments that When DHS was formed, complaints quickly
became part of the Department of Homeland emerged about the potential problems of com-
Security had previously played a role in crisis, bining a vast range of operations and agencies
emergency, and disaster management. The groups within one parent department. For some critics,
that merged into DHS included, among others, the primary problem was the diverse nature of
the Office for Domestic Preparedness, FEMA, duties that the agency would now support. For
the Strategic National Stockpile, the National others, the department’s creation was seen as a
Disaster Medical System, the Nuclear Incident political maneuver to allow the government to
Response Team, Domestic Emergency Response point to changes being made and less of an actual
Teams, the National Communications System, fix for problems of communication, prevention,
and the Transportation Security Administration. and response that seem to have emerged with
As various agencies and departments became the September 11 terrorist attacks. Critics who
part of the new department, many were reorga- ascribed to both of these ideas reemerged in the
nized into newly created groups or became part wake of Hurricane Katrina and its effects on New
of other, often larger, organizations within DHS. Orleans, Louisiana, and the rest of the U.S. Gulf
For example, the responsibilities of the Office for Coast. Some argued that the problems with fed-
Domestic Preparedness, previously part of the eral and other government responses to Katrina
Justice Department, now became part of FEMA, demonstrated the flaws of having a large agency
which was, in turn, now part of DHS. responsible for too many things, demonstrating
264 Disaster, Definition of

that DHS was being stretched too thin. Oth- www.dhs.gov/xabout/history/gc_1297963906741

ers claimed that the problems with the Katrina .shtm (Accessed July 2012).
response revealed that the creation of DHS had U.S. Department of Homeland Security. “Mission and
not solved preexisting government agencies’ trou- Responsibilities.” http://www.dhs.gov/xabout/resp
bles with crisis, emergency, and disaster preven- onsibilities.shtm (Accessed July 2012).
tion, preparedness, response, and recovery. Viotti, Paul R., Michael A. Opheim, and Nicholas
DHS has also been charged with several accu- Bowen. Terrorism and Homeland Security:
sations of waste, mismanagement, and ineffective- Thinking Strategically About Policy. Boca Raton,
ness. After Katrina, a Government Accountability FL: CRC Press, 2008.
Office (GAO) report found widespread waste
and fraud totaling over $2 billion. The report
and its findings were widely covered in American
media, presenting the general results and spe-
cific examples of financial mismanagement to the Disaster, Definition of
public. Investigations by the media also revealed
other problems, including the incorrect use of Disasters are caused by hazards (natural, human-
the data mining tool ADVISE (Analysis, Dis- made, or some combination of both) when they
semination, Visualization, Insight and Semantic intersect with a vulnerable population, causing
Enhancement). severe damage or destruction to people, resources,
and the surrounding environment. To prepare
Conclusion for and respond to disasters, crisis management
DHS emerged as a transformation of crisis man- must identify potential threats to a group, which
agement efforts in the aftermath of September 11, includes both considering the hazard that will
2001. The department was formed to include a prompt the disaster and the population it will
wide variety of smaller government offices and affect—a wide range of factors. In addition to
agencies in an effort to create a more compre- physical effects such as human deaths and inju-
hensive crisis, and incident-management system. ries, and damage or destruction of human-made
However, concerns have emerged as other disas- and natural landscapes, disasters may directly or
ters, crises, and emergencies have revealed prob- indirectly impact social and political structures,
lems, leading to attempts to change DHS’s organi- causing economic problems and environmental
zation and duties to make it more effective. destruction and loss of life.
Despite these general characteristics, many
Jennifer Trivedi people and organizations offer various specific
University of Iowa definitions of disasters. People often casually use
the term disaster interchangeably with related
See Also: Civil Protection; Cyber Security; terms like catastrophe, crisis, or emergency.
Federal Emergency Management Agency (FEMA); Defining disasters is complicated by the wide
Immigration; Terrorism. range of events that can fall under the term that
can be framed by their causes (such as natural
Further Readings hazards) and their effects (widespread devasta-
Ball, Howard. U.S. Homeland Security: A Reference tion, large numbers of a population killed or left
Handbook. Santa Barbara, CA: ABC-CLIO, 2005. homeless).
Steinhardt, Bernice. “Department of Homeland The disaster itself is often considered to cover a
Security: Actions Taken Toward Management set period of time marked by when a natural haz-
Integration, but a Comprehensive Strategy Is ard’s direct effects began and ended or between a
Still Needed.” GAO-10-131. Washington, DC: human-made hazard’s release and cleanup. How-
Government Accountability Office, November 20, ever, the effects of a disaster and the recovery
2009. period after it can last beyond that time, conclud-
U.S. Department of Homeland Security. “Creation ing long after the disaster itself is considered to
of the Department of Homeland Security.” http:// have ended. Moreover, social circumstances and
 Disaster, Definition of 265

Homes in Henryville, Indiana, lay shattered five days after a series of tornadoes struck southern Indiana on March 2, 2012. Thirteen
people died and hundreds were left homeless. President Barack Obama issued a major disaster declaration on March 9, two days after
joint preliminary damage assessments were completed in six counties. By definition, a natural disaster is considered to cover a set period
of time marked by when the hazard’s direct effects begin and end, but the effects of a disaster and the recovery can last far beyond that.

human changes to the environment that can affect and progress, events like droughts should be con-
a disaster predate the direct effects of the hazard sidered natural disasters.
on a population. A disaster is not solely the prod- Human-made disasters emerge from agents
uct of the hazard involved but also emerges from produced by human beings, such as nuclear
the affected population. waste, oil products, or manufactured chemicals,
such as the Bhopal gas leak in 1984. Although
Natural and Human-Made Disasters many human-made events are considered disas-
Disasters are generally divided into two broad ters, some are often excluded. Wars, for example,
types: natural and human-made. Natural disas- are rarely classified as disasters but instead are
ters involve a hazard produced by the environ- considered by their own terms. Still other events,
ment, such as a hurricane, earthquake, or bliz- such as terrorist attacks like that of September
zard, for example, Hurricane Katrina in 2005. 11, are only sometimes classified as disasters, oth-
Comparatively faster-moving natural hazards erwise contextualized within a distinct category
like tornadoes or floods are generally classified as apart from disasters and events like wars. In some
disasters, but slower-moving and longer-lasting cases, one type of disaster can cause the other,
hazards like droughts are not always referred to further complicating the definition of a disaster,
as disasters; however, some researchers challenge as was the case with the Tohoku earthquake and
this and argue that, although slower to develop tsunami in 2011, which included the Fukushima
266 Disaster Assessment

Daiichi nuclear disaster, when a natural disaster disasters and their effects. Within this framework,
led to a human-made event. so-called natural disasters may be considered to
Disasters may also be differentiated as sudden have effects that are human-made (particularly
or rapid-onset or as slow-onset disasters, either when considering vulnerable populations).
type of which can be either natural or human-
made. Sudden or rapid-onset disasters include Jennifer Trivedi
relatively unpredictable and unexpected hazards University of Iowa
like chemical spills or tornadoes. These rapid-
onset disasters leave relatively little time to pre- See Also: Disaster Recovery; Emergency, Definition
pare or respond, often striking people while they of; Hazard, Definition of; Vulnerability; Vulnerable
are still unaware of the disaster’s existence or Populations.
progress. Slow-onset disasters include events that
can be tracked over longer periods, such as hurri- Further Readings
canes or famine. These disasters often give people Mileti, Dennis S. Disasters by Design: A
more advance notice and time to prepare, but that Reassessment of Natural Hazards in the United
time helps only if they have the resources to make States. Washington, DC: Joseph Henry Press, 1999.
appropriate preparations. National Research Council, Committee on Disaster
Increasingly since the 1970s, many experts and Research in the Social Sciences. “Future Challenges
organizations, such as the Red Cross, view disas- and Opportunities.” In Facing Hazards and
ters as the intersection of a hazard and a vulner- Disasters: Understanding Human Dimensions.
able population. In this perception of disasters, Washington, DC: National Academies Press, 2006.
“hazards” refer to events or processes that pose Perry, Ronald W. “What Is a Disaster?” In Handbook
a potential risk to human populations. These of Disaster Research, Havidán Rodríguez, Enrico
hazards include naturally occurring events such L. Quarantelli, and Russel R. Dynes, eds. New
as hurricanes or earthquakes and human-made York: Springer, 2007.
events such as chemical spills. Vulnerable pop- Red Cross. “About Disasters.” http://www.ifrc.org/en
ulations are those who are less able to prepare /What-we-do/disaster-management/about-disasters
for and recover from a disaster, based on certain (Accessed February 2012).
characteristics such as age, gender, or economic Wisner, Ben, Piers Blaikie, Terry Cannon, and
or social status. This vulnerability goes beyond Ian Davis. At Risk: Natural Hazards, People’s
simply being affected by a hazard and into a con- Vulnerability and Disasters. 2nd ed. London:
sideration of social and economic status, includ- Routledge, 2004.
ing factors like poverty, gender, race, age, and
disability. Crisis management therefore must not
only consider the physical effects of a disaster but
also deal with a variety of populations that have
different needs following a disaster. Disaster Assessment
Some argue that the distinction between natu-
ral and human-made disasters is not as important Disaster assessment is an essential part and ongo-
to how disasters are managed by officials or expe- ing activity of any disaster or crisis. There is a
rienced by individuals or groups as is the speed misconception that disaster assessment is a one-
with which they begin and happen or the scale time activity during disasters. Actually, disas-
of the disaster. This includes the idea that larger ter assessment is important during all phases of
disasters (by scales such as the affected land area disasters to make an accurate assessment of the
or population), whether natural or human-made, situation, needs, resources, and progress during
must be managed in a different way than smaller and after the event.
disasters because they result in the need for more
resources to be used, more organizations involved What Is Disaster Assessment?
in response and recovery, and often more long- The concept of disaster assessment depends on
term consideration to successfully manage the understanding what a disaster is. A disaster is
 Disaster Assessment 267

an extraordinary event whose consequences lie stakeholders. Humanitarian organizations, either

beyond the capabilities of the local community to international or national, will usually have their
respond. When consequences of a disaster exceed own assessment teams and will not depend solely
the ability of the community to contain them, on the data developed locally. The assessment
there is a disaster. The community needs external team composition should reflect the type and the
help to control the situation. environment of the disaster. The team composition
Assessment is a critical activity and an essential usually follows policies and guidelines of the orga-
component of disaster preparedness and manage- nization carrying out the assessment. Appointing
ment. In disasters, assessment usually includes but a team leader with expertise in the type of disaster
is not limited to situation assessment, needs assess- under assessment is vital in flexibly responding to
ment, available resources, and recommendations. changing circumstances. Sometimes, help from the
Situation assessment describes the disaster and its local community may be needed.
impact on the community, the infrastructure, and
the environment. Needs assessment determines Format of the Assessment
needs of the affected community classified accord- The format of the assessment differs slightly
ing to their urgency to the affected community. between different organizations, according to the
For example, in a disaster with many injured but main mission and objectives of each organization
with the infrastructure intact, urgent needs would or authority. For example, United Nations organi-
be medical aid, but in another situation, shelter, zations conduct comprehensive assessments cover-
food, and water may be more important. ing nearly every aspect of the disaster, whereas a
The process of disaster assessment has five volunteer medical organization focuses mainly on
objectives: health issues, opportunities for preventing disease,
and medical needs of the affected populations.
• To determine the impact of the disaster on However, most of the assessment elements are
the community similar among different organizations. Elements of
• To determine the needs and their priorities assessment usually include some or all the follow-
to the affected community ing items:
• To determine the resources available
• To determine development or mitigation • Situation assessment
opportunities • General description of the situation and
• To monitor the recovery process population affected
• Infrastructure damage
Who Will Perform the Assessment? • Environment
The assessment of any disaster is an important step • Shelter
for all the following actions needed in a disaster. • Food
External aid or funds usually depend largely on • Water
valid assessments indicating a real need for aid, • Sanitation
the extent of this aid, and its urgency. Meanwhile, • Health
most disaster situations are characterized by • Others (e.g., political situation, security,
urgency and disruption of regular organizational transportation)
processes. Therefore, choosing the right team to • Needs assessment
do the assessment is a vital step toward response • Immediate
to any disaster. • Long term
There may be different teams assessing the • Resources assessment
same disaster. Every organization concerned with • Forecasting
the disaster may have its own assessment team.
For example, if a certain country is experiencing Situation Assessment
a disaster following a devastating earthquake, The situation assessment should be as compre-
the country will have its own assessment teams hensive as possible because any item missed dur-
assessing the situation and sending reports to all ing initial assessment may affect the following
268 Disaster Assessment

Case Study: Assessment of the Marmara Earthquake, Turkey, 1999

The Marmara earthquake (7.4 on the Richter scale) population themselves and to conduct a visual
hit northwestern Turkey on August 17, 1999, early assessment of the damage.
in the morning. It was a major disaster that resulted The assessment teams stressed in their report
in over 17,000 dead and some 32,000 injured. that the numbers in the report were their best
The local government authorities and a multitude estimates and based on the data available at the
of international organizations responded to the time of assessment. They also stated that these
event. The government of Turkey invited the World numbers needed updating when new data became
Bank to help in the disaster assessment. The World available.
Bank had already sent two teams to the disaster This is a good lesson to learn in assessment.
location to assess the event. This was important to Because disasters are not static events, assessment
the Turkish government because it would help in also should not be a static configuration of the
assessing the damage and the forecasted funding underlying disasters. Any disaster comes into
needed to reconstruct from the damage. The successive phases, during which numbers may
two teams of the World Bank did not start their change dramatically. Therefore, monitoring and
missions simultaneously. The Emergency Recovery continuous assessment during all phases of
team began its work first, on August 24, 1999, and any disaster is the best way to get a reasonable
its mission was to assess damage. The second team conceptualization of the baseline data and changes
started their work on September 1, and its mission as they occur.
was to make an economic assessment. The reports Although the main focus of the World Bank
of the two teams were synthesized after the end of report was to assess damage cost, it was
the assessment on September 10, 1999. mandatory as a disaster assessment to include
The initial assessment of the teams resulted some details about other effects of the disaster on
in realizing the great damage caused by the the community. The assessment report did this,
earthquake. The assessment also formed a dividing the impacts into sectors:
good base on which the World Bank and local
government could anticipate the funds needed for • Housing
reconstruction and the sectors that sustained the • Municipal infrastructure
most damage. • Health
Although the assessment by the World Bank • Education
teams focused mainly on evaluating the cost of • Environment
the damage, it was mandatory to assess the entire • Transportation
disaster from its different aspects. The assessment • Telecommunications
report did not include only costs representing • Electric power
how many buildings were damaged or how much • Oil and gas
money would be needed for reconstruction. The
assessment included elements that need to be This breakdown of the assessment not only
evaluated in any disaster to give an appropriate helped in covering data from various fields but
understanding of the disaster. It included also assisted the local government and the helping
estimated damage costs for housing, infrastructure, organizations in identifying the most affected
environment, roads, bridges, railways, education, areas. This would in turn result in efficient use of
health, and other elements. resources.
Uncertainty and difficulty in getting data arose After the Marmara earthquake, the initial
as a problem during assessment and preparation disaster assessment by the local government
of the reports, although the assessment teams indicated great damage that exceeded the
coordinated with the local government and made capacities of the official authorities to respond
site visits to get information from the affected to. Therefore, the government of Turkey urgently
 Disaster Assessment 269

requested international help. Help requested Studying different assessments and reports made
included emergency aid, firefighting troops, during and after the Marmara earthquake indicates
and recovery and reconstruction assessment. the importance of preplanning assessments to be
According to the Red Cross and Red Crescent ready and applied timely in case a disaster occurs.
societies, following the Marmara earthquake, Good preplanning and effective performing of the
about 50,000 people were rescued from beneath assessment process provides a better chance for
rubble, but 98 percent of these were rescued by rapidly identifying urgent needs to save people and
local residents! spotting long-term needs to save their future lives.

actions taken to relieve the disaster. The initial possible substitutes. Assessment includes the
assessment forms the baseline of data for the fol- effect of the disaster on the current stock of
lowing assessments during the successive phases foods and availability of any substitutes. Other
of any disaster. changes affecting availability of food are also
described. Prices changes and shortages of cer-
General description of the situation: This tain foods essential to certain vulnerable groups
describes the type of disaster and its impact on the like children or pregnant women are described.
community. Demographics of the population are Documentation of the nutritional status is impor-
detailed to a suitable degree. Initial assessment tant because it affects urgency and types of food
involves appropriate information about the esti- supplement needs. Indicators of food shortages
mated number of the population affected, their like nutritional diseases and nutritional status of
lives, and location. special need groups are described. Assessment
describes any problems in delivering food to the
Infrastructure damage: Assessment evaluates the affected groups.
extent of damage to the infrastructure. The degree
of damage to different utilities projects itself on Water: Because water is vital for life and hygiene,
both the affected population and the upcoming comprehensive data are important, especially in
assistance. Damage to water resources means an situations where large numbers of the population
urgent need to supply water to the affected pop- are displaced. Assessment includes quantity and
ulation to avoid the many problems that result quality of water available to each person, effect
from lack of clean water. This priority needs miti- of the event on the regular water resources, avail-
gation as soon as possible. ability of substitute resources, and time and effort
needed to get water.
Environment: Are there any environmental causes
behind the disaster? What are the environmental Sanitation: The impact of the event on the sani-
conditions at the time of assessment? Also, it is tation system of the community is described.
necessary to describe any environmental risk fac- Also, the current condition of the sanitation sys-
tors that are affecting or may complicate the situ- tem and the degree to which it copes with the
ation and the damage caused to the environment current situation is documented. In case of any
from the disaster. displaced populations, accounting for the sani-
tation structure and any needs is of paramount
Shelter: In certain circumstances, alternative shel- importance. Any problem in sanitation systems
ters are a priority. Shelters need to be suitable to may be reflected rapidly on the public health of
the local community. the affected population and result in complicating
the situation. Assessment includes number and
Food and nutrition: A general description of cleanliness of latrines available to the affected
the regular food types is provided, along with groups and whether there are any problems in
270 Disaster Assessment

using them. Can vulnerable groups like women Like the political situation, security is a quite
and children use the latrines safely? important point to consider. Security affects not
only the population struck by a disaster but also
Health: Assessment includes a clear description the future of any external aid to the area. Stable
of the health status of the affected population. political and security conditions in an area make
Both direct and indirect impacts are needed. Most assessment easier and assure volunteer organiza-
important are: tions about safety of their teams in the area.

• Mortality and morbidity rates The Process of Disaster Assessment

• Morbidity and mortality rates in vulnerable Like any assessment, disaster assessment passes
groups through successive stages. Usually, a disaster
• Causes of morbidity and mortality assessment involves the following stages: plan-
• Presence or absence of outbreaks ning the assessment, collection of data, analysis
• Any other issues expected to affect the and interpretation, recommendations and report-
health of the affected population ing, and finally continuous monitoring through-
out the duration of the disaster.
In some disasters, injuries are a core concern, Most disasters occur suddenly or shortly after
for example, in earthquakes. The number of inju- a narrow period of warning, so preplanning for
ries needing rapid intervention may overwhelm disasters is important. Included in preplanning
local resources. In these cases, the best solution for any disaster is the assessment planning.
is to get the nearest medical help. Depending on Collection of data takes one or more of sev-
international external medical aid for rapid inter- eral forms of standard data collection, and this
vention may result in complicating the situation depends on the conditions of the disaster and
rather than solving it. External aid takes time to the feasibility of applying one type rather than
be available that may be not practical with a situ- another. Common tools for collecting data are the
ation of tens or hundreds of injured in need of following:
rapid intervention.
Also, it is usually better to depend on local • Surveys or questionnaires
medical personnel who are aware of the local • Interviews
community, and its culture, language, and com- • Direct observation by team members
mon diseases than foreign medical aid staff. How- • Using databases of previously processed
ever, in some disasters, expertise in certain fields data
may be needed. Therefore, careful assessment of
the health situation and demands is important The process of data assessment is ongoing. It
in allocating the best possible aid to the affected starts with planning, depending on the disaster
populations either immediately or on a longer- situation. After planning comes collecting data
term basis. and then analyzing the data to get meaningful
information. Information produced is then used
Other (security, political, transportation, etc.): to formulate good decisions related to the disaster
Considering other critical items during the assess- situation. Decision making, especially in disasters,
ment process may be as important as any of the should be fostered by implementing solutions and
previous items. For example, a general descrip- monitoring them to apply any amendment needed
tion of the political situation is beneficial in most in a timely manner.
disaster situations, but in some situations detailed
description is mandatory. In complex humanitar- Mohammed Salah Basha
ian crises, assessment should describe clearly if Pepperdine University
there are any political conflicts or dominations
of certain parties in the situation. Also, it should See Also: Contingency Planning; Criticality
be documented whether there are any political Assessment; Damage Assessment; Emergency
obstacles that may hinder external aid. Management System.
 Disaster Declaration 271

Further Readings The process of disaster declaration begins at the

American Red Cross. “Disaster Assessment Basics— incident. An incident is a risk that has escalated
Participant Guide.” Washington, DC: American to a crisis and impacts human populations. These
Red Cross Disaster Services, 2009. risks may be natural (e.g., earthquake, flood, hur-
Kurita, Tetsushi. “Survey Report on the ricane, tornado, volcano eruption). These risks
Reconstruction Following the Earthquake in may be technological (e.g., cyber attack, terror-
Marmara, Turkey, on August 17, 1999.” Kobe City, ism, oil spill). Whatever the type of risk may be,
Japan: Asian Disaster Reduction Center, 2000. it has intersected with human populations and
Organisation for Economic Co-operation and affected their world.
Development (OECD). “Large-Scale Disasters— When the incident begins, the operational
Lessons Learned.” Paris: OECD Publication response is at the local level through first respond-
Services, 2004. ers: local fire, law enforcement, and emergency
United Nations Children’s Fund (UNICEF). medical personnel. If a disaster response plan
“Emergency Field Handbook.” New York: exists in the jurisdiction, it is activated at the
UNICEF Division of Communication, 2005. time of the incident. Local governments often
U.S. Agency for International Development. “Field have a memorandum of understanding (MOU) in
Operations Guide.” Washington, DC: Bureau for place with neighboring towns, cities, counties, or
Democracy, Conflict and Humanitarian Assistance, regional organizations to assist with these efforts.
Office of U.S. Foreign Disaster Assistance, 2005. The MOU assumes that resources named in the
World Bank. “Marmara Earthquake Assessment.” memo will be used if available. If both partners in
Document 13031. Ankara: World Bank, Turkey the memo are responding to a similar incident in
Country Office, September 1999. each jurisdiction, response capabilities remain at
World Health Organization. “First Needs Assessment their place of origin.
Reporting Template.” http://www.who.int/hac/tech An emergency management department may
guidance/ems/reptemplate/en/index.html (Accessed coordinate local response efforts. These are staffed
March 2012). by professional personnel who work full-time on
readiness, response, and recovery programs asso-
ciated with emergencies and disasters. However,
many local governments do not have a dedicated
program for this function. Those duties may be
Disaster Declaration assigned to a city manager, mayor, or volunteer
coordinator; some local governments may not
The emergency management profession has a have an emergency management contact at all.
saying: “All disasters are local.” Although this is In such cases, local law enforcement coordinates
accurate for those experiencing the effects of an emergency management activities. Whoever is
incident, it does not account for the political pro- responsible for managing the incident is also the
cess involved in having an incident be declared point of contact with state emergency manage-
a “disaster.” Only the president of the United ment personnel and is responsible for situation
States can invoke that status over a national inci- reports, requests for assistance, or activating an
dent. A complex formal process has to take place MOU. Local facilities for record-keeping about
involving local, tribal, state, and regional emer- response activities is where data are generated to
gency management in order to get that language support the need for a disaster declaration.
assigned. When the president declares a disaster, When an incident is managed through local
another formal process begins to implement a response efforts, no formal disaster declaration is
prescribed campaign to assist in disaster response issued. If the incident is too extensive to handle
and recovery operations outlined in the Robert locally, officials at the local level request assis-
T. Stafford Disaster Relief and Emergency Assis- tance from the governor of the state. This is the
tance Act (Code of Federal Regulations, Title next step in the disaster declaration process.
42 The Public Health and Welfare, Chapter 68, The governor of a state has a variety of opera-
Disaster Relief). tional resource capabilities available to aid local
272 Disaster Declaration

jurisdictions. He or she may activate the state an avalanche in Alaska, PDA teams may not have
emergency operations center (EOC) to coordinate access to the area for weeks. In such cases, a PDA
available state assistance. Depending on the size team might use an airplane to fly over the area to
and scope and impact of the incident, the EOC assess the extent of damage, with an on-site visit
may be partially or fully activated. If enough when it is safe to have people enter the area. Once
local response organizations have requested assis- a PDA has taken place, the governor can request
tance and it becomes necessary, the governor may federal assistance.
proclaim a state of emergency. A series of spe- The Governor’s Request for Federal Assistance
cific steps must be followed for this process to be is a formal written document submitted with
legal. These differ from state to state, but most the assistance of a regional office of the Federal
require situational assessment that shows how Emergency Management Agency (FEMA). There
many jurisdictions were impacted, the potential are 10 FEMA regional offices that work in part-
for other areas to be impacted, and an assess- nership with specific states. State Liaisons from
ment of life-supporting and critical infrastructure FEMA have pre-established relationships with
resources that are needed. each step and are available to support and partner
When a governor proclaims a state of emergency, with state emergency managers who construct the
the state emergency operations plan (EOP) is acti- governor’s request.
vated and provides for the use of state resources. If the president does not declare a disaster, the
Some of those actions or resources include use of cost of response and recovery operations lies with
the National Guard, invoking existing mutual aid the state and local governments. If federal assis-
agreements, and a request for assistance from vol- tance is denied, amendments may be made to the
untary or community-based relief organizations request, and it can be submitted for reevaluation.
(such as the Salvation Army or American Red Most denials happen because the incident does
Cross). The role of state emergency management not exceed the threshold of the state and local
staff is to assist local and county officials with government response capabilities. Although it
response operations. The state EOC establishes may be catastrophic to the individual or commu-
liaison with county and local officials. nity experiencing it, the incident may not be large
The documentation that began at the local level enough to call upon federal resources; it can be
continues throughout the response operations; handled with local and state capabilities.
critical to this process is the collection of financial When a state can document how an event will
data. The state will need to provide evidence for exceed its capabilities to respond to an incident
the cost of response operations (e.g., first respond- through the formal Governor’s Request for Fed-
ers’ overtime, use of resources, services provided eral Assistance, the president issues an emergency
under an MOU that must be reimbursed, etc.). or disaster declaration.
Also critical to the documentation process is a When an incident occurs on the land of a fed-
preliminary damage assessment (PDA). This takes erally recognized tribe or native Alaskan village,
place at the local level where the incident took there is a variation in the declaration process. The
place and expands as far out as the damage has tribe or native Alaskan village has the choice to
occurred. States vary in the process of a PDA, but apply for a disaster declaration directly to the fed-
the goal is to determine the extent of damage to eral government or as a subgrantee of the state
individuals, families, and public infrastructure in which it is located. Should it choose the direct
systems. Determining the scope of damage can route, the tribal government applies for federal
determine whether the situation warrants a fed- assistance in the same manner described above
eral disaster declaration. regarding the governor’s request. If a disaster dec-
When a PDA occurs depends on the severity of laration is granted, the tribe or native Alaskan
the incident and the accessibility of the site. For village manages the disaster response itself and
obviously catastrophic events like the bombing of receives recovery program funds directly through
the World Trade Center in New York City, the FEMA. Should it choose to be a subgrantee, the
PDA was completed almost immediately post- state uses data, evidence, and information from
incident and a disaster was declared quickly. For incident damages to the tribe or native Alaskan
 Disaster Declaration Officer 273

village in its PDA to establish the state damage who is knowledgeable about the magnitude and
threshold. If a disaster declaration is granted, the the consequences of a catastrophic event that
tribe or native Alaskan village receives recovery requires taking an action to manage it at the local,
program funds through the state, which manages state, or federal level by allocating resources. She
the incident. or he activates the disaster response plan in order
Once the president issues an emergency or to convey necessary assistance to people waiting
disaster declaration, recovery programs are made for help.
available to the state, tribe, or native Alaskan vil-
lage for eligible items according to the Robert T. Local Disaster Declaration
Stafford Relief and Emergency Assistance Act. Local response is the first stage for all disasters.
When the consequences of an unexpected event
Pattijean Hooper such as flood, fire, storm, earthquake, epidemic,
Independent Scholar drought, or sudden and severe energy short-
age, seem greater than the local resources to
See Also: Damage Assessment; Disaster, Definition adequately respond, a local disaster declaration
of; Emergency Operations Center; Mutual Aid and is issued to activate the jurisdiction’s emergency
Assistance; Volunteer Coordination. operations plan. This declaration states the type
of disaster, the date(s) of occurrence, and the
Further Readings name(s) of affected area(s) and must be issued
Congressional Research Service. “FEMA’s Disaster by the city council or the board of supervisors
Declaration Process.” (May 18, 2011). http://www or the person authorized by local law within 10
.fas.org/sgp/crs/homesec/RL34146.pdf (Accessed days of occurrence in order to qualify to receive
April 2012). state assistance; it must be renewed every 14 days.
Federal Emergency Management Agency. “A Guide to As soon as a local state of emergency is declared,
the Disaster Declaration Process.” http://www all outside assistance requests are managed by
.fema.gov/pdf/rebuild/recover/dec_proc.pdf the local office of emergency management. The
(Accessed April 2012). local emergency management coordinator takes
responsibility for dispatching all resources sent to
the affected area(s).

State Disaster Declaration

Disaster Declaration Officer When a disaster strikes, local powers immediately
take action for necessary emergency response
A disaster is an unexpected event that goes beyond activities to evacuate the disaster’s victims, ame-
an affected area’s capability to respond in terms liorate distress, and protect life and property. If
of saving people’s lives, protecting property, and local capacities are not sufficient, the local gov-
sustaining social, environmental, financial, and erning body requests the state to declare a state of
political constancy of the affected area. Disas- emergency in order for the state’s emergency plan
ters are managed at the local and state levels by to be activated. The local governing body makes
sharing the responsibility to protect people from the request to the state within 30 days of occur-
disasters. In some cases, the capacity of local and rence if it is determined that conditions are greater
state governments may be insufficient to respond than the local jurisdiction can handle in terms of
to a disaster effectively. In the event that a disas- managing the services, human resources, equip-
ter or chaotic situation occurs or is foreseen, and ment, and facilities needed and require additional
there is a lack of resources to deal with it, a disas- resources from the state. The request explains
ter declaration process must be initiated by the why state assistance is needed and contains a
authorized person. copy of the local disaster declaration and initial
The disaster declaration officer is the person damage estimates. Once the state disaster decla-
who is appointed and authorized by law to offi- ration is proclaimed, state resources are deployed
cially declare a disaster. She or he is also the person to the affected area(s) promptly. Those resources
274 Disaster Drills

may be extended according to the type of disas- criteria of approval. The governor may appeal a
ter and assistance required, including equipment, disapproval. The appeal must be submitted within
personnel, supplies, technical support, and cru- 30 days by presenting further new information
cial services such as debris removal, security, traf- for reconsideration of the original request. When
fic control, vaccines, transportation, and traffic the major disaster declaration is approved, some
control. The state disaster declaration may also or all of the federal disaster assistance programs
make assistance available to the residents in need. such as individual assistance, public assistance,
Some governmental entities may be eligible to and hazard mitigation assistance are activated.
receive a contingent fund loan in order to lessen
the impact(s) of the disaster. Rescinding the Declaration
When the circumstances are stabilized and there
Major (Federal) Disaster Declaration is no longer a need to have special orders in effect,
The regional emergency management office moni- the declaration is rescinded. Upon rescinding the
tors disaster conditions and assistance activities declaration, the local office of emergency man-
before, during, and after the disaster by being in agement is notified.
contact with state officials. After the local and
state resources are utilized, if there is still a need Hasan Karaca
for additional assistance to better respond to the Independent Scholar
impact(s) of the disaster, a major disaster declara-
tion is requested from the president by the gover- See Also: Disaster Declaration; Emergency,
nor of the state within 30 days of occurrence to Definition of; Emergency Manager; Emergency
have federal assistance. Support Functions.
Before submitting the request, state and federal
officials do a joint preliminary damage assessment Further Readings
(PDA) to estimate the scope of the disaster and its California Department of Resources Recycling
effects on people and public facilities. In general, and Recovery. “Integrated Waste Management
the PDA is prepared prior to the submission of the Disaster Plan: Emergency and Disaster Declaration
governor’s request. If a severe or calamitous event Process.” Sacramento, CA: CalRecycle
occurs, the governor’s request may be submitted Publications, 1997.
prior to the PDA. Later on, the estimation of the New Jersey State Police Office of Emergency
type and amount of federal assistance required Management. “Basic Workshop in Emergency
is prepared. Additionally, eligibility for federal Management: The Disaster Declaration Process.”
disaster assistance is reviewed with the regional West Trenton, NJ: New Jersey State Police, 2001.
emergency management director. Sylves, R. Presidents, Disasters and Policy. Newark,
The governor’s request is made via the regional DE: University of Delaware, Public Entity Risk
emergency management office by submitting Institute, 2007.
a summary of the significance of the event; the U.S. Department of Homeland Security. “A Guide to
results of the PDA; the assistance given by federal, Federal Aid in Disasters.” Washington, DC: FEMA
state, local, and private agencies; the reasons why Publications, 2006.
the governor requests federal assistance; and a
recommended course of action for the president.
The regional emergency management office sends
the request to headquarters with its recommenda-
tions. The details of the request are evaluated and Disaster Drills
then submitted to the president.
The president makes the decision whether to Disaster drills, or exercises, are tests of the ability
approve the declaration; approval activates a to respond to crisis situations designed to famil-
group of federal programs to support the response iarize participants with the processes involved,
and recovery activities. The request is turned ensure rapid and efficient action, and ensure that
down if it does not comply with the recommended people are able to work well together. There are
 Disaster Drills 275

four main types of exercise. Tabletop simula- General Exercise steering

tions involve working one’s way through a sce- Director committee (and chair)
nario. Command post exercises are designed to
test command and control functions. Emergency Controller(s)
procedures drills can be used to test procedures briefing Simulators briefing
such as mass evacuation or rescue. Finally, field
exercises are the most extensive and realistic
option, but also the most exacting and expensive Exercise Observer
one. The remainder of this article concentrates on briefing players team
drills in the field, which usually mean extensive
outdoor work. debriefing debriefing
Exercises can be used to test and evaluate plans
and procedures and to show their weak points. Final report
They can help clarify and familiarize people
with emergency roles and responsibilities and, Figure 1 The structure of a disaster exercise
in particular, help organizations and individuals
to work together during unfamiliar situations.
Hence, drills usually have an education and train-
ing function, and they can highlight the need to guidance of the general director of the exercise.
extend this in particular directions. They can also To conduct the exercise, there will need to be one
highlight inadequacies in equipment or staffing. or more controllers, as well as groups of simula-
Drills are useful for improving the quality of mes- tors, players, and observers (Figure 1).
sages exchanged during a crisis and to make infor- An exercise is usually based upon a real event
mation exchange and usage more efficient. Lastly, from the past (the reference scenario), updated to
exercises can help garner support for disaster risk conform to modern conditions (Figure 2). To be
reduction and can thus have an impact on rele- similar to a real crisis situation, it is necessary to
vant policy. Typically, a field exercise may take launch the simulation without informing the par-
6–24 months to plan and 8–48 hours to run. It is ticipants in advance. In practice, this involves so
carried out in real time and involves the typical many complications and liabilities that very few
stresses of the job. organizations are able to do so. Hence, most drills
are fully anticipated by participants.
Designing a Drill
The first step in designing a drill is to assess the
capabilities of organizations that will participate.
These include the ability to design, run, and bene- Hypothetical Historical
fit from the exercise and the presence of sufficient ingredients analysis
funds, time, and personnel to realize the project.
An assessment must therefore be made of person- Initial Reference Time
conditions event zero
nel, skills, physical facilities, and communications
equipment. It is also necessary to assess attitudes Consequences Evaluation of
in order to ensure that an exercise will have suffi- at time 1 the progress
evolution of the scenario
cient support at all levels within the participating
Consequences Development
organizations. Assessment of costs will determine at time 2 of the
which resources can be dedicated to the exercise. evolution scenario
Estimation of costs should include staff salaries Consequences
and overtime, contract and consultant services, at time n
Formal evaluation of the
equipment and materials. and, where necessary, outcome of the scenario
the hire of facilities.
Once the feasibility study is ready, a steer- Figure 2 The use of a scenario or reference event in the
ing committee needs to be appointed under the construction of a master sequence of events
276 Disaster Drills

A disaster field exercise needs to be planned,

Exercise
executed, and evaluated. It must be created in conclusion
response to clear objectives that can realistically
be achieved in the available time and with accessi-
ble resources. Planning should involve estimating Simulator Participant
the needs (for example, with respect to training debriefing debriefing
or benchmarking crisis responses). Once the scope
and objectives have been established, it is usually
necessary to write the master narrative based on Evaluator
debriefing
the reference scenario. This details the sequence of
events that will have to be responded to by the exer-
cise players. It also defines the expected actions. Final
In many cases, narratives are accompanied by a report
series of situation reports that detail the progress
of the crisis after set time intervals. Time is usually Figure 3 Debriefing and the final report at the end of a
compressed to some extent so that the simulation disaster drill
can fit into the time available to conduct it. A fur-
ther subset of the main narrative is the set of emer-
gency messages that will be distributed during the
simulation and that will solicit responses from the practice, one of the most important aspects is
players. The narrative is compiled in the form of a the real-time evaluation process. The group of
master sequence of events list (MSEL). Finally, the observers needs to be trained and forms need to
exercise designers allocate tasks to participants, be developed in order to ensure that they acquire
including the simulators, players, and observers. the right information during the exercise.

The Participants Evaluation Processes

The exercise controller (or controllers, if it is a The process of evaluation is based on descrip-
large, complex simulation) should have complete tion, deduction, and judgment. Observers need to
authority over the drill and must ensure that it evaluate actions, not people. They must do so as
fulfills its objectives. Using the flow of emergency objectively as possible, without interfering with
messages, the exercise controller can speed up or the course of the exercise, unless there is a safety
slow down play in order to maintain the momen- problem. Evaluation should involve describing the
tum of responses. The controller must solve prob- actions taken by players and judging them in rela-
lems as they occur and finally stop the exercise tion to the objectives of the exercise. This needs to
once it has met the defined objectives—or if it be done in a spirit of detachment, above all from
goes seriously wrong. personal considerations. It is as well to remember
The simulators are responsible for sending that (excepting cases in which safety is compro-
emergency messages. They usually work in isola- mised) it is legitimate to make mistakes in exer-
tion from the players. All groups should be given cises providing that personnel and organizations
a full briefing on the aims, scope, and nature of learn from them. The evaluators will be called
the exercise (Figure 1), with subsidiary briefings upon to collate their observations and judgments
to explain particular roles. All participants are in order to review the progress of the exercise.
required to monitor safety and empowered to call It is vital that evaluators do all they can to
a halt to operations if it is compromised. There maintain their objectivity. Tiredness, prejudice,
should also be one or more safety officers who prejudgments, and preconceptions can all threaten
are concerned with nothing else. An evaluation this. Moreover, personnel who are under obser-
of risks to safety should be conducted before the vation may react to the presence of the observer.
exercise is launched. Nonetheless, evaluators need to avoid being either
Because the general aim of drills and exercises too lenient or hypercritical. They need to steer
is to learn lessons in order to improve future clear of bias, distraction, and preconception, and
 Disaster Drills 277

they need to maintain their motivation even after The final report should offer a comprehensive
many hours of observation. It thus helps to select picture of the exercise. This includes its motivation,
observers from among people who have appro- objectives and scope, a description of preparatory
priate personalities and experience. activities, and a list of participating organizations.
The progress of the exercise should be described,
The Final Outcome accompanied by an assessment of positive and neg-
The work of the evaluators and the learning ative developments. Recommendations for train-
experience of other participants need to be dis- ing, improved practice, new equipment purchases,
tilled into a final report on the exercise (Figure 3). and other aspects should be made. Once again, the
Debriefing should be conducted for each group purpose is not to incriminate poor performers but
and perhaps for the entire cast of participants. to ensure development and improvement of the
“Hot” debriefing takes place immediately after practice of responding to crises.
the close of play and enables first impressions to In the emergency response field, there is an
be recorded, along with information that might unfortunate tendency to consider drills and exer-
otherwise be forgotten. “Cold” debriefing takes cises as one-off, unique initiatives. The better
place after an interval of time, perhaps a cou- strategy, albeit one that is more expensive, is to
ple of days, during which the participants have make these events part of a long-term process of
been able to reflect on their experiences. In the improvement. In this, next year’s drill will build
debriefing, information is shared, perspectives upon the results of this year’s exercise. Not only
are compared, suggestions for improvement are does this make the process of learning and improv-
recorded, deficiencies are noted, and training ing cumulative, but it also ensures that experience
needs are identified. and lessons are not lost, as can happen when
there is a high staff turnover or real emergencies
are quite uncommon. In summary, disaster drills
are memorable, potentially valuable events that
can be used creatively to improve the capacity to
deal with emergency situations.

David Alexander
Global Risk Forum, Davos

See Also: Collaboration; Continual Improvement;

Coping Capacity and Response Capability; Crisis
Simulations; Debriefing; Exercises; Pre-Crisis Training
and Planning; Simulations; Training.

Further Readings
Cabinet Office. Exercise Planner’s Guide. London:
UK Cabinet Office, 1998.
Callan, Tony. “So, You Want to Run an Exercise?”
Australian Journal of Emergency Management,
v.24 (2009).
Center for Health Policy, Public Health Emergency
Exercise Toolkit: Planning, Designing, Conducting,
and Evaluating Local Public Health Emergency
Exercises. New York: Center for Health Policy,
A mass-casualty field exercise in Tuscany, Italy, involving groups Columbia University, 2006.
of medical responders and the setting up of a field medical Federal Emergency Management Agency. “Exercise
post. Frequent disaster drills should be considered crucial for Design.” Washington, DC: Emergency Management
emergency teams, which may have high staff turnover. Institute, FEMA, 2003.
278 Disaster Recovery

Federal Office of Civil Protection and Disaster a minority of people, affecting some 10 percent
Assistance. Guideline for Strategic Crisis in major disasters. Other problems include clini-
Management Exercises. Bonn, Germany: Federal cal depression, anxiety, or behavioral problems.
Office of Civil Protection and Disaster Assistance, Some people with preexisting difficulties may find
2011. their symptoms exacerbated. However, the more
Lonka, Harriet and Jean-Luc Wybo. “Sharing of common experience is a transitory adjustment,
Experiences: A Method to Improve Usefulness of where symptoms of distress may be common,
Emergency Exercises.” International Journal of lower in severity, and relatively short-lived. For
Emergency Management, v.2 (2005). this larger proportion of the population, ensuring
Michigan Department of State Police, Emergency that their basic needs (food, water, shelter, secu-
Management Division. Disaster Exercise Manual: rity, and family reunification) are fulfilled in the
Guide for Exercising Emergency Operations Plans. immediate aftermath assists their recovery. Train-
Lansing, MI: Michigan Department of State Police, ing in basic psychosocial support for responders
2004. delivering the basic necessities allows them to
Ohio Emergency Management Agency. The Ohio deliver these in a supportive, enabling way so that
Hazardous Materials Planning and Exercise those affected can start using their own personal
Guidance Booklet. Columbus, OH: Ohio resources to start coping.
Emergency Management Agency, 1999. Some people may continue to experience a nat-
ural reaction of mild to moderate psychological
distress in the medium term, despite their basic
needs having been met. For this group, a two-
fold approach is useful. A wide-ranging needs
Disaster Recovery assessment will inform community-led, culturally
appropriate, agency-supported psychosocial sup-
Disasters affect people and communities, disrupt port activities. These may help families process
societal functions, damage or destroy essential their experience and adapt to changes in a post-
infrastructure, and interrupt economic activity on disaster world.
a scale that means that recovery can take months Intervention can reassure people that their
or years. Recovery strategies typically treat feelings are understandable, common, and to be
mental health, social, economic, and infrastruc- expected given their experience. People should be
ture recovery independently. However, effective advised of typical symptoms and reactions (e.g.,
recovery requires acknowledging their interde- flashbacks), how they change over time (e.g.,
pendence. For example, mental health and social anniversary effects), and that the course and time
recovery increase the likelihood of people being taken to recover differ substantially from one per-
available to assist physical recovery and rebuild- son to another.
ing efforts and to support business and economic Community support is helpful. This can be
recovery (as employees and customers). Busi- delivered via individual, family, or group-level
ness recovery provides employment and sustains interventions that directly address the psycho-
economic vitality. Social and business recovery logical symptoms for affected persons and those
ensures the availability of a workforce to repair whom they are concerned about (e.g., children,
services and infrastructure. This article draws on other community members). Children recover
mental health, social and community, business, well if their routines are quickly reestablished.
and infrastructure recovery to illustrate compre- Returning to their school schedule allows them
hensive disaster recovery. to keep up learning and to recover in a known,
supportive, social environment. Parents are then
Mental Health freed to focus on the myriad tasks they need to
In a disaster, ordinary people and emergency work- address in the recovery phase.
ers respond in several ways. Past experience indi- Psychological first aid, delivered by trained per-
cates that serious mental health difficulties such as sonnel, can be useful in this context. For those
post-traumatic stress disorder are problematic for more seriously affected, or whose difficulties
 Disaster Recovery 279

persist for an extended period of time, more spe- systems if entire communities are affected, and
cialized, professional services should be made rural self-reliance reducing people’s willingness to
available. seek or use external assistance.
Often, mental health issues become evident It is important to appreciate that vulnerability
later. An attitude of “watchful waiting” can detect and strength factors coexist. People possess both
many of those requiring assistance, but more pro- at any one time. It is how disaster consequences
active approaches should also be prepared. Basic interact with the relative balance of strengths
training on common reactions in disaster events is and vulnerabilities that influences the course and
recommended for local general practitioners and nature of social recovery. However, because all
teachers who are in the front line of meeting the people and communities have strengths, strengths
needs of affected populations. The effectiveness represent a starting point for all social recovery
of these activities can be enhanced by integrating activities. Coexisting vulnerability factors should,
mental health and social recovery initiatives. however, be accommodated in planning and used
to predict differential rates of recovery. Focusing
Social and Community on strengths helps all people confront issues in
Social recovery starts with assuming that survivors ways that promote natural recovery.
possess resources and strengths that help them
deal with challenges under normal circumstances. Intervention Objectives
Intervention identifies and mobilizes existing Recovery is built on communicating with com-
strengths and uses bottom-up approaches based munities to clarify what has happened; what is
upon participation, empowerment, and trust to likely to happen over the short, medium, and long
assist people to apply them in extraordinary cir- term; and helping people identify the strengths
cumstances in which usual routines, coping, and and resources they can use to assist their recovery.
support resources have been overwhelmed by the However, the atypical and challenging circum-
atypical and intense physical, social, and psycho- stances of the post-disaster environment mean
logical demands presented by the disaster. This that people benefit from guidance on identifying
process starts by ensuring access to social support. issues and applying their strengths to tackle them.
Social support helps people deal with emo- Intervention focuses first on short-term goals.
tional (e.g., grief, anxiety), tangible (e.g., child Focusing on-short term goals prevents people
care, financial), and informational (e.g., about being overwhelmed by the number and magni-
recovery, assistance programs) issues. If support tude of recovery issues they face from environ-
resources are facilitated by external agencies, they mental, home, and employment disruptions. It
should accommodate local culture, needs, and helps people regain a sense of control and allows
expectations. A supportive social environment them to practice using their problem-solving,
provides the foundation for other social recovery decision-making, planning, and implementation
initiatives. skills to tackle issues in ways that are more likely
While focusing on strengths, it is important to to be successful. This helps people build the com-
acknowledge that people and communities pos- petencies and confidence to work on other recov-
sess characteristics that make them vulnerable to ery challenges over time.
experiencing loss and mental health problems. Recovery planning places considerable impor-
Recovery planning must accommodate both. tance on accommodating spiritual and cultural
Strengths include spiritual and cultural prac- values and practices (e.g., rituals and ceremonies)
tices, active coping styles, collective efficacy, in needs assessment and intervention planning,
and community competence. Vulnerability fac- design, and evaluation. This process can be expe-
tors include learned helplessness and community dited by working with community leaders. Work-
fragmentation. In rural communities, vulner- ing with local leadership to accommodate spiri-
ability encompasses, for example, lower levels of tual and cultural practices increases the validity of
resourcing, economic activity more susceptible to intervention, empowers communities, builds trust
disaster-related losses (e.g., agriculture, fishing), between the community and professional agen-
agricultural and livestock losses, loss of support cies, reduces community dependency on external
280 Disaster Recovery

Case Study: Recovery After an Earthquake in Canterbury, New Zealand

The earthquakes in Canterbury, New Zealand, from has important effects on populations’ recovery,
2010 to 2012 created unprecedented demands resilience, and adaptive capacity. Recovery
on agencies tasked with disaster recovery. An was understood to encompass individuals and
earthquake sequence of this nature and extent in society coping positively with a disaster that has
Canterbury was unanticipated, and the multiple psychosocially and physically changed.
agencies involved needed to rapidly coordinate their Advisory group collaborations have highlighted
recovery planning. The earthquake on February practical components of a strength-based approach
22, 2011, highlighted an acute need to garner a to recovery: assisting goal setting and problem
breadth of New Zealand and international disaster solving, social support, appreciating cultural and
recovery expertise to help inform the many facets spiritual practices and community diversity, and the
of a rapidly developing recovery context. To pursue importance of coordination and integration.
this objective, a Psychosocial Recovery Advisory The advisory group also seeks to advocate the
Group was formed to help support organizations resourcing of integrated monitoring and evaluation
involved in the recovery process. This advisory that, like other aspects of longer-term planning,
group reviews and summarizes evidence-based could be easily neglected within the ongoing
research findings for those who make requests for challenges of recovery in the Canterbury region.
such information. Extensive experience within the The group has focused on maintaining an ability
group adds a practitioner perspective to this advice. to cooperate and collaborate effectively, building
The advisory group utilized empirical evidence to strength from the diversity of member backgrounds
underpin the delivery of timely but quality advice. and approaches. A recovery process is a vast activity
This evidence highlighted the need to provide where different perspectives and conflicting needs
many levels of intervention, ranging from the operate simultaneously. In a disaster recovery
general provision of basic living requirements and situation, these conflicting demands and interests
psychosocial support to specialized interventions can lead to ineffective dynamics. The advisory group
for a small proportion of the population suffering has found a modus vivendi of functioning together to
from the impact of individual trauma and related produce documents and support for clients, despite
difficulties. All advice focused on a psychosocial having diverse interests and frameworks. A clear
approach that aims to ease physical and demarcation of roles and processes within the group,
psychological difficulties for individuals, families, along with flexibility when responding to demands, is
extended family (whanau), and communities, as well a factor in developing this efficiency.
as building and bolstering social and psychological An advisory group that can take time to research
well-being. This entails addressing vulnerabilities and reflect, to take a step back from operations to
as well as looking for and enhancing the strengths examine and search for pertinent material, can be a
of affected individuals and communities, including positive element in disaster recovery settings.
cultural practices. The broad nature of psychosocial To date, the group has worked with numerous
recovery goals demands collaboration between key agencies, including the Canterbury District
an extensive range of professionals such as Health Board, the Ministry of Social Development,
psychologists, sociologists, emergency managers, the Ministry of Education, the prime minister’s
economists, and urban designers. chief science adviser, and the Christchurch
The group’s working definition of psychosocial Earthquake Recovery Authority. The group has
recovery includes aspects of mental health needs responded to requests by researching and providing
and psychological support alongside communities’ evidence-based advice on specific aspects of
capacity to respond and adapt in the face of psychosocial recovery processes and the style
adversity. This definition also focuses on the and scope of interventions. An advisory group can
importance of community participation and play a positive role in recovery, beyond the initial
engagement within recovery governance, which planning stages.
 Disaster Recovery 281

resources, helps maintain community identity, safeguard existing systems (e.g., digital backup
and sustains culturally appropriate support sys- and/or substitutes) to facilitate continuity of core
tems. Recovery planning should accommodate business. Recovery planning should accommo-
demographic diversity. Despite experiencing date issues such as conducting core operations
the same disaster, certain groups (e.g., children, away from headquarters, dealing with casualties
elderly people, and people with chronic illness or and deaths among staff, and reconciling work
disability) present unique recovery needs. Peo- and family needs. Plans should be developed in
ple who are injured; have lost family members, a consultative manner to ensure they are familiar
homes, and livelihood; or been relocated also to and accepted by staff, and be linked to training
present unique needs, as do family members living programs and exercises. Collaborative planning
in other parts of the country. This diversity must provides staff with evidence of organizational
be accommodated in needs assessment, response concern for their welfare and a shared respon-
planning (e.g., diversity in support needs), and sibility for recovery, sustains staff loyalty, and
intervention. Social recovery is also dependent on ensures the availability of a supportive culture.
business recovery. The effectiveness of business recovery is depen-
dent on infrastructure recovery.
Business Recovery
Business recovery facilitates business survival, Infrastructure Recovery
protects people’s livelihoods, and sustains social A community’s infrastructure, such as roads,
and economic vitality in disaster-affected areas. electricity supplies, water, and waste water, pro-
Businesses that sustain their activity or recover vides essential services, utilities, and linkages that
quickly can assist recovery for employees (such as support day-to-day community activities and
by social support) and the community (by provid- represent mechanisms used to respond to and
ing things like donations of cash, technical exper- recover from disasters. Many of these functions
tise, and equipment). are vulnerable to disruption and/or damage from
Business continuity (recovery) planning is an a disaster. Because these systems are often large,
important, but often neglected, issue. A survey in complex, and interdependent, failure of one part
2008 in the United States identified that while 96 of the system causes impacts in other parts, fur-
percent of senior executives surveyed acknowl- ther increasing a community’s vulnerability. Pre-
edged that their business was exposed to natu- event recovery planning is essential for making
ral hazards (e.g., hurricanes, earthquakes), fewer systems resilient. Once the vulnerability of a sys-
than 20 percent had developed business continu- tem has been assessed and vulnerable elements
ity plans to cover such eventualities. identified, mitigation strategies can be developed.
Businesses must plan to recover from direct Three types of approaches can be used: policy
(e.g., damaged building) and indirect (e.g., loss of and management measures that reduce the like-
power and telecommunications, damaged roads) lihood of damage and/or failure, engineering
interruptions to their activity (e.g., loss of/inabil- design measures that reduce the vulnerability,
ity to access premises; loss/damage to equipment, and preparedness and response planning to deal
goods, and materials; inability to acquire and dis- with the consequences of the event. In the recov-
tribute goods and materials; employees unable to ery phase, the rapid restoration of key infrastruc-
get to work; and loss of critical data) and changes tural functions reduces both social and economic
in patterns of consumption. Affected populations impacts and facilitates improved recovery out-
may reduce consumption of nonessential goods comes. However, the initial recovery phase of a
and services (e.g., restaurants, cinemas). How- disaster is marked by high resource demand, so
ever, businesses meeting basic and recovery needs careful prioritization is needed to balance these
can, if prepared, take advantage of increased competing demands to optimize the benefits to
demand for things like building and infrastruc- the wider community.
ture reconstruction. Public and medical services also play key roles
Business continuity planning should develop in disaster recovery. By managing interdependen-
crisis management and information systems and cies between them and mental health, social and
282 Disaster Recovery Life Cycle

societal, economic, and infrastructure recovery, occurred. The lines between these four processes
comprehensive disaster recovery can be facilitated. are fuzzy. Mitigation and preparation often
occur simultaneously and are complementary
Douglas Paton processes. Similarly, response and recovery over-
University of Tasmania lap as the initial response phase winds down and
Sarb Johal recovery begins. The actors (governments, busi-
Maureen Mooney nesses, nongovernmental organizations [NGOs],
David Johnston churches, militaries, etc.) involved in disaster
Massey University response and recovery often work to use the
momentum for change after a recent disaster to
See Also: Business Continuity Planning; Data encourage risk reduction, better infrastructure,
Recovery; Disaster Recovery Life Cycle; Health and and improved planning.
Medical Response Scenarios; Mental Illness; Post-
Traumatic Stress Disorder; Public Health Surveillance; Disaster Recovery
Recovery. The end of disaster recovery is unclear because
once a disaster has occurred, the physical and
Further Readings emotional impact on a community can be long
Dass-Brailsford, Priscilla. Crisis and Disaster lasting and hard to quantify. Disaster recovery
Counseling. Thousand Oaks, CA: Sage, 2010. begins after the disaster has occurred and there
McEntire, David A. Disaster Response and Recovery. is no longer a consistent threat to life and prop-
Hoboken, NJ: Wiley, 2006. erty, often overlapping with the second half of the
Miller, DeMond and Jason Rivera. Community response phase. Disaster recovery includes any
Disaster Recovery and Resiliency: Exploring activity or investment that was made in response
Global Opportunities and Challenges. London: to a disaster event to replace, repair, or improve
Taylor & Francis, 2011. private or public assets. The recovery phase ends
Nakagawa, Yuko and Rajib Shaw. “Social Capital: A when the previous disaster event is not used as the
Missing Link to Disaster Recovery.” International conscious or unconscious reason for any replace-
Journal of Mass Emergencies and Disasters, v.22/1 ment, repair, or improvement activity. The recov-
(2004). ery life cycle (RLC) is a step-by-step process that
Tierney, Kathleen J., Michael K. Lindell, and Ronald occurs during the recovery phase of disaster man-
W. Perry. Facing the Unexpected. Washington, DC: agement. Here the RLC is broken into seven com-
Joseph Henry Press, 2001. ponents that may overlap or even have a different
order, depending on the disaster and the people
and organizations working with the impacted
population and region.

Disaster Recovery Assessment and Recovery Coordination

Before recovery can begin, it is important for indi-
Life Cycle viduals and agencies to identify the state of the
impacted community. Typically, a central coordi-
Disaster (or emergency) management is typically nating body or authority emerges for each geo-
broken into four main processes (also referred graphic area to help ensure safety and continu-
to as phases): mitigation, preparation, response, ity of assessment activities in future operations.
and recovery. The first two processes focus on In cases where the disaster recovery operations
reducing the risk from potential future disasters are primarily performed by national actors, the
(mitigation) and making plans and structures government with jurisdiction helps coordinate
to deal with post-disaster efforts (preparation). assessment and recovery activities in accordance
Response and recovery are, respectively, the with whatever structures or plans are prescribed.
short-term (e.g., lifesaving) and long-term (e.g., Any actors from outside the impacted area
rebuilding) work that begins after a disaster has are required to conform to local standards and
 Disaster Recovery Life Cycle 283

limitations. In cases where a national government etc.) to return them to a usable state, and private
is overwhelmed by a disaster or poorly equipped property to make way for rebuilding activities.
to handle the scope of the recovery operation,
the United Nations may work with the national Rebuilding and Mitigating
government to perform management and coordi- Rebuilding is defined as the construction and over-
nation of the impacted areas. Assessment of the haul of previous and existing infrastructure to the
damage caused by the disaster and a needs assess- previous state. However, an important aspect of
ment for short- and long-term concerns are per- the rebuilding process is when construction proj-
formed by many of the actors during the recovery ects go beyond merely replacing what was lost,
phase, after the primary threats to life and prop- or returning damaged structures to a pre-disaster
erty have been neutralized. state, and focus on improving upon the pre-disas-
ter state while incorporating aspects of mitigation
Transitioning Out of Response into the design and development process. Criti-
Depending on the degree of damage to disaster cal infrastructure reconstruction is important and
survivors’ property and local infrastructure, it includes the water/sewage lines, electrical grid,
may be necessary to provide transitional hous- transportation network, and telecommunication
ing and services. Transitional housing serves as channels. Actors involved in the recovery process
an intermediate from emergency housing (stadi- have taken note of the momentum for real change
ums, churches, schools, community centers, etc.) and risk reduction that often follows a disaster
provided during the response phase and a return event, and it is important to capture this energy
to homes/communities of a “normal” pre-disaster to help improve infrastructure and procedures to
condition. Transitional housing provides a short- reduce the impact of future threats and hazards.
term solution to getting communities on a path
to recovery by returning public facilities to pub- Economic Revitalization
lic function while simultaneously giving survivors As the rebuilding process gets under way, develop-
space of their own. It is important that transitional ing and restructuring the local economy becomes
housing construction and allocation is equitable a high priority. It is critical to a successful recov-
and has buy-in from the impacted community. ery operation that improvement of the physical
However, provision of such quarters, along with infrastructure is accompanied by an economic and
basic water, health, and sanitation provisions, can social resurgence to fuel continued improvement.
complicate long-term recovery in the event that This process typically moves to central focus after
the temporary housing is more attractive to survi- the basic needs of the population have been met
vors than the pre-disaster housing situation. This and some sort of shelter and relatively consistent
potential conflict creates a moral hazard where feeding structure is in place. Actors involved in the
disaster managers must choose which level of recovery process may choose to focus on produc-
amenities and comfort to provide disaster victims tion and purchase of locally produced goods rather
that meets needs but also encourages continued than importing necessities and labor from outside
progress and locally driven development. the disaster area. Local businesses may rebound
It is important to provide transitional activi- with the influx of recovery investment (e.g., res-
ties for the local populace that generate buy-in taurants or hardware stores), while local farmers
for economic and social redevelopment, Schools and businesses without a clear disaster niche may
returning to session, even in a limited capacity, attempt to rebuild using government grants and
help provide children with daily tasks. Similarly, loans, private investment, or insurance payments.
providing good transitional work is important The return of economic stability is a long process
to help the local workforce gradually return to a but is a critical piece of the recovery life cycle.
productive state, while also avoiding overstimula-
tion in any particular sector of the economy. One Local Empowerment
key component of the transitional period is the As the recovery process progresses, the presence
clearing of debris left by the disaster from infra- of external actors in the daily life of the local
structure (roads, bridges, waterways, electric grid, populace (increase in traffic volume, higher prices
284 Disaster Recovery Plan Test Cycle

for basic commodities, etc.) may begin to become See Also: Catastrophe, Definition of; Critical
more apparent. However, because external gov- Infrastructure; Damage Assessment; Disaster,
ernment agencies, private businesses, and other Definition of; Disaster Assessment; Disaster Recovery;
actors have been performing essential services in Disaster Recovery Plan Test Cycle; Emergency
the disaster-affected area, the transition of con- Manager; Federal Emergency Management Agency
trol and ownership of the recovery process must (FEMA); Hazard Mitigation; Incident Management;
make a gradual shift toward locally driven efforts Incident Response.
for improvement. External actors may choose
to reduce their involvement and hand opera- Further Readings
tions over to local partners or subsidiaries. In Coles, John B. and Jun Zhuang. “Decisions in
some cases this process can take months or years, Disaster Recovery Operations: A Game Theoretic
depending on the culture, level of destruction, Perspective on Organization Cooperation.”
and future aspirations of the local populace. Journal of Homeland Security and Emergency
Management, v.8 (2011).
Exit of External Actors From Disaster Area Coles, John, Jun Zhuang, and Justin Yates. “Case
The eventual exit of external actors from the Study in Disaster Relief: A Descriptive Analysis
impacted areas is a significant transition period of Agency Partnerships in the Aftermath of the
and a good test of the stability of the revitalized January 12th, 2010 Haitian Earthquake.” Socio-
local economy and social will toward improve- Economic Planning Sciences, v.46/1 (2012).
ment. Local businesses that grew up around the Federal Emergency Management Agency. “National
recovery effort (construction businesses, etc.) must Response Framework.” (January 2008). http://
refocus or move into new arenas of work as the www.fema.gov/pdf/emergency/nrf/nrf-core.pdf
relief money begins to dry up. Insurance money (Accessed March 2012).
provided to home and business owners tends to Haddow, George, Jane Bullock, and Damon Cappola.
have already disappeared by the time the external Introduction to Emergency Management. Oxford,
actors move on. New procedures and mitigation UK: Elsevier, 2008.
techniques will be tested for the first time to see Kapucu, N. “Collaborative Emergency Management:
if they were viable and sustainable improvements Better Community Organizing, Better Public
upon the pre-disaster state. Preparedness and Response.” Disasters, v.32/2
(2008).
The New “Normal” Lindell, Micheal, Carla Prater, and Ronald W.
A new “normal” is developed as the local popu- Perry. Introduction to Emergency Management.
lace incorporates the past disaster into local cul- Hoboken, NJ: John Wiley & Sons, 2007.
ture and customs or ignores the warnings and Maiwald, Eric and William Sieglein. Security Planning
possible danger. An effective recovery operation and Disaster Recovery. New York: McGraw-Hill,
should avoid returning a community to its origi- 2002.
nal state without some improvement or altera-
tion to reduce future hazard vulnerability. How-
ever, during this stage of the recovery life cycle,
the local population is primarily responsible for
deciding whether the change in lifestyle, culture, Disaster Recovery
and outlook is worth the cost. Ideally, this is the
stage where mitigation and preparation will have Plan Test Cycle
reduced the risk from future disasters, and the
local community will continue to develop and According to federal information processing stan-
grow while integrating the lessons of the past. dards (FIPS), a plan untested is presumed not to
work. Plan testing is not only necessary for the
John B. Coles good of the organization but also required by
Jun Zhuang regulatory agencies in most cases. The test offers
State University of New York, Buffalo benefits, though, including a determination of
 Disaster Recovery Plan Test Cycle 285

whether the recovery process actually works and first World Trade Center attack, Y2K, and 9/11.
whether the alternate site is adequate. It also Another study, this by KPMG, indicated that half
helps to establish that the assorted teams work- of DRPs evaluated met an acceptable share of
ing on recovery have suitable procedures or that their recovery goals.
procedures are deficient and team members and Natural disasters such as hurricanes and earth-
managers need additional training. It also pro- quakes generally encourage businesses to either
vides assurance that the organization really can develop or update the organizational disaster
recover from a disaster. recovery plan. But the plan means nothing if it’s
The events of 9/11 revived interest in planning, not tested before, during, and after implementa-
with 54 percent of 320 surveyed information tech- tion. Testing determines whether the plan is effec-
nology (IT) professionals responding that the World tive or “wallpaper,” so the test must be as care-
Trade Center and other attacks would change their fully developed as the plan is.
disaster recovery plans (DRPs) and 65 percent Test results cannot be 100 percent certain. That
anticipating a rise in spending on IT disaster recov- is too expensive, disruptive, and cumbersome, so
ery. The disaster recovery plan shifted from being a it is essential to define what business processes to
good idea to being an essential one, particularly as test. Before testing anything, review the DRP list of
management came to see its necessity rather than business-critical processes, determine whether the
its expense. Staff and financial shortages and com- list is current, and double-check priorities based on
plexity were still deterrents reported in the Disas- business impact analysis and risk analysis (threats,
ter Recovery Journal survey of May–June 2001. vulnerabilities, safeguards). High business impact
Management commitment comes when managers analysis (BIA) and risk assessment (RA) scorers
are made aware of the impact on their business, are obvious choices for testing. For the less obvi-
when risk and outcome analyses are presented ous processes, a ranking system based on hard data
in terms understandable by managers, and when rather than subjective evaluation is necessary.
managers know that an untested DRP is a virtually
guaranteed real-world failure if activated because Prioritizing
its assumptions are untested. Like any plan, like The Business Continuity Institute of London sug-
any part of business or life, the DRP is not a docu- gests a four-step process of prioritizing: first, iso-
ment but a dynamic process, and it requires regular late testable processes; second, reassess the BIA
maintenance and testing. on a scale of zero to five; third, reassess the RA
on the same scale; and finally, matrix the BIA/RA
Limiting Factors results and, using an agreed-to score as the test-
Testing varies according to size of facility, reli- ing level, select items fitting the standard. If the
ance of the organization on IT, user expectations data are current and the boundaries for testing
regarding level of service, acceptable downtime are management determined, then there is a rea-
and contingency processing time, number of loca- sonable set of processes that should be tested.
tions included, and costs of testing. Each is a lim- The plan testing should also involve collateral
iting factor. skills, not just recovery of critical systems. Disas-
Disaster recovery is often a paper exercise. ter skills include first aid, competence in breathing
Organizations draft a plan, management blesses apparatus and fire extinguishers, evacuation of
it, and the paper or electronic copy goes onto a personnel and resources, emergency communica-
literal or figurative shelf, never to be seen again tions, and shutdown for utilities as well as equip-
until time for an update. Disaster Recovery Jour- ment. Recovery personnel need current training
nal reported in 2001 that its online poll of May or education in these special skills, with multiple
and June that year indicated that of 2,223 respon- competencies when possible. These collateral ele-
dents, 65.5 percent had not tested their DRP in a ments can determine the success or failure of the
decade, and another 26.32 percent had tested it plan as well as the speed with which it takes place.
one to three times in the same decade. The 10 years That is the easy part. Having determined what
in question included earthquakes, hurricanes, the to test, the issue is how to test. Constraints at this
Murrah Building bombing in Oklahoma City, the point include maximum testing of the DRP, costs
286 Disaster Recovery Plan Test Cycle

and service disruptions kept below the prohibi- expectations. For the DRP to remain relevant, at
tive level, tests actually measuring capability to the end of each phase or each exercise, there must
recover, and test results actually going into the be a debriefing, audit, and analysis so that the test
upgraded DRP. plan used for the next phase or exercise is valid.
Limited-scale testing allows correction and
Testing Cycles elimination of logistical errors that might prove
Organizations can perform their own structured to be major problems in full-scale testing. The
walk-throughs, checklists, simulations, parallel DRP testing environment, because it is limited
tests, and full interruptions. They can also incor- and minimizes cost and disruption to people and
porate into the plan, if not the testing cycle, the products, is a low-pressure exercise that promotes
out-of-cycle real-world disasters or problems, education without duress. The plan cycle becomes
an opportunity for ad hoc documentation and part of the work environment, and disaster recov-
incorporation without test preparation. Having ery is something that all workers are prepared for.
established the goals and constraints, the planner
next develops a cycle, a phased sequence of tests Checklists
that employ assorted methodologies, that become Checklists are cheap to create, implement,
increasingly complex as the cycle progresses, that and maintain, suitable for team exercises, and
are assessed individually as they occur, and that extremely valuable. They are handy for rating key
allow for incorporation of improvement and procedures, emergency call trees, adequacy and
error correction before the following phase. If the currency of tape library and operational manuals,
cycle is done properly, it will have tested every and other documentation.
aspect of the plan by the time it’s done, and it A checklist test allows verification of amounts
will have tested and updated many portions of the of supplies at the alternate site, telephone num-
plan several to many times. The test cycle is itera- ber currency, availability of adequate numbers of
tive, so the DRP remains dynamic, always chang- forms, and availability of copies of the plan and
ing as hardware and software change, as configu- operation manuals. The team examines the plan
rations adjust, and as business processes change for key elements, then uses the checklist to make
in response to new market needs and service sure the organization has all those elements.

Walk-Through and Tabletop Exercises

Walk-through exercises are an opportunity for
team members to go through the plan-specified
steps to identify bottlenecks, gaps, and other
shortcomings and to determine the adequacy
of the entire sequence. Checklists are useful in
walk-throughs once the checklists are validated.
The walk-through brings in more people, more
knowledge, and more experience, and it familiar-
izes more staff with DRP procedures, equipment,
and off-site facilities.
The tabletop is a conference room walk-
through, step by step. Tabletops reveal whether
team members know what they’re supposed to
do in the emergency. They also reveal missing
and inconsistent information and documentation
errors. The combination of checklist and walk-
With funding from the Department of Homeland Security Customs through should suffice to modify the plan before
and Border Protection, Sandia National Laboratory is fine-tuning undertaking more ambitious test types.
an interactive gaming platform (above) known as Ground Truth, A tabletop should be built into the cycle every
which is designed to prepare crisis managers for terrorist attacks. two to three months and take 90 to 120 minutes,
 Disaster Recovery Plan Test Cycle 287

with a 30-minute debriefing to follow. A func- at a hot site or alternate site. If the alternate site
tional test is a simulation and should take 90 reports agree with those of the actual business,
minutes to four hours and occur each three to then the test is satisfactory. This test is the most
six months. A full-scale test should not last more advanced and requires incorporation by the tester
than two to eight hours and should occur every and test of all previous lessons learned. Parallel test-
four months, if not more often. ing uses historical transactions against the appro-
priate backup files, usually yesterday’s transactions
Simulation and backups, at the hot site. If reports at the hot
Another element of the cycle is the simulation. Sim- site and home site match, the systems work.
ulations can be done without disruption to the nor-
mal operation of the facility. Ideally, a simulation Full-Scale
provides vigorous testing of all assets—hardware, The least common test is the full-interruption test
software, personnel—as well as communications, in which all elements of the DRP are activated
supplies, transportation, utilities, documentation, at once. It is expensive and probably disruptive
forms, and procedures. Testing of alternate site to normal operations and must be approached
processing is also desirable. But simulations, for cautiously with full incorporation of all previous-
cost and other constraint reasons, will not nor- phase lessons learned. Full interruption testing
mally entail major transportation, relocation of is expensive and should be used carefully, not at
equipment, or shutting down of data or communi- critical processing times, and be of a reasonable
cations. Alternatives for measuring these elements duration to measure responses.
are found in validated checklists. A simulation is
more advanced than a walk-through or checklist Enhancing Effectiveness
and can occur legitimately only after those tests All tests produce surprises, but the goal of testing
have taken place and had their results analyzed is not perfection but the reduction of error, and
and validated. Incorporation of lessons learned the cheapest way to reduce the likelihood of error
from earlier exercises or phases is a key component in the advanced tests is to use the checklist and
of any disaster recovery plan testing cycle. walk-through properly early on.
Simulation testing pretends a disaster while the A test cycle does not require use of all of the
organization continues its daily functioning. The advanced methods, but it should include the two
scenario should be realistic and appropriate to the lower-level tests—checklist and walk-through—
purpose and objectives of the test, the type of test and at least one advanced test.
used, timing, scheduling, and the like. Simulations An effective test cycle requires an effective and
can test notification procedures, temporary oper- broadly skilled team, including management,
ation, and backup/recovery. The simulation needs finance, legal, personnel, security, and the owners
to test hardware, software, communications, sup- of the process being tested. Multiple owners need
plies, forms, personnel, utilities, transportation, to be represented for most tests, which tend to
and alternate site. It does not necessarily involve overlap systems (that do not run in isolation nor-
actual travel or movement of equipment or the mally). The actual tests are run by security, safety,
shutdown of voice or data lines. and audit personnel.
The simulation uses recovery sites, backup sys- The output of the testing cycle phases and of
tems, possibly teams sent to alternate sites, and the test cycle itself is an audit and analysis for
other resources. Simulations approximate full- lessons learned and improvement. Each phase
scale tests and work best when they incorporate is stand-alone for auditing, and the final audit
scenarios of various types. They reveal staff issues is of the overall test cycle—training, awareness,
about who does what. organization and administration, documentation
management, security of vital records, supplier
Parallel Testing performance, logistics, contracts and agreements,
Parallel testing can take place in conjunction with and the overall cycle’s structure, content, and
a checklist or simulation. Parallel testing involves activity as well as success or failure of individual
using historical transactions against backup files elements and the overall cycle.
288 Disaster Recovery Plan Test Cycle

At the end of the cycle, the test administrator impacts, perhaps preventing disasters altogether.
has to verify that the current DRP contains all Tests range from the simple to the extremely com-
changes from the cycle and that it is ready for use plex. Testing requires management backing, and
in planning the next year’s test cycle. The man- it takes time to prepare and carry out a test. Also,
agement summary must highlight changes due to tests take money. To work, they have to have a
lessons learned as well as areas where, in a real well-developed and structured process, and the
disaster, crises might have arisen. Management process has to be followed from pre-test through
must know the criticality of making DRP part of the post-test assessments. To make testing more
every individual in the organization, and testing convenient, companies such as SearchDisaster
costs should be identified in tangible and hard Recovery.com offer templates and guides. The
numbers and budgeted for in the upcoming year. company promises its guide will teach how to
Test plans must identify the type of disaster for conduct the test, whom to involve, and how to
the given scenario, extent of damage, staffing and create an effective testing strategy. The template
equipment losses, backup options, recovery capa- is free, and it contains sections on the concept of
bility, and time/duration of the exercise. Respon- continuity testing, how to use the template, a glos-
sible personnel should be identified, along with sary, and a section on effective testing strategies.
their particular roles. Tests should at first be only
partial so that each part is known to be work- Conclusion
able before the full test begins. After-hours or Beyond the formal cycle, additional testing is
weekend testing may be desirable at first to mini- desirable. Orientation tests are the introduction;
mize disruptions, but eventually no-notice test- they require no prior experience, they orient new
ing becomes desirable if the organization wants staff, they should occur monthly, and they should
to demonstrate readiness. New or relatively new last 60 to 90 minutes. Drills test specific func-
plans should be tested every three or six months tions, need to be done realistically and test actual
for the first year, followed by semi-annual tests or responses, involve all levels, occur once a month,
annual tests, depending on outcomes. and take 10 minutes to an hour.
Testers should log events during the test so Plans degrade over time because organizational
they can incorporate their findings in the results. evolution, incorporation of new products, and
Testing has to include feedback to the disaster changes in policy and procedure produce a new
recovery team about the state of their plan. The environment that the old plan may no longer cap-
team, generally key managers, should evaluate the ture or measure. The plan has to remain current
results and recommendations for change, so the regarding hardware and software and other key
test has to include elapsed times for each activ- equipment. And planners have to consider per-
ity, amount of work performed, and accuracy of sonnel turnover as well as forgetfulness or disin-
each activity. The plan should be changed based terest in the plan if it’s left idle too long.
on the test results and become a more workable
basis for a more realistic recovery. It should also John H. Barnhill
be cost-effective and efficient, as it provides con- Independent Scholar
tinual process improvement and better-prepared
personnel. Effective testing should incorporate See Also: Disaster Recovery; Simulations; Training.
both scheduled and unscheduled testing of partial
and total disasters. Further Readings
For those companies unable or unwilling or Forsythe. “Disaster Recovery Situation Assessment.
unsure, there are contractors who will, for a fee, Client: A Global Materials Manufacturer.” http://
evaluate and improve the plan. Forsythe is typi- www.forsythe.com/na/clientstories/managerisk/dis
cal in identifying gaps in the plan, such as insuf- asterrecoverysituationassessment (Accessed May
ficient recovery capabilities to meet the compa- 2012).
ny’s goals, and finding corrective actions. The Gregory, Peter. IT Disaster Recovery Planning for
result of the assessment and correction is that the Dummies. Hoboken, NJ: John Wiley & Sons,
company has a plan capable of mitigating threat 2008.
 Disaster Risk Reduction 289

Kirvan, Paul. “Business Continuity and Disaster from occurring as well as reducing the vulnerabil-
Recovery Testing Templates: A Free Download and ity of those exposed to these hazards and increas-
Guide.” http://searchdisasterrecovery.techtarget ing preparedness and mitigation measures.
.com/feature/Business-continuity-and-disaster-re Disaster risk reduction has been gaining
covery-testing-templates-A-free-download-and broader awareness and acceptance by interna-
-guide (Accessed May 2012). tional agencies, governments, disaster planners,
Krocker, Guy Witney. “Disaster Recovery Plan and civil society organizations. This includes its
Testing: Cycle the Plan, Plan the Cycle.” (2002). importance as a tool for addressing disasters and
http://www.sans.org/reading_room/whitepapers/re development and humanitarian aid, as it is being
covery/disaster-recovery-plan-testing-cycle-plan understood that disasters do not need to occur as
-plan-cycle_563 (Accessed May 2012). they have been, as events become disasters where
Maiwald, Eric and William Sieglein. Security Planning people, property, heritage, and other elements are
and Disaster Recovery. New York: McGraw-Hill exposed to and vulnerable to these events.
Professional, 2002. One of the reasons that increased attention
Rothstein, Philip Jan, ed. Disaster Recovery Testing: to disaster risk reduction is being recognized as
Exercising Your Contingency Plan. Rothstein a means to minimize disasters goes back to the
Associates, 2007. United Nations World Conference on Disaster
Wold, Geoffrey. “Testing Disaster Recovery Plans.” Reduction (WCDR) held in 2005 in Kobe, Japan,
http://www.drj.com/drworld/content/w1_025.htm just days following the 2004 Indian Ocean earth-
(Accessed May 2012). quake. At this conference, it was seen that disas-
ter risk reduction was needed, but it was also
seen that a strategic framework for implement-
ing disaster risk reduction projects needed to be
defined to push international organizations as
Disaster Risk Reduction well as national governments beyond the inex-
plicit rhetoric typical of most policy statements
Over the last several years, disasters and their and toward establishing defined targets and com-
impact on lives, property, livelihoods, culture, and mitments to address disaster risk reduction. The
the environment have continued to increase. This first part of this process was the formal approval
includes both human-made and natural disasters. at this conference of the Hyogo Framework for
One of the more commonly referred to defini- Action. This has become the first internationally
tions for disaster risk reduction is the one used accepted framework for disaster risk reduction
by the United Nations agencies including the that has been accepted on an international basis
United Nations International Strategy for Disas- and has continued its implementation over the
ter Reduction (UNISDR) and the United Nations last several years. The Hyogo Framework sets out
Development Programme (UNDP): “The con- various objectives (outcome, strategic goals, pri-
ceptual framework of elements considered with orities, etc.). It contains five priorities for actions
the possibilities to minimize vulnerabilities and in order to address the main components needed
disaster risks throughout a society, to avoid (pre- for disaster risk reduction and is developed in a
vention) or to limit (mitigation and prepared- way that accounts for social, environmental, and
ness) the adverse impacts of hazards, within the economic context from local levels up to national
broad context of sustainable development.” It and global levels. These components include the
is the approach used to help limit disasters and following:
keep their impacts from occurring. In short, disas-
ter risk reduction includes the various actions • Making disaster risk reduction a national
related to reducing disaster-related risks and their and local priority and having a strong
adverse impacts through a systematic process institutional basis for its implementation,
of analyzing and managing the causes of events • Improving risk information and early
and what makes them disasters. This typically warning,
includes avoiding/preventing hazardous events • Building a culture of safety and resilience,
290 Disaster Risk Reduction

• Reducing the risks in key sectors, and • Emergency response characteristics

• Strengthening preparedness for response. • Operational/functional characteristics
• Schedule
Disaster Risk Reduction Planning
There are several steps in the process of develop- Phase 2: Establishing objectives. The overall
ing disaster risk reduction plans. Typically, they objectives should then be defined. These typically
include the following: reflect the common goal or mission of the vari-
ous stakeholders involved from top to bottom, as
each stakeholder likely possesses different objec-
• Gathering information and data tives. Objectives can be defined in a number of
• Establishing objectives ways, depending on the intention of the disaster
• Identifying performance criteria risk reduction assessment and what the preven-
• Understanding hazards tion and mitigation measures are supposed to
• Developing disaster risk reduction accomplish. Disaster risk reduction objectives
alternatives may relate to further understanding how various
• Evaluating and selecting disaster risk entities may be impacted by a disaster. These, for
reduction options instance, may be further broken down into peo-
• Documentation of the disaster risk ple (public, emergency response teams); property
reduction plan (site, contents, structure, collections, etc.); conti-
• Implementation of the disaster risk nuity of business operations and limiting down-
reduction plan time; protecting cultural heritage; and limiting
• Ongoing reviews and updates the impact to the environment before, during, and
after the event. When defining these objectives,
Development of Risk Reduction Plans one can also define objectives as to how manage-
There are nine phases in the development of ment, mitigation, and prevention measures can be
disaster risk reduction planning: (1) gathering implemented, for instance, limiting the aesthetic
information and data, (2) establishing objectives, impact to a historic structure from seismic brac-
(3) identifying performance criteria, (4) under- ing, or the installation of fire protection systems.
standing hazards, (5) developing disaster risk Objectives are likely not going to be the same
reduction alternatives, (6) evaluating and select- for everyone. They need to be developed and fit
ing disaster risk reduction alternatives, (7) doc- to each situation in a tailored manner and inde-
umentation of the disaster risk reduction plan, pendent from what may have been done or what
(8) implementation of disaster risk reduction worked for other assessments.
alternatives, and (9) updating the plan. One should be cognizant of the potential for
competing objectives; objectives for a given situ-
Phase 1: Gathering information and data. The ation may compete with each other. These should
development of disaster risk reduction plans typi- be appropriately assessed. This may occur, for
cally begins with gathering information related instance, with security-related and life safety–
to the people, location, hazards, vulnerabilities, related matters. For life safety, one needs to try
and project. Information that can help with the to contain heat and smoke while at the same time
establishment of the overall context of the disas- enabling occupants to exit and emergency respond-
ter risk reduction assessment may include some of ers to enter; simultaneously, security objectives are
the following: looking to limit access to a building and may even
block exits with security equipment (turnstiles,
• Stakeholders involved scanning machines, etc.) at entrances and exits.
• Culture/social environment
• Hazards Phase 3: Identifying performance criteria. Once
• Vulnerabilities the stakeholders’ objectives are established, then
• Regulatory environment they can be transformed into the more quantita-
• Overall resources: personnel, capital tive performance criteria. Performance criteria
 Disaster Risk Reduction 291

are thus the “metrics” that need to be developed cognizant of the previously established objec-
so one can more quantitatively assess the objec- tives. Additionally, one may undertake risk
tives against potential events and hazards. assessments that are intended to help stakehold-
In light of this, performance criteria can there- ers make informed decisions as to which specific
fore be defined by means that can be directly cal- alternatives would be anticipated to achieve
culated or measured. As an example, for a stock these objectives.
trading company this could be stated in terms of The stakeholders may need to further assess
maximum allowable downtime. For other types the mitigation measures against the impacts they
of hazards, performance criteria could be devel- entail—such as their costs and impact on other
oped in terms of the highest potential flood level. elements (such as environmental impacts), as
well as what resources are needed and whether
Phase 4: Understanding hazards. There can be it is a long-term sustainable solution—in order
numerous potential events or hazards that exist to inform decisions as to what is to be done to
that could lead to a disaster that a disaster risk develop an appropriate path forward. A cost-ben-
reduction plan is to address. There are numer- efit analysis is often quite useful in assisting with
ous hazard identification techniques to help one this part of the assessment.
condense the larger set of scenarios from “pos-
sible” to “credible” scenarios. This smaller subset Phase 6: Evaluating and selecting disaster risk
would represent more of a primary concern and reduction alternatives. Following the develop-
higher probability, and the hazards that need to ment of various disaster risk reduction alterna-
be further assessed. tives, it is then necessary to evaluate these alterna-
Following the identification of hazards, pos- tives to see whether each appropriately addresses
sible scenarios need to be further developed and the previously established objectives and perfor-
defined. These hazard scenarios provide addi- mance criteria. The assessment can be a qualita-
tional information and quantification of specific tive assessment and/or consist of more detailed
hazards so that they can be further assessed. In quantitative evaluations to help determine the
the case of fire, for instance, a scenario may go event’s probabilities. These assessments can also
further by quantifying and detailing the charac- help gain a further understanding as to the poten-
teristics of ignition, growth of the fire and spread tial damage that may occur.
to other objects, reaching a peak heat release rate, There are a number of different tools and
the duration of a steady burning period, and then methods available to assess these. These often
the characterization of the decay, and eventual range from more simplistic “back-of-the-enve-
suppression of the fire. lope” calculations through much more complex
computer analyses. This may also include assess-
Phase 5: Developing disaster risk reduction alter- ing historic events or conducting detailed proba-
natives. Once the hazard scenarios have been bilistic studies, including event trees, fault trees,
developed, then disaster risk reduction alterna- HAZOPS, and numerous other types of hazard
tives should be identified and developed to miti- and risk assessment tools. Following the assess-
gate these risks. Disaster risk reduction alterna- ment of these and a determination of which may
tives may include prevention measures, mitigation meet and not meet the previously selected per-
and physical protection measures, and regulatory formance criteria, appropriate alternatives can
requirements that impact codes of construction be chosen for implementation. It is important for
or use of lands or construction techniques. These the stakeholders to remember that this process
alternatives are often intended to help reduce the is an iterative one and that there may be sev-
physical vulnerability and/or exposure to the par- eral disaster-related prevention and mitigation
ticular hazard. For instance, they may include options that need to be assessed against the vari-
measures related to infrastructure (such as dykes ous events and hazards and the performance cri-
to prevent floods). teria. After the analyses are finished, stakeholders
There are numerous options available for have the ability to make more appropriate and
reducing risks. However, it is important to be risk-informed decisions.
292 Disruption of Organizations

Phase 7: Documentation of the disaster risk and that appropriate disaster-related prevention
reduction plan. Documentation of the process measures and mitigation measures are in place
and the results of each task, what led to the cho- and properly maintained so that they function
sen alternatives, and how each is to be imple- appropriately as needed.
mented is a key part of the process. This phase
assists in further understanding among the stake- Christopher E. Marrion
holders as to how the assessment was carried out Independent Scholar
and documents it for inquiries later and for future
developments, as this process is an iterative one, See Also: Emergency Responders; Prevention; Risk
as previously noted. The various assumptions and Analysis.
processes at this time need to be clearly defined,
as well as the objectives, vulnerabilities, and haz- Further Readings
ards. The uncertainties and variability surround- Custer, R. L. P. and Christopher E. Marrion. “Design
ing these assumptions should also be further to Manage Fire and Its Impact.” In Extreme
documented. Event Mitigation in Buildings: Analysis and
Design. Quincy, MA: National Fire Protection
Phase 8: Implementation of disaster risk reduc- Association, 2006.
tion alternatives. A strategy for the chosen alter- International Strategy for Disaster Risk Reduction.
native starts in part with the plan for implemen- “Living With Risk: A Global Review of Disaster
tation of the disaster risk reduction measures and Reduction Initiatives.” Geneva: UNISDR, 2004.
prevention strategy. This implementation strategy Marrion, C. “Disaster Management Planning.” http://
needs to include details such as prevention mea- www.marrionconsulting.com (Accessed May 2012).
sures, mitigation measures, costs, schedule, and Marrion, C. “Prevention and Disaster Management.”
priorities. For example, the basic concepts of pre- http://www.marrionconsulting.com (Accessed May
vention strategy may include limiting the hazard 2012).
from occurring and implementing mitigation mea- Society of Fire Protection Engineers and National
sures. For instance, for fire, limiting the hazard Fire Protection Association. The SFPE Engineering
would include such concepts as limiting ignition Guide to Performance-Based Fire Protection
sources by checking electrical wiring, separat- Analysis and Design of Buildings. 2nd ed. Quincy,
ing combustible materials from ignition sources, MA: SFPE/NFPA, 2007.
frequently removing rubbish, testing and main- Wisner, B., et al. At Risk: Natural Hazards, People’s
taining fire safety systems, keeping procedures Vulnerability and Disasters. London: Routledge,
for operations such as hot works, and training in 2004.
fire safety and evacuation. Mitigation measures,
on the other hand, may include egress systems,
detection and alarm systems, automatic suppres-
sion systems, compartmenting of the building to
limit fire and smoke spread, installation of equip- Disruption of Organizations
ment for firefighting operations, and protection of
the structure to limit premature collapse. Social organizations cannot function as expected
if they are disrupted by crises or disasters. Per-
Phase 9: Updating the plan. Noted above was the sonnel loss and facilities damage are two com-
concept that this approach is an iterative one and mon features of organizational disruption. Once
is continually ongoing and in need of review and a disaster happens, structure and tasks can be two
updating as necessary. Thus, it is important to dimensions of understanding the organizational
create awareness about the plan; provide appro- change.
priate training to the various stakeholders, par-
ticularly those working on-site; and also establish Disruption of Public Organizations
ongoing assessments so that new hazards, vulner- The reason people care about “disasters” is often
abilities, and risks are not introduced or created, not because of the hazard agent itself but because
 Disruption of Organizations 293

of its social disruption dimension. As E. L. Quar- worry about role abandonment or role conflict is
antelli, one of the pioneers in disaster research, not necessary.
posited, “a disaster can be identified only in terms “Role abandonment” means emergency first
of some features of a social occasion, that is, some responders would abandon their role as pub-
characteristics of the individuals and groups act- lic officials during a crisis, and “role conflict”
ing in the situation.” Because organization is the refers to the conflict between their public roles
basic unit of society, the understanding of orga- (such as firefighter) and their private roles (such
nizations’ disruption is critical for comprehend- as husband or father). Behavioral studies after
ing the nature of crisis and disaster. Disruption disasters in the last 50 years indicate that the
of organizations means that organizations are role abandonment phenomenon is rare, but it
broken apart or their normal functions are inter- does happen in some cases, such as Hurricane
rupted and cannot operate normally. Katrina. Perception studies that ask people how
In most countries, government agencies or the they might react in hypothetical scenarios tend to
public sector are the main first responders during conclude that widespread role abandonment will
major crises. The local community disruptions occur, especially in some pandemic situations.
would restrain the efficiency and effectiveness of
quick response. Personnel loss and facilities dam- Disruption of Business Organizations
age are the most significant disruptions for local Business organizations are essential for commu-
government. For example, in the case of the 2008 nity functioning because they provide products/
earthquake in Wenchuan, China, many local gov- services, employment opportunities, and taxes.
ernment agencies experienced a severe loss of Business organizations would also be devastated
personnel. In Beichuan, one of the most damaged during crisis and disaster. For example, in Santa
counties, about 20 percent of local officials died in Cruz, California, it was estimated that about
the earthquake. Some agencies, such as the Civil 60 percent of the downtown businesses were
Affair Department and Bureau of Education, lost destroyed or sufficiently damaged to require at
almost half of their staffs. A similar situation was least temporary closure due to the devastating
also observed in the 2011 Tohoku Great Japan Loma Prieta earthquake on October 17, 1989.
Earthquake and Tsunami. The tsunami killed Also, during the 1993 midwest floods, about
many local community leaders and destroyed 41 percent of the business organizations in Des
government buildings. The town of Otsuchi lost Moines/Polk County were forced to close for
its mayor, seven senior staff, and 31 other munici- some period of time. Prior studies point out that
pal employees in the tsunami. In Minamisanriku, the lifeline services, especially electrical and tele-
the tsunami wave overtopped the community’s phone services, are key determinants of business
emergency operation and tsunami warning center continuity. Without electricity service, most com-
while local officials were broadcasting evacuation panies would have to close immediately; without
orders there, and in the end, only 10 staff mem- phone or telecommunications service, they could
bers survived. The worst case in recent years may last for only about half a day.
be the 2010 Haiti earthquake. Most of Port-au-
Prince’s municipal buildings, including City Hall, Conceptualization of Organizational Change
were destroyed. Also, many national public build- Disaster research pioneers E. Quarantelli and
ings, such as National Palace, the National Assem- Russell Dynes developed the Disaster Research
bly, and the Supreme Court, collapsed. Even the Center (DRC) typology in the early 1970s to help
headquarters of the United Nations Stabilization people understand the organizational response to
Mission in Haiti and offices of the World Bank disasters. This typology is a simple fourfold prop-
were totally destroyed. Without enough staff and erty space that classifies organizations respond-
necessary facilities, neither the local jurisdictions ing to disaster along two dimensions: tasks and
nor the national government were able to respond structure. Structure is categorized as old and new,
to the tragedy quickly and effectively. and tasks are characterized as either regular or
Even though the public sector could experi- nonregular, resulting in four types of organized
ence a lack of personnel in emergency response, responses to disasters (Table 1).
294 Doctors Without Borders

Table 1 Disaster Research Center typology: types of organized Organization. Newark: University of Delaware
behavior in disasters Press, 1994.
Tasks Earthquake Engineering Research Institute (EERI).
Regular Nonregular The March 11, 2011, Great East Japan (Tohoku)
Old Type I: Type III: Extending Earthquake and Tsunami: Societal Dimensions.
Structure Established Oakland, CA: EERI, 2011.
New Type II: Type IV: Emergent Quarantelli, E. L., ed. What Is a Disaster?
Expanding Perspectives on the Question. London: Routledge,
1998.

The established organizations carry out regu-

lar tasks and rely on existing structures during
the time of disaster. These organizations, like the Doctors Without Borders
police and fire departments, are familiar with
emergency response and may have the least dis- Crises occur across the globe and often without
ruptions from disasters. The expanding organiza- warning. Humanitarian organizations dispatch
tions, such as American Red Cross or Salvation relief personnel to provide food and to conduct
Army chapters, are another kind of organization rescue operations after these crises have occurred.
involved in disaster response. They carry out Physicians, nurses, and allied health profession-
regular tasks but extend their structures to disas- als are often called upon to respond to these cri-
ter-affected areas with formally trained person- ses. Journalists are often on the scene to report
nel. Type III is the extending organization, which information about the crisis to the general public.
takes on nonregular tasks with the old structure. In 1971, a group of physicians and journalists in
These organizations are not expected to take a France formed Médecins Sans Frontières (MSF), or
role in disaster response, but they do perform non- Doctors Without Borders, in an effort to respond
regular tasks during crisis. For example, Walmart to a variety of crises across the globe. The orga-
helped deliver mass-care materials using its logis- nization operates as an independent group and is
tics system during Hurricane Katrina. The last supported with donations and volunteer personnel;
type is the emergent organization evolving into it is not connected to any government agency. Doc-
a new structure and obviously nonregular tasks. tors Without Borders responds to calls for assis-
Most of these organizations do not exist before tance during natural, human-caused, and techno-
the disaster event they are formed during or after logical crises. These include floods, earthquakes,
emergencies to fill emerged needs. tsunamis, cyclones, and famine, much of which is
caused by acts of armed conflict. Medical care and
Ziqiang Han pharmacy services are provided for epidemics such
University of Delaware as cholera, tuberculosis, influenza, malaria, and
Qiujie Zhang tetanus. Although Doctors Without Borders main-
Beijing Academy of Science and Technology tains neutrality, it often works to bring attention
to the plight of those affected by crisis. This may
See Also: Business Continuity Management; Business involve bringing attention to areas facing famine,
Continuity Planning; Coping Capacity and Response armed conflict, or the forced relocation of ethnic
Capability; Crisis Communications; High Reliability populations without a country or region.
Organization Theory; Organizational Failure.
Organization
Further Readings The primary organization maintains support
Dynes, Russell R. Organized Behavior in Disaster. offices in over 60 countries and partners with
Lexington, MA: D. C. Heath, 1970. 19 associative organizations, allowing for global
Dynes, Russell R. and Kathleen J. Tierney, eds. coverage. Each country is divided into field
Disasters, Collective Behavior, and Social offices comprising over 22,000 administrative
 Doctors Without Borders 295

A malnourished child waits in a Doctors Without Borders treatment tent in the Dolo Ado camp, near Ethiopia’s border with Somalia,
July 2011. The United Nations declared a famine in five regions of Somalia by early August. By December, “Malnutrition rates are still
very high; this is still an emergency situation,” said Voitek Asztabski, emergency coordinator for Doctors Without Borders in the camp.
Over 50 percent of children in the camp were suffering from malnutrition at that time, according to the United Nations.

and medical staff. This includes physicians, that local agencies will work with the organiza-
nurses, radiological technicians, laboratory tech- tion to provide the best medical care possible.
nicians, surgeons, and mental health profession-
als. Supportive care is provided by logisticians, Team Medical Equipment
water and wastewater treatment engineers, and Doctors Without Borders responds to crises using
communications personnel. Epidemiologists, the latest, most advanced medical equipment
chemists, and pharmacists provide medical care, available. The majority of the medical equipment
pharmacy services, and specialized medications is designed to be used in the field environment,
in areas affected by epidemics such as human making it fully transportable and easily moved.
immunodeficiency virus and acquired immune This is especially important in areas of armed con-
deficiency syndrome (HIV/AIDS), malaria, tuber- flict because the team may be required to quickly
culosis, cholera, or similar outbreaks. Each site relocate in order to protect staff, patients, and
is managed by volunteer administrators who equipment. The organization has the ability to
are charged with ensuring that all services run provide medical care in mobile sites, temporary
smoothly. Doctors Without Borders works with sites, and fixed locations such as former hospi-
local physicians and hospitals in order to enhance tals. Equipment includes radiological equipment
the quality of medical care instead of trying to to conduct X-rays, exam areas, emergency triage
replace it. This method increases the likelihood and treatment equipment, specialized surgical
296 Doctors Without Borders

equipment, laboratory equipment, and mobile Partnerships

pharmacies. Moreover, each site is fully self-sup- Doctors Without Borders partners with govern-
portive with both water filtration equipment and ments as well as the private sector in an effort to
wastewater treatment facilities. Comfort care is gain access to hard-to-reach areas. These groups
provided in the form of free blankets, pillows, assist with logistics, transportation assets, com-
and clothing. munication, and medical care. Site security is
also a major consideration, so local governments
Epidemics partner to provide these services. Additional
Epidemiologists typically work with local public partnerships with major food providers allow
health officials in underdeveloped countries to Doctors Without Borders to provide high-qual-
identify and understand disease outbreaks and ity, low-cost meals to those facing starvation.
provide the most advanced treatments available. Similar partnerships allow the organization to
The goal is to totally stop these disease outbreaks respond to major crises throughout the world.
or reduce them as much as possible. Over 1 mil- Agreements with other nonprofit organizations
lion patients received medical care and drugs in such as Feed the Children and Child Reach Inter-
2010. Moreover, Doctors Without Borders vac- national not only reduce costs but also allow for
cinated just under 8 million persons for meningi- the placement of additional volunteers in these
tis globally in an effort to prevent infection from crisis-stricken regions.
the disease. This has resulted in millions of lives
being saved. Doug Brown
Arkansas State University
Response During Armed Conflict
Armed conflict continues to grow around the See Also: Cholera; Crisis, Definition of; Emergency
world, especially in the Middle East and parts of Medicine; Epidemics; Health and Medical
Africa. Doctors Without Borders provides medi- Response Scenarios; HIV/AIDS Epidemic; Famine;
cal care in these areas without choosing sides. Infectious Disease; Measles; Poverty; Refugees and
An independent, neutral voice allows the orga- Forced Migration; Risk Treatment; Tuberculosis;
nization to enter countries or areas of conflict Uncertainty; Vaccinations; Volunteer Coordination;
whenever other organizations are not allowed to Vulnerable Populations; War Crimes.
enter. Organizations such as the United Nations,
the Red Cross, or the Red Crescent are often pro- Further Readings
hibited from entering these regions because of Bortolotti, D. Hope in Hell: Inside the World of
their connection to foreign nations including the Doctors Without Borders. Buffalo, NY: Firefly
United States. Because Doctors Without Borders Books, 2004.
serves as an independent, nonreligious group, Collier, P. The Bottom Billion: Why the Poorest
many countries do allow them to provide medi- Countries Are Failing and What Can Be Done
cal care and feeding services, whereas others are About It. New York: Oxford University Press,
not allowed to. Acute and chronic medical care 2008.
is provided, including wound treatment, prosthet- Leyton, E. and G. Locke. Touched by Fire: Doctors
ics, and long-term medication. This is especially Without Borders in a Third World Crisis. Toronto:
important in conflict-torn countries where both McClelland & Stewart, 1998.
women and children are often the last to receive Orbinski, J. An Imperfect Offering: Humanitarian
any medical care. Doctors Without Borders pro- Action for the Twenty-First Century. New York:
vides both specialized wound treatment and pros- Walker & Company, 2008.
thetics in an effort to make life more bearable. Vaughan, Jenny. “Somalis Flee Famine to Find
Patients in these war-torn areas are often able to Hunger, Sickness in Camps.” AFP (December 25,
return to a normal, productive life by supporting 2011). http://www.google.com/hostednews/afp/art
their families with daily tasks such as the gather- icle/ALeqM5jOlNmidHq1HtMrQyIMYsqREgZl1
ing of food at the market, farming, or working A?docId=CNG.08bf367b8562759d55ef18512203
outside jobs in the community. 62a0.161 (Accessed August 2012).
 Documentation 297

Documentation crisis happens so that each individual involved

knows his or her responsibilities. Having insur-
Documentation is a critical component of effec- ance policies in place and up to date before a cri-
tive crisis management. Many private, nongovern- sis means recovery can begin more quickly and
mental, and governmental organizations already likely run more smoothly after a crisis. Knowing
have standard processes in place to ensure thor- where financial statements or deeds and owner-
ough documentation for each component of crisis ship papers are before a crisis means that they can
response and management. Such documentation be transported safely if evacuation is necessary
is important for organizations to demonstrate the and accessed quickly as needed.
steps taken in response to an emergency, disas- To maintain communications between employ-
ter, or crisis. These efforts are valuable, not only ees, organizations often also include contact
because they help avoid duplicated efforts or sheets in their disaster, emergency, and crisis
problems with the allocation of resources, but also plans. The development of these documents helps
because such documentation ensures the existence create plans to manage crises before they occur,
of evidence of what was done should problems allowing people and groups to be better pre-
arise. The specific documentation or paperwork pared for such events, and to respond to them
required by different organizations may vary, but more effectively. Documents developed before a
there are a few commonalities, such as documenta- crisis should clearly lay out the steps that need
tion of insurance policies and ownership, resource to be taken, including what each person involved
and aid distribution, and the identification and should be doing to prepare for and respond to a
tracking of personnel. Most organizations have crisis, and clearly identify responsibilities in time
requirements in place for crisis management and of crisis.
disaster or emergency response plans to exist prior During a crisis, ongoing documentation of
to an event occurring, as well as specific require- steps that have been taken and plans that have
ments for documentation that fills particular needs been made is critical, ensuring that what is needed
about recording what, when, where, why, and and what has been done are known to everyone
how events took place and who was involved. involved. For example, incident report sheets are
often used to record information during a crisis.
Before, During, and After a Crisis This paperwork is crucial to recording and under-
Documentation accumulated before, during, and standing how the crisis developed, progressed,
after an emergency, crisis, or disaster not only and was resolved. These records include notes
helps crisis management deal with the problems about what steps were taken, who was involved
raised by that particular event but also helps peo- in various decisions and actions, and the end
ple to understand the actions that should poten- result of these actions. While a crisis is progress-
tially be taken to respond to future events. Such ing, documentation should include notes not only
documentation about preparations for crises, about steps taken within an organization but also
active management during crises, and responses information that has been given to outside groups.
after crises are all essential to good crisis manage- It also needs to include what the media has been
ment for ongoing and future events. By keeping told and how they have spread that information
clear records of crisis management, individuals to the public.
involved can ensure that proper steps are taken After the crisis occurs, documentation often
to prepare for and respond to events in progress, includes recording the effects of the emergency,
as well as to prepare for and prevent errors in crisis, or disaster, such as physical damage done
future events. to structures (through written reports or photo-
Some of the documentation that is important graphs); response efforts during immediate relief
for emergencies, crises, and disasters must be operations, such as resources distributed to peo-
developed before an event occurs. Business con- ple affected; and steps taken during longer-term
tinuity plans and specific plans for crisis response recovery efforts, such as payment of reconstruc-
and management, such as evacuation plans and tion expenses. Initial documentation of the dam-
risk assessments, need to be developed before a age should happen before repair work begins,
298 Downtime

although this can wait until after emergency to Prevent Disasters. Cambridge, MA: Harvard
search-and-rescue efforts. Documentation of this Business School Publishing, 2004.
work includes a variety of information, such as Reid, Janine L. Crisis Management: Planning and
who was involved, what happened, where it hap- Media Relations for the Design and Construction
pened, when it happened, why certain steps were Industry. Hoboken, NJ: John Wiley & Sons, 2000.
taken, and how the process occurred, as well as
details describing the situation to make the rea-
sons for these actions clear, if necessary.
In addition to being important for governmen-
tal and private organization crisis management, Downtime
documentation is also important for individuals
affected by disasters and allows people in charge Downtime is a term that refers to a period of time
of recovery and assistance to better help them. when functions, systems, or personnel are unavail-
This documentation is up to the individual, fam- able. Downtime may be a planned or unplanned
ily, or group to assemble and maintain, but educa- suspension of operation typically experienced in
tion by organizations about what kind of docu- areas of technology, industry, and human capital.
mentation disaster-affected individuals need can There are numerous possible causes of downtime
occur before an emergency, crisis, or disaster. It and the possibility of significant impacts to busi-
will help ensure that affected individuals are able nesses, government, and society. Emergency plan-
to provide necessary documentation and that they ning efforts include addressing downtime during
receive appropriate aid. The personal documen- all phases of emergency management.
tation that individuals should be encouraged to The opposite of the term downtime is uptime.
evacuate with and maintain includes items such Uptime is a term describing the measurement of
as identification, birth and marriage certificates, the length of time a system, machine, or process
deeds, medical records, and insurance documents. has been active without experiencing any down-
While the crisis is ongoing, individuals should time. During uptime, all critical components of a
keep records of costs related to evacuation and system are functioning without deficiency. Recov-
reconstruction for potential reimbursement. ery from downtime can be considered the resump-
tion of uptime.
Jennifer Trivedi
University of Iowa Planned or Unplanned Downtime
Periods of downtime are often planned as part of
See Also: Bureaucracy; Crisis Communications; a system maintenance schedule or update. This
Incident Action Plans; Strategic Plans; Vital Records. time may also include periods when a system is
inactive, or idle, on purpose. Planned downtime
Further Readings is often scheduled during a maintenance win-
Coombs, W. Timothy. Ongoing Crisis dow when the impact is negligible or minimal.
Communication: Planning, Managing, and Planned downtime may also be called voluntary
Responding. Thousand Oaks, CA: Sage, 2012. downtime.
Federal Emergency Management Agency. “Emergency Although crises can occur from planned
Management Guide for Business and Industry: A downtime, they are more likely to be a result of
Step-by-Step Approach to Emergency Planning, unplanned downtime. Unplanned downtime may
Response and Recovery for Companies of All occur because of human error, equipment or util-
Sizes.” http://www.fema.gov/pdf/business/guide/biz ity failure, or overloading. These periods of time
indst.pdf (Accessed December 2011). may also be referred to as involuntary downtime.
Friedman, Mark L. Everyday Crisis Management: Some entities recognize semi-planned downtime,
How to Think Like an Emergency Physician. which the organization itself has not planned but
Naperville, IL: First Decision Press, 2002. another organization has. For example, a vendor
Harvard Business School. Harvard Business may plan downtime to upgrade software for an
Essentials: Crisis Management: Master the Skills organization but neglect to inform the user.
 Downtime 299

Areas of Downtime and Causation of downtime. The greater the size, complexity,
Downtime is a term used mainly to describe sys- criticality, and interdependency of a system, the
tems of technology, industry, and human capital. greater the resulting impact. The time of occur-
Technological downtime is commonly understood rence of downtime affects the impact, since many
to impact networks, servers, and communication systems have periods of variable operation. Any
systems. Technology seeks to eliminate down- downtime during peak use results in more seri-
time by providing systems of high availability and ous impact. An increase in the duration of any
fault tolerance. Technological downtime may be downtime typically increases the overall impact.
caused by utility disruption, software error, hard- Finally, the cause of the system failure influences
ware, interconnectivity, transmission issues, sys- the degree of impact and damage caused during
tem limits, or procedural error. The causations of downtime.
downtime are numerous and complex, but impor- These factors determine the scope and the
tant to the quick resumption of operation. intensity of damage. Downtime is measured as a
Industrial downtime is the unproductive blocks period of time without operation, loss of uptime,
of time when functional operation ceases. Many and monetary loss. The impact of downtime
of these are planned downtime for maintenance. can range from negligible to catastrophic. Pro-
However, factories and mechanical production duced goods have the cost of planned downtime
systems experience unplanned downtime resulting built into the sales revenue; however, unplanned
from mechanical problems and lack of resources. downtime results in increased costs. Industries
Disruption in utilities, damage, failure, design, that rely on 24-hour service or e-commerce
overload, and unknown reasons can also cause typically experience greater loss. Downtime can
unplanned downtime. cause businesses to lose customers and revenue
Human capital downtime describes time when or default on contracts. Other impacts of down-
employees are unable to perform their regular time can include intense emotional reactions to
work because of another limitation, including downtime by both internal personnel and exter-
meetings, illness, and strikes. The lack of person- nal customers. The brand images of a business
nel may be the cause of human capital downtime may be impacted significantly and result in loss
as well. One area of downtime can cause another of revenue. Finally, the impact includes the cost
system to fail; for example, the downtime expe- of recovery—getting the system operational
rienced in human capital can cause downtime in again. Governmental agencies experiencing
industrial production or technology. Downtime downtime and seeking to continue operations
can also refer to the time when public servants will be impacted.
are not actively responding to citizens’ calls.
The occurrence of downtime may itself be a Downtime Preparedness and Mitigation
crisis event. For example, downtime in technol- As our world systems and environments continue
ogy industries can be an event. Downtime can to expand in complexity, thereby increasing the
also cause a crisis event, for example, loss of criti- possible consequences of downtime, the impor-
cal infrastructure. A metropolitan area without tance of preparedness and mitigation continues to
power may start a cascading event. Or downtime multiply. Downtime can be avoided by identify-
can occur as a result of another crisis event, such ing and eliminating downtime triggers. Systems
as a natural disaster. Downtime is a roadblock to should be built with redundancy to avoid the
recovery during disasters, regardless of the reason occurrence of downtime. Alternative processes
for its occurrence. and systems may be in place to enable critical
operations to continue during downtime. The
The Impact of Downtime risk can be minimized by maintaining the system,
The impact of downtime depends on a number using reliable components or technical codes that
of factors, particularly the system(s) impacted, can check sums or detect error. The early detec-
time of occurrence, duration, and cause. The tion and notification of downtime can reduce
composition and significance of the system that the duration and therefore the impact of down-
is inoperable determines much of the impact time. Contingency and business continuity plans
300 Drought

address downtime. Recovery plans include down- of drought-prone populations are the crucial fac-
time duration reduction and recovery planning. tors that determine the extent of drought disasters.
People’s vulnerability to drought is determined by
Nicole A. Gross the way their livelihoods are influenced by the
Strategic Business Resiliency water deficits of a drought, their coping capaci-
ties, their resilience, and their assets.
See Also: Backup Strategy; Business Impact Analysis;
Business Resumption Planning; Critical Infrastructure; Drought Definitions
Cyber Security; Data Recovery; Failover; Maximum There is no universally accepted definition of
Acceptable Outage; Strikes. drought because many disciplinary perspectives
of drought exist. Each discipline incorporates
Further Readings different physical, biological, and/or socioeco-
Agrafiotis, Georgios K. “General Distribution nomic factors in its definition. A broad definition
Function for Periods of Downtime of a Single of drought is a deficiency of precipitation over
System Exceeding a Limiting Downtime.” an extended period of time, usually a season or
Journal of the Operational Research Society, v.34 more, which results in a water shortage for some
(November 1, 1983). activity, group, or economic sector. Droughts are
Biddinger, N. “The Information Technology Role classified as meteorological, agricultural, hydro-
in Disaster Recovery and Business Continuity.” logical, or socioeconomic.
Government Finance Review, v.23/6 (December Meteorological drought is usually defined by a
2007). certain precipitation deficiency over a period of
Fahrenholz, Cheryl Gregg, Lance J. Smith, Kyle time. The thresholds chosen, such as 50 percent
Tucker, and Diana Warner. “Plan B: A Practical of normal precipitation over a six-month time
Approach to Downtime Planning in Medical period, vary by location and according to appli-
Practices.” Journal of AHIMA, v.80/11 cations. Hence, most meteorological drought
(November–December 2009). definitions relate actual precipitation departures
Graham, Allan. “E-Business: Don’t Let Downtime to long-term average amounts. Meteorological
Be the Downfall of Your Web Site.” Journal of droughts are a normal, recurring feature of cli-
Business Strategy, v.22/2 (2001). mate and occur in virtually all climatic regimes.
Meteorological drought definitions solely look at
the water supply side.
Hydrological drought is defined by deficiencies
in surface and subsurface water bodies, relative to
Drought average conditions. There is no direct relationship
between precipitation amounts and the status of
Drought is a slow-onset natural hazard character- surface and subsurface water supplies in streams,
ized by an extended period of deficiency in precipi- lakes, reservoirs, and aquifers, because the hydro-
tation in a region. Drought disaster is the natural logical system components often are used for
disaster with the largest number of causalities. The irrigation, water supply, hydroelectric power pro-
frequencies as well as the intensities of droughts duction, canals, and flood control.
are increased by global climate change and popu- Agricultural drought links various character-
lation growth. However, droughts do not neces- istics of meteorological drought to agricultural
sarily lead to a disaster. A drought disaster is not impacts, focusing on precipitation shortages, dif-
only caused by the occurrence of deficits in pre- ferences between actual and potential evapotrans-
cipitation but also by the interrelation of the cli- piration, and soil water deficits. A plant’s demand
mate hazard and a social vulnerability. Precipita- for water is dependent on prevailing weather
tion itself can hardly be influenced since the effect conditions, biological characteristics of the spe-
of artificial techniques of inducing rainfall is still cific plant, its stage of growth, and the physical
controversial. Therefore, the economic, social, and biological properties of the soil. Agricultural
and political characteristics that render livelihoods drought is defined by the lack of availability of
 Drought 301

soil water to support crop and forage growth. age, location, social networks, assets, and other
This lack is also influenced by infiltration rates particular conditions shaped by economic, social,
and the water-holding capacity of soil. During and political processes.
drought onset, agriculture is usually the first sec- The quantification of impacts and the provi-
tor to experience drought because soil moisture sion of disaster relief are far more difficult tasks
will normally be the first component of the hydro- for drought than they are for any other natural
logical system to be affected. Drought events can hazard because drought seldom manifests in vis-
disrupt food production systems and can be a sig- ible structural damage. Drought-prone regions
nificant natural trigger for famine. should conduct risk assessments to identify the
Socioeconomic drought differs from the other factors and processes leading to drought risk
types of drought in that it reflects the relationship and determine who and what is most at risk
between the supply and demand for some com- to drought. A drought vulnerability profile is
modity or economic good that is dependent on an invaluable tool for assessing drought risk
precipitation, such as agricultural goods, livestock and should be completed as part of drought
forage, drinking water, or hydroelectric power. preparedness planning in order to systemati-
Drought must be distinguished from aridity. cally address the most vulnerable people. The
Aridity refers to a permanent climatic condition risk associated with drought for any region or
of very low annual or seasonal rainfall. Moreover, group is a product of the exposure to the natural
drought is different from desertification. Deserti- drought hazard and the vulnerability of the soci-
fication is used to indicate a long-term and irre- ety to drought. A drought risk assessment is the
versible process of decrease or destruction of bio- basis for the identification of suitable measures
logical soil potential. Nevertheless, drought might to reduce the drought risk.
accelerate the process of desertification.
Sebastian Jülich
Drought Assessment and Management Swiss Federal Institute of Technology Zurich
Measures of drought disaster risk management that
are targeted at the livelihood security of drought- See Also: Disaster Assessment; Disaster Risk
affected people can prevent a period of water scar- Reduction; EM-DAT; Food Security; Hazard
city from leading to a drought disaster. Although Vulnerability Analysis; Prevention; Refugees and
drought vulnerability is not equal to poverty, Forced Migration; Resiliency; Risk Analysis; Risk
drought—more than any other natural disaster— Assessment; Vulnerability; Vulnerable Populations.
in particular affects people with low incomes.
Drought disaster risk management focuses Further Readings
on preventing or minimizing negative effects Jülich, S. “Drought Triggered Temporary Migration
of droughts. Because the pure drought hazard in an East Indian Village.” International Migration,
is almost impossible to influence, measures of v.49/Supp. 1 (2011).
drought disaster risk reduction are targeting the Kohler, A., S. Jülich, and L. Bloemertz. Risk Analysis:
vulnerabilities of people to drought. Crucial for A Basis for Disaster Risk Management. Eschborn:
minimizing vulnerabilities and strengthening German Technical Cooperation GmbH (GTZ),
capabilities as well as resilience is a comprehen- 2004.
sive understanding of the complex structure and United Nations International Strategy for Disaster
spatial distribution of social vulnerability. This is Reduction Secretariat (UNIDSR). Drought Risk
the core aim of a drought risk analysis. Drought Reduction Framework and Practices: Contributing
vulnerability is spatially variable, and vulner- to the Implementation of the Hyogo Framework
able groups are dispersed over space. Various for Action. Geneva: UNIDSR, 2009.
drought risk analyses clearly show that the scope Vogt, J. V. and F. Somma, eds. Drought and Drought
of disparities in drought vulnerability is reach- Mitigation in Europe. Dordrecht, Netherlands:
ing down to the micro level of households. The Kluwer, 2000.
drought risk can vary significantly among house- Wilhite, D. A., ed. Drought: A Global Assessment.
holds and depends on livelihoods, class, gender, Vol. 1. London: Routledge, 2000.
302 Drug Resistance

Drug Resistance treating this patient, who may suffer serious ill-
ness or die as a result.
Drug resistance refers to the ability of a micro- One of the great success stories of modern
organism, such as a bacterium, virus, fungus, or medicine is the development of antibiotics such
parasite, to resist an antimicrobial medicine that as penicillin, sulfa drugs, and tetracycline to com-
had previously been effective against it. Drug bat common infectious diseases. In the mid-20th
resistance develops as a result of the use of anti- century, many believed that modern medicine
microbials and can be accelerated by the improper had conquered formerly dreaded diseases such as
use of antimicrobials, such as failing to complete tuberculosis and pneumonia, while also bringing
a prescribed course of treatment or the use of common infections such as strep throat and ear
antimicrobials against diseases for which they are infections readily under control. However, as a
known to be ineffective (for example, using anti- result of the normal course of evolution, as the use
biotics to treat a virus). of antimicrobials increased, so did the emergence
Antimicrobial resistance threatens to reverse of strains of resistant microbes. Originally, this
the gains made by medicine against infectious dis- was less of a problem because numerous types of
ease in the last 60 years and is an international antimicrobial drugs were available to treat infec-
problem that can threaten the lives of patients, tions, and if one was no longer effective, a dif-
hamper the control of infectious disease, and ferent drug could be substituted. However, con-
increase health care costs. In addition, as the tinued use and abuse of antibiotics has created a
result of modern means of transportation and the situation in which common bacteria are resistant
ability of people to move all over the world, anti- to numerous drugs, complicating the process of
microbial resistance is not a problem that can be treating patients.
contained in any one country; instead, movement The evolution of drug-resistant bacteria is a
of an infected person can easily spread drug-resis- natural process, but some behaviors encourage
tant microbes from one country to another. that process. One is failing to complete a pre-
scribed course of antibiotics; this behavior allows
Causes of Drug Resistance bacteria that are resistant to the treatment to
Bacteria, viruses, parasites, and other microbes survive and multiply. Another is the overuse and
are living organizations that mutate rapidly and inappropriate use of antibiotics; even appropri-
evolve over time; the process of natural selection ate use of antibiotics aids the process of breeding
ensures that the microbes that are best adapted to drug-resistant bacteria, but overuse and inappro-
their environment will survive, and those that are priate use encourages this process without pro-
resistant to available antibiotics are thus favored viding any benefit to the patient. Some research-
for survival. This evolution is a normal process of ers also believe that widespread use of antibiotics
nature but becomes a matter of concern in terms in agriculture (for instance, adding antibiotics to
of medicine because this process of evolution helps animal feed) also encourages the growth of resis-
create microbes that are resistant to medicines tant microbes that can infect humans.
effectively used against them in the past. Consider
the example of a person with a bacterial infec- Specific Diseases
tion who takes a prescribed antibiotic to combat Tuberculosis (TB), a disease that once seemed to
the infection. Some bacteria will be quickly killed be nearly conquered by antibiotics, has become
by the antibiotic, but others may have mutated a health threat once again because of the emer-
and are resistant to it (that is, the antibiotic does gence of drug-resistant strains of TB. Multidrug-
not kill them, or kills them more slowly). If those resistant TB (MDR-TB) refers to resistance to
bacteria survive the antibiotic treatment, they the most commonly used (first-line) TB drugs,
will reproduce and very likely pass the mutation rifampicin and isoniazid. It can be treated with
on to their descendants, and in this way a large other drugs, but it has difficulties, including the
population of antibiotic-resistant bacteria may need for a longer course of treatment and the fact
be created. When these bacteria infect a new per- that the less common drugs are generally more
son, existing antibiotics may not be effective in expensive and have more side effects than the
 Drug Resistance 303

first-line drugs. The World Health Organization

(WHO) estimates that about 440,000 new cases
of MDR-TB occur each year, and that at least
150,000 deaths annually are caused by MDR-TB.
An even more serious concern is extensively drug-
resistant tuberculosis (XDR-TB), which is resis-
tant not only to the first-line drugs but also to
any fluoroquinolone and to at least one of capreo-
mycin, kanamycin, and amikacin. According to
the WHO, extensively drug-resistant tuberculosis
had been reported in 64 countries as of 2012.
Staphylococcus aureus (staph) is a common
type of bacteria often found on people’s skin and
in their noses; however, staph can also cause ill-
nesses ranging from boils and pimples to meningi-
tis and sepsis. When penicillin was first introduced,
it was highly effective against staph infection, but
today many strains of staph are resistant to peni-
cillin. Other drugs effective against staph have
been developed, but a particularly dangerous An influenza virus particle. Widespread use of a single medicine
strain known as methicillin-resistant Staphylo- could generate a drug-resistant strain of the H1N1 flu virus, but
coccus aureus (MRSA) has become increasingly one study has indicated that using a second drug during the early
common and has been particularly identified as phase of a local epidemic could significantly delay resistance.
responsible for many hospital-acquired infec-
tions. The WHO estimates that worldwide, a high
percentage of infections acquired within hospitals
are caused by drug-resistant organisms such as five. Antibiotic-resistant strains of shigellosis are
MRSA and vancomycin-resistant Enterococci. In a matter of increasing concern in countries where
the United States, the Centers for Disease Control the disease is common. For instance, a WHO
and Prevention (CDC) estimate that the propor- study in several Asian countries in 2000–04
tion of health care-related staph infections related found that a majority of Shigella isolates were
to MRSA increased rapidly from the 1970s to the resistant to cotrimoxazole and amoxicillin, and
early 21st century; in 1974, 2 percent of staph a 2005 study reported that 95 percent of the iso-
infections in intensive care units were caused by lates of two major strains of Shigella, S. sonnei
MRSA, and this proportion grew to 22 percent in and S. flexneri, were resistant to tetracycline and
1995 and 64 percent in 2004. However, increased cotrimoxazole, and 95 percent of the S. flexneri
attention to infection control has caused the num- isolates were also resistant to tetracycline and
ber of MRSA infections to decline since then; chloramphenicol. The WHO currently recom-
for instance, a 34 percent decrease in MRSA mends only ciprofloxacin for treatment of shig-
infections in hospitalized patients was observed ellosis, because of increasing resistance to other
between 2005 and 2008. antibiotics, but ciprofloxacin resistance is also
Shigellosis is an infectious disease character- becoming a problem.
ized by severe and often bloody diarrhea, high Malaria is caused by infection with a parasite
fever, and cramping; it is caused by the Shigella transmitted from person to person through the
bacteria. The WHO estimates that shigellosis bite of an anopheles mosquito; symptoms include
causes over 120 million cases of severe dysentery fever and chills, anemia, and flu-like symp-
each year, primarily in developing countries and toms. Malaria remains a major health threat in
in children under five years of age; about 1.1 mil- many tropical countries; the CDC estimates that
lion people die annually from shigellosis, about 300–500 million cases occur each year, and over
60 percent of whom are children younger than 1 million people annually die from the disease.
304 Drug Resistance

Drug resistance is becoming an increasing prob- .niaid.nih.gov/topics/antimicrobialresistance/Pages

lem with malaria: the WHO found in 2010 that /default.aspx (Accessed July 2012).
three of the five strains of malaria known to infect National Institutes of Health. “Second Flu Antiviral
humans were partially drug resistant, and some Limits Drug Resistance.” http://publications.nigms
had cross-resistance (resistance to multiple drugs .nih.gov/biobeat/09-05-20/#3 (Accessed August
with similar modes of action or that come from 2012).
the same chemical family) or multidrug resis- Sosa, Anibal de J., D. K. Byarugaba, C. F. Amabile-
tance. Consequences already recorded for drug- Cuevas, P. R. Hsueh, S. Kariuki, and I. N. Okeke,
resistant malaria include longer periods of illness, eds. Antimicrobial Resistance in Developing
increased mortality, increased cost of treatment, Countries. New York: Springer, 2010.
and increased transmission of the disease. In addi- Wellcome Trust. “Antibiotic Resistance: An
tion, it is feared that ineffective treatment in the Unwinnable War?” (2005). http://www.wellcome
public sector (because standard drug therapies .ac.uk/stellent/groups/corporatesite/@msh_pub
fail) will push more patients to the unregulated lishing_group/documents/web_document/wtx0262
private sector, where they may be exposed to sub- 31.pdf (Accessed July 2012).
standard care as well as a course of treatment World Health Organization. “Antimicrobial
known to increase drug resistance. Resistance.” Fact Sheet No. 194. Geneva: World
Health Organization, 2012. http://www.who.int
Sarah Boslaugh /mediacentre/factsheets/fs194/en (Accessed July
Kennesaw State University 2012).
World Health Organization. “Diarrheal Disease.”
See Also: Biological Weapons; Epidemics; Infectious Geneva: World Health Organization, 2009. http://
Disease; Influenza; Tuberculosis. www.who.int/vaccine_research/diseases/diarrhoeal
/en/index6.html (Accessed July 2012).
Further Readings World Health Organization. “Global Report on
Goldberg, D. E., R. F. Siciliano, and W. R. Jacobs, Jr. Antimalarial Drug Efficacy and Drug Resistance:
“Outwitting Evolution: Fighting Drug-Resistant 2000–2010.” Geneva: World Health Organization,
TB, Malaria, and HIV.” Cell, v.148/6 (2012). 2010. http://www.who.int/malaria/publications
National Institute of Allergy and Infectious Diseases. /atoz/9789241500470/en/index.html (Accessed
“Antimicrobial (Drug) Resistance.” http://www July 2012).
 E
Early Warning Systems Specific elements are required for develop-
ment of an effective EWS for crisis management.
Early warning systems are sometimes referred Characteristics of the environment interact with
to as warning systems or emergency broad- characteristics of society to produce an effective
cast systems. They provide people with emer- response. The following sections focus on tech-
gency information before or during crisis situ- nology used in crisis management, crisis decision
ations so that protective actions can be taken. making, and interagency relationships, including
The phrase early warning system (EWS) is often training and exercises. The case study describes
interpreted to mean the technological tools used New Zealand’s experience with tsunamis from
by scientists to detect threats and communicate 1960 to 2010.
information through audible and written chan-
nels to emergency managers and to the public. Early Warning Systems
However, EWSs are much more complex. They Traditionally, scientists and emergency managers
involve information links between the environ- developed linear models to identify key parties and
ment and people and between different groups of information channels in EWSs. Models predicted
people. Information is communicated from mul- that the flow of information starts when scientists
tiple sources through multiple channels, ranging observe a hazard above a threshold (earthquake
from sirens and reverse 911 calls to seeing or magnitude). Scientists analyze the data and contact
hearing cues from the environment. D. S. Mileti emergency managers to issue an alert if a critical
and L. Peek describe three basic subsystems of threshold is reached. Emergency managers then
an EWS—hazard detection, emergency manage- make decisions about whether to notify the media
ment, and public response—yet EWS models and public of the threat and recommend actions.
focus largely on the first two and much less on The ultimate receiver of the message is generally
the public response subsystem. That is, the mod- considered to be the “public.” Such linear models
els do not accurately reflect the significance of the usually misrepresent the warning process in two
linkages between people and their observations ways. First, they highlight technology by focus-
of the environment and how these observations ing on the detection and emergency management
initiate the warning process and hence response subsystems, minimizing the public subsystem. This
to it. These linkages are, however, well described detracts from research findings that the public’s first
in the disaster research literature. source of information and hence the beginning of

305
306 Early Warning Systems

response efforts is often human sensory experience doing to decide how to respond. Second, warnings
with “natural warnings” or “environmental cues” meant for and disseminated to emergency man-
that often precede the hazard (“feeling” ground agers are sometimes simultaneously received by
motion in earthquakes). Moreover, research has media and the public. This means that messages
shown that people’s first source of warning is often are being acted on by the media and public before
“informal warnings,” received and disseminated emergency managers have reviewed a warning and
through multiple channels (face-to-face contact, coordinated their response recommendations.
cell phones, TV). Additionally, through the use Another problem with many EWSs is that
of “social cues,” people look to what others are responsibility for providing warnings is divided
between federal and local government agencies
whose mandates are sometimes different. Scientists
often have the mandate to provide warnings to
1 Social science assessment
• Evaluation of hazard awareness and
emergency management, but recommendations for
protective action are the responsibility of local and
preparedness state emergency managers. This particular divi-
• Underlying causes of hazard beliefs sion of responsibility for the management of crises
and behaviors
requires that warnings or recommended responses
2 Discussion and consultation
• Pre-planned and exercised
are issued at multiple levels of government, at dif-
fering times, and by different entities. Predicting
communication between: social response is made even more difficult when
-C entral government agencies, one acknowledges that prior to receipt of official
local emergency management
agency staff, scientists, media, and warnings, people are responding to (1) initial natu-
community representatives ral warnings or environmental cues, (2) informal
warnings from each other and the media, and
3 Planning
• Decision-making tools E (3) social cues. Moreover, official warning mes-
sages are rewritten by numerous government agen-
R • Thresholds, evacuation route maps, v cies and redisseminated to multiple receivers. This
and signage
e • Interorganizational relationships and
a leads to numerous message sources, which has
s communication channels l been shown to improve response to warnings by
decreasing the time taken to confirm warnings, but
e 4 Early warning systems
• From hazard detection to warning
u this is contingent on the content of the messages
a public notification a being the same. Some argue that there is simply a
digital information overload. Furthermore, rewrit-
r • Hardware, electronics,
communications, and planning to
t ing messages increases the likelihood of human
c support official warnings i error in translation, which delays response because
h • Integration of natural and informal
warnings
o people seek additional information to sort out any
discrepancies, offsetting the positive effect pro-
n
5 Education and participation
• Public education, staff training, maps,
vided by multiple message sources.
Figure 1 is a model of an effective EWS that
and signs underscores the importance of planning and com-
• All designed with input from munity member involvement in advance of a cri-
community members sis. The EWS component of the model is placed
6 Exercises
• Scenarios including simulated
last to indicate that other factors are equally. if not
more. important in outcomes of early warning.
evacuation and sheltering drills: Research and social science provide justifications
- Tabletop exercises for officials and for change and validation of system components.
full exercises with observation and
feedback
Technology Use in Crisis Management
Figure 1 Model of an effective warning system The digital age has created a sudden shift in tech-
Source: Modified after Leonard, Johnston and Saunders, 2006. nology available for risk communication channels
 Early Warning Systems 307

and the style and content of information. Televi- SA at three levels: accurate perception of factors
sion, radio, handheld radio, and shortwave radio influencing the environment (spatially and tem-
will continue to be good dissemination channels porally), understanding and comprehension of
of information for the foreseeable future, but they the real-time situation in relation to desired out-
are being supplemented by new digital technolo- comes, and projection of the status of the event
gies including cell phones, smart phones, Internet, as people meet specific goals.
e-mail, social media (Twitter, Facebook), tablet Organizational decision makers may make cor-
computers (iPad), and online blog sites. Further- rect decisions based upon their perception of the
more, new online software allows real-time map- situation, but if their SA is inaccurate, this may
ping of at-risk areas, including evacuation routing negatively influence their decisions about what to
through programs such as Google Earth. More- do. The second decision-making step concerns the
over, some smart phones may serve as mobile sci- choice of action. This involves (1) recognition-
entific instruments capable of detecting seismic primed and intuition-led action, (2) action based
ground motion and live data streaming to sci- on written or memorized procedures, (3) analyti-
entists (iShake project in California), improving cal comparison of different options, and (4) cre-
spatial accuracy of damage estimates. ative, novel design of action. Given the inherent
Social media have proven an effective plat- uncertainties often found in crisis situations, the
form for coordinating crises. Although they show first strategy (intuition-led) has been argued to
promise for information exchange and mobiliza- be more flexible and hence more effective than
tion of resources, little is known about the cyber- the others. Effectively implementing such action
psychology that guides people to take protec- requires expertise through experience, pre-plan-
tive action behavior. Social networking analysis ning activities, and training to recognize both the
identifies trends in localized behaviors and offers situation and the appropriate actions, in addition
opportunities to identify where cluster behaviors to accurate SA throughout the crisis.
are likely to occur, allowing emergency managers
to intervene. Interagency Roles
Crisis decision making occurs on individual
Crisis Decision Making and team levels. It involves distributed person-
During emergencies, response personnel make nel across multiple agencies and geographic and
critical decisions with implications for tens to political regions. Effective decision making at
millions of people. Such situations are often this level requires “team situation awareness.”
characterized by poorly structured problems, According to an assessment by D. Paton and D.
uncertain and dynamic environments, and poorly Jackson (2002), it is intrinsically related to and
defined and competing goals across agencies. dependent upon a team’s shared mental model of
Moreover, all of this must be done within short the problems and tasks at hand. Here, individual
time frames and highly stressful environments. team members within and across organizations
In this response environment, decisions involve develop mutual understanding of each other’s
two distinct steps: (1) a definition of the prob- knowledge, skills, roles, and needs, enabling
lem obtained through a situation assessment (SA) them to anticipate each other’s requests and
and (2) a choice of what to do to protect human move from explicit requests to implicit supply of
health and the environment. SAs identify the pri- information in communications.
mary problem and expected secondary or tertiary The numerous agencies and their personnel
fallout. Success requires the correct evaluation of involved in EWSs are essentially members of
the characteristics of the event, and this involves an extended and distributed team. They range
initial scientific information and the applica- from police, emergency managers, and fire ser-
tion of standard operating procedures (SOPs), vice through to scientific advisers, business own-
or adaptive and intuitive knowledge that has ers, and employees. Shared experience among
trained individuals to holistically conceptualize members becomes vital for improving mental
the fallout of the initial conditions and to take models, SA, and their responses. Such charac-
appropriate actions. M. R. Endsley considers teristics are developed and enhanced through
308 Early Warning Systems

Case Study: Early Warning and Emergency Broadcast Systems in New Zealand

New Zealand, situated on the Pacific “ring of guidelines for evacuation zones and signage,
fire,” is susceptible to significant tsunami hazards upgraded warning procedures, and enhanced
(see Figure 2 for wave travel times to/from New exercising at national and local levels. However,
Zealand). These include tsunamis from local even with extensive review of national, regional, and
offshore landslides or faults; regionally from areas local procedures for tsunami crisis management,
including the Southern New Hebrides, Tonga, and problems still arose when an magnitude 8.1
the Kermadec trench and the volcanoes associated earthquake occurred on September 30, 2009,
with it and from farther afield, including South near Samoa. The Ministry of Civil Defence and
America, Cascadia, Alaska, Kamchatka, Japan, Emergency Management (MCDEM) implemented
and the Solomon Islands. Paleotsunami records its tsunami response procedures, issuing a national
indicate there have been at least 15 events in the warning, activating the National Crisis Management
last 7,100 years that have produced significant Centre to coordinate the regional and local CDEM
tsunamis, with nine of these producing waves of groups, and managing media inquiries and public
10 meters or more. Even with this extensive history information. Although some actions worked well, a
of tsunami hazard, it was only in 1960 that New number of problems were identified and confirmed
Zealand officials began taking note of tsunami risk. by response to a tsunami warning triggered just one
On May 22, 1960, an magnitude 9.5 earthquake month later from an magnitude 7.8 earthquake on
occurred in southern Chile, and the absence of a October 8, 2009, in Vanuatu. Post-event reviews
Pacific-wide tsunami warning system in countries identified liaising issues between scientific advisers
beyond the United States meant that the tsunami and MCDEM; a lack of scientific information in
struck New Zealand without an official warning. advisories, including a lack of information on “what
Fortunately, there were no New Zealand casualties, to expect and what to do”; a lack of sufficient staff
mainly because the wave arrived during low tide, for media inquiries; and a lack of understanding of
but there was significant coastal damage. This which media outlets were broadcasting. Compliance
event led to significant changes in the way tsunami with recommendations had to be established soon
hazards and risk were managed in New Zealand, after. About this time, a magnitude 8.8 earthquake
notably its membership in the Pacific tsunami struck off the coast of Chile on February 28,
warnings system. However, public awareness of 2010. Fortunately there had been enough time
tsunami risk and preparedness waned significantly to implement many of the recommendations that
between 1960 and 2004 during a quiescence of emerged from the 2009 Samoan event, and there
tsunamis. was an overwhelmingly positive New Zealand
response to the warning.
Indian Ocean Tsunami
The 2004 Indian Ocean tsunami led to significant Exercise Tangaroa
improvements in the political and policy support In October 2010, New Zealand had yet
for tsunami risk management and the human and another opportunity to test the latest tsunami
financial resources to allow the establishment recommendations and improvements with the
of mitigation measures and improved crisis implementation of a Tier 4 real-time Exercise
management capability. In 2005, the New Zealand Tangaroa, a national test of response to a distant
government mandated establishment of a National tsunami from South America. These case studies
Exercise Programme, ranging from regular Tier 1 and the evolution of procedures, plans, and warning
Local Exercises through Tier 4 National Exercises, to messages highlight the importance of reviewing
improve the nation’s response to tsunamis and other previous events to successfully improve future
crises. In 2007, a national-level Tsunami Working response. It is vital that reviews are conducted in
Group was established. It supported initiatives the context of learning for the future, so important
at local and regional levels as well as improved recommendations are implemented rapidly, as
 Early Warning Systems 309

another event can occur within hours, days, or the awareness of tsunami risk had declined so
months. In addition, it is crucial that lessons and significantly since 1960. The unpredictable and
the knowledge of tsunami risk be kept a public and infrequent timing of large, damaging tsunamis,
official priority through education and exercises. combined with increasing density of populations
If the 2004 tsunami event had occurred in New and development in coastal zones, means that
Zealand waters, there would also have been nations must continually strive to maintain an
widespread devastation and loss of life because ability to manage the inevitability of tsunami crisis.

multidisciplinary planning activities, collabora- response and by a lack of interagency trust,

tive exercises and simulations, and a thorough before Katrina formed.
analysis of past performance in exercises and crisis Effective communication across agencies is
events. Post-event analysis is vital for both large- highly dependent on the development of inter-
and small-scale events because it allows identifi- personal and interorganizational trust. Estab-
cation of whether responses met actual needs. It lishment and maintenance of trust requires that
also helps ensure that a successful response does teams deliberately work together before a crisis
not lead to an optimism bias whereby people tend to develop shared mental models. Effective train-
to overestimate future response preparedness and ing through periodic exercises supports the devel-
capability. This is particularly applicable when a opment of realistic expectations of operational
crisis has not recently constituted a major test of responses, while also promoting a shared and real-
response efforts. For example, response to Hur- istic understanding of decision makers’ capabili-
ricane Katrina in the United States in 2005 was ties for many scales of crises. “Scenarios” should
significantly hindered by differences in the cul- also be used to help ensure that exercises are real-
tures of organizations involved with emergency istic and have the potential to reduce uncertainty
resulting from a lack of understanding of likely
impacts and outcomes. Scenarios should reflect
investigations of the impacts and of response and
recovery issues relating to potential crises. They
should adopt realistic timelines and test critical
decisions, such as response to variations in hazard
thresholds and the fluctuating area of correspond-
ing evacuation zones. This is particularly impor-
tant for EWSs, when extremely short windows
of time for effective critical decisions will be fun-
damentally dependent upon responders’ under-
standing of their roles, responsibilities, skills, and
needs, in addition to those of others.

Chris Gregg
East Tennessee State University
David M. Johnston
Emma E. H. Doyle
Joint Centre for Disaster Research

See Also: Emergency Alert System; Emergency Public

Information; Mass Media; News Media; Response;
Figure 2 Tsunami wave travel times for New Zealand Warning.
310 Earthquakes

Further Readings Ministry of Civil Defence and Emergency

Berryman, K. “Review of Tsunami Hazard and Risk Management (MCDEM). “MCDEM Response to
in New Zealand.” Lower Hutt, NZ: Institute of the Tsunami Threat From the 30 September 2009
Geological and Nuclear Sciences Client Report Samoan Earthquake: Report on Internal Review.”
2005/104 (January 2007). http://www.civildefence Wellington, NZ: MCDEM, 2009.
.govt.nz/memwebsite.nsf/Files/Tsunami_Hazard Mislove, A., M. Marcon, K. P. Gummadi, P. Druschel,
_report/$file/Final_Hazard_and_Risk_Report-web and B. Bhattacharjee. “Measurement and Analysis
.pdf (Accessed March 2012). of Online Social Networks.” In Proceedings of
Endsley, M. R. “The Role of Situation Awareness in the 7th ACM SIGCOMM Conference on Internet
Naturalistic Decision-Making.” In Naturalistic Measurement. New York: ACM, 2007.
Decision-Making, C. E. Zsambok and Gary Klein, Paton, D. and D. M. Jackson. “Developing Disaster
eds. Mahwah, NJ: Lawrence Erlbaum, 1997. Management Capability: An Assessment Centre
Garnett, J. L. and A. Kouzmin. “Communicating Approach.” Disaster Prevention and Management,
Throughout Katrina: Competing and v.11/2 (2002).
Complementary Conceptual Lenses on Crisis
Communication.” Public Administration Review:
Administrative Failure in the Wake of Katrina,
v.67/1 (2007).
Grabowicz, P. A., J. J. Ramasco, E. Moro, J. M. Pujol, Earthquakes
and V. M. Eguiluz. “Social Features of Online
Networks: The Strength of Intermediary Ties in Devastating earthquakes strike without warning,
Online Social Media.” Plos ONE, v.7/1 (2011). surprising the affected population and offering
Gregg, C. E., et al. “Natural Warning Signs of little time to make critical decisions in response to
Tsunamis: Human Sensory Experience and the event. Although disaster mitigation and pre-
Response to the December 26, 2004 Earthquake paredness planning activities can greatly reduce
and Tsunami, Thailand.” Earthquake Spectra, loss of life and destruction of property, a sig-
v.22/Special Issue III (2006). nificant number of people living in earthquake-
Johnston, D., R. Pettersson, G. Downes, D. Paton, prone areas still remain ill equipped to respond to
G. Leonard, K. Pishief, and R. Bell. “Developing and recover from seismic events. In part, lack of
an Effective Tsunami Warning System: Lessons preparedness can be attributed to the continued
From the 1960 Chile Earthquake Tsunami for New need for populations living in high-risk areas to
Zealand Coastal Communities.” Kotuitui: New be constantly ready for an earthquake that may
Zealand Journal of Social Science, v.3 (2008). not occur in the months and years to come. How-
Leonard, G. S., D. M. Johnston, and W. S. A. ever, the 2011 Tohoku earthquake dramatically
Saunders. “Hazard Warning Systems for the revealed that even when populations are well
Gisborne District: Assessment of Options.” GNS prepared, like the Japanese, earthquakes can trig-
Science Report 2006/04 (2006). ger a cascade of disasters, each with their unique
Lipshitz, R., G. Klein, J. Orasanu, and E. Salas. characteristics and demands.
“Focus Article: Taking Stock of Naturalistic Adoption of an all-hazards model for cri-
Decision-Making.” Journal of Behavioral sis management, the 2008 National Response
Decision-Making, v.14/5 (2001). Framework (NRF), has been widely promoted by
Mileti, D. S. and L. Peek. “The Social Psychology of a variety of federal and state government agencies
Public Response to Warnings of a Nuclear Power and relief organizations. This type of approach
Plant Accident.” Journal of Hazardous Materials, has its merits when responding to several types
v.75/2–3 (2000). of disasters that are unfolding simultaneously or
Ministry of Civil Defence and Emergency sequentially. The NRF includes best practices for
Management. “CDEM Exercises: Director’s managing disasters of any type, severity, and size.
Guideline for Civil Defence Emergency Nonetheless, it is important to note that crisis
Management Groups [DGL 010/09].” Wellington, management activities executed during and after
NZ: MCDEM, June 2009. a seismic incident differ in significant ways from
 Earthquakes 311

those planned and performed for a tsunami or a Understandably, people living in areas typically
nuclear accident. For example, although evacua- not associated with seismic activity are at even
tion from threatened or affected areas is impor- greater risk for adverse outcomes during an earth-
tant for all three types of disaster, unlike the two quake. Although there were no reports of major
natural disasters, a nuclear accident has an invis- damage or deaths from the 2011 earthquake
ible threat from radiation and requires specific that shook offices and homes in New York City,
actions for protection and decontamination in the Washington, D.C., and Virginia, it was widely
immediate aftermath as well as during the recov- acknowledged that people living in those areas
ery period. In our increasingly complex society, are very unprepared for this type of a disaster.
brief earthquakes have the potential to trigger In smaller, more rural communities, there is a
long-term, far-reaching destruction that goes well new and growing concern about the association
beyond the collapse of physical structures. between hydrofracking, the process of extract-
ing natural gas from shale rock formations, and
U.S. Seismic Activity and Threat earthquake activity in historically inactive areas
On average each year, a few thousand earthquakes of the United States. At present, this relationship
of varying magnitude take place throughout the is poorly understood and is being evaluated by
United States. Annually, approximately 70 to75 scientists and regulators. A number of govern-
earthquakes occur worldwide that cause signifi- ment agencies have joined forces to address these
cant damage. An earthquake is formed by a series varied concerns and to establish sound crisis man-
of foreshocks, mainshocks, and aftershocks. The agement programs.
size and duration of the mainshock are indicative
of the severity of subsequent aftershocks, which National Programs Planning for Earthquakes
can continue for weeks, months, or even years Four agencies constitute the National Earth-
after the initial tremor. quake Hazards Reduction Program (NEHRP)
Specific areas of the United States are noted Interagency Coordinating Committee (ICC): the
for their potential for significant seismic activity National Institute of Standards and Technology
that would not only result in a large number of (NIST), the Federal Emergency Management
deaths because of population density but would Agency (FEMA), the National Science Foun-
also cause extensive damage to the infrastruc- dation (NSF), and the U.S. Geological Survey
ture, water supply, and transportation system. In (USGS). To reduce the impact of earthquakes in
the early 1800s, four of the largest earthquakes the United States, the NEHRP agencies collec-
occurred in the New Madrid Seismic Zone, a tively gather data on environmental and struc-
seven-state area that encompasses Arkansas, Illi- tural risks for geological disasters and the human
nois, Indiana, Kentucky, Mississippi, Missouri, responses to such crises. By analyzing outcomes,
and Tennessee. This area remains at high risk for the ICC works to improve mitigation, prevention,
a catastrophic earthquake and has long been a preparedness, education, and disaster response
focus of crisis management endeavors. management.
The San Andreas Fault is one of several active The NIST is the lead agency responsible for
faults located in California. Researchers, gov- coordinating and planning the NEHRP. By con-
ernment officials, and the media have centered ducting earthquake engineering research, the
their attention on northern California, where a NIST strives to reduce earthquake risk by inno-
megaflood could occur should portions of the vating and updating technical standards for cur-
2,600-mile levee system in the Sacramento area rent and future infrastructure in the United States.
be destroyed during an earthquake. If the levees FEMA educates professionals and communities
are breached, the supply of fresh water to farms in emergency management, promotes disaster
and people living in southern California would be preparedness, and facilitates post-disaster recov-
contaminated by saltwater. The adverse effects of ery. FEMA integrates current research in promot-
a megaflood triggered by an earthquake would ing earthquake-resistant building design and in
reach far beyond California and affect the national implementing the National Response Plan after
food supply as well as the global economy. an earthquake or other disaster occurs.
312 Ebola Virus

The NSF supports a wide range of earthquake gs.gov/earthquakes/eqarchives/year/eqstats.php

research, from early detection of seismic events (Accessed May 2012).
to development and evaluation of methods for U.S. Geological Survey. “Earthquakes Hazards
structural and social recovery. The NSF also uses Program.” (May 2, 2012). http://earthquake.usgs
the Network for Earthquake Engineering Simu- .gov/earthquakes/?source=sitenav (Accessed May
lation (NEES) to create hazardous earthquake 2012).
conditions for testing structural safety outside an
actual disaster. The USGS primarily monitors the
status of all natural resources in the United States,
including observing and evaluating earthquake
activity. The USGS is also responsible for devel- Ebola Virus
oping and disseminating seismic hazard maps to
guide the development of future infrastructure in Ebola virus is one of the deadliest known viruses,
the United States. In the 2000s, significant prog- and it results in severe acute viral illness, known
ress has been made to coordinate the efforts of as Ebola hemorrhagic fever (EHF). The first
federal and state agencies, strengthen mitigation recorded Ebola patient was a schoolteacher
and preparedness practices, and develop effec- named Mabalo Lokela from the village of Yam-
tive crisis management programs. However, aging buku, Zaire, diagnosed on September 5, 1976.
bridges, tunnels, and levees make the United Since 1976, there have been sporadic outbreaks
States highly vulnerable to both the short- and of Ebola in the central African countries. A con-
long-term consequences of major earthquakes. servative estimate is that there have been at least
1,800 cases and 1,300 deaths.
Lisa M. Brown
Michelle Ellis Outbreaks
University of South Florida The first documented outbreak of Ebola was in
the African countries of Zaire (presently known
See Also: Cascading Crisis; Critical Infrastructure; as the Democratic Republic of the Congo [DRC])
Floods; Multiple Disaster Problem; National and the Sudan. Both countries had approximately
Response Framework; Nuclear Risk; Preparedness; 300 people infected, and the mortality rate was
Prevention; Recovery; U.S. Geological Survey (USGS). 88 percent in Zaire and 53 percent in Sudan. The
Zaire subtype is the most deadly strain. The dis-
Further Readings ease spread was the result of direct contact with
Federal Emergency Management Agency. the infected, insufficient contamination proce-
“Earthquake.” (November 9, 2011). http://www dures, and unsanitary hospital practices, such
.fema.gov/hazard/earthquake (Accessed May 2012). as reusing needles. A second outbreak occurred
National Earthquake Hazards Reduction Program. in both countries in 1977 and 1979. A new sub-
“Agencies.” (February 3, 2009). http://www.nehrp type was found in Côte d’Ivoire, assumed to have
.gov/about/agencies.htm (Accessed May 2012). originated from a person dissecting a monkey, in
National Institute of Standards and Technology. 1994. In 1995, a major outbreak occurred in Kik-
“Disaster and Failure Studies: Earthquakes.” (March wit, DRC, where 315 people were infected and
17, 2010). http://www.nist.gov/el/disasterstudies 244 died. Three outbreaks occurred in Gabon, in
/earthquake/index.cfm (Accessed May 2012). 1994–95, resulting in 98 deaths out of 150 cases.
National Science Foundation. “Network for Uganda in 2000–01 had an outbreak of 425 cases
Earthquake Engineering Simulation.” http:// with 224 mortalities. In 2001–03, sporadic out-
www.nsf.gov/news/special_reports/nees/about.jsp breaks occurred in Gabon and the DRC, resulting
(Accessed May 2012). in 278 cases and 235 deaths. Another outbreak
National Science Foundation. “What We Do.” http:// occurred in the DRC in 2007 (249 cases/183
www.nsf.gov/about/What.jsp (Accessed May 2012). deaths). Also, in 2007 a relatively mild fifth strain
U.S. Geological Survey. “Earthquake Facts and of Ebola was identified in Uganda and is called
Statistics.” (April 25, 2012). http://earthquake.us Bundibugyo.
 Ebola Virus 313

Classification and Subtypes is from the Philippines. The first three cause a
Ebola gets its name from the Ebola River in Zaire severe form of hemorrhagic fever in humans, and
(aka DRC). The Centers for Disease Control Bundibugyo is considered a mild strain. REBOV
classify Ebola as a biosafety level four, which is is not known to result in human illness but is fatal
reserved for the most deadly and exotic diseases. to monkeys.
Ebola virus is listed as ICD-10-CM A98.4 under
the International Statistical Classification of Dis- Natural Reservoir
eases and Related Health Problems (called ICD, The natural reservoir (host) is presently unknown
for short). Ebola is a filovirus, which belongs to but is suspected to be a zoonotic virus that lives
the virus family Filoviridae. There are only two in the rainforest of Africa and the western Pacific.
members in the Filoviridae family: Ebolavirus and Even though the infected humans have been
Marburgvirus. Both are classified, under the Bal- linked to nonhuman primates, such as chimpan-
timore classification, as a Group V virus because zees, gorillas, monkeys, and other animals, such
the viruses possess negative-sense single-stranded as forest duikers (antelope) and porcupines, these
RNA genomes. There are five subtypes of Ebola are not considered the natural reservoir. It is sus-
viruses (based on location where they were first pected that nonhuman primates are acquiring it
identified): Zaire (ZEBOV), Sudan (SEBOV), from a different source. Bats are suspected to be
Côte d’Ivoire (CIEBOV), Bundibugyo, and Res- a natural reservoir, with evidence pointing at fruit
ton (REBOV [nonhuman]). The first four were bats as the likely natural reservoir because of hav-
located in central African countries, and Reston ing asymptomatic infection of the Ebola virus.

Stanford University student Cesar Ambriz, an intern with the U.S. Department of Homeland Security’s HS-STEM program, works on a
portable diagnostic test to determine the presence of various viral DNA for organisms like Ebola in biological samples. Most viruses are
cultured in a lab, a time-consuming and expensive process. A portable assay with minimal sample preparation could be modified to test
for new pathogens and could handle 72 samples in 24 hours, aiding in detection during a bioterrorist attack or suspected outbreak.
314 Ebola Virus

Transmission Down in the United Kingdom involving the Zaire

The chain of transmission has not been estab- ebolavirus, all resulting in death.
lished conclusively. It is alleged that the Ebola
virus can be directly transmitted from infected Prevention, Treatment, and Management
bats to humans. Ebola also can be transmitted There is no cure or vaccine for EHF. Prevention
from the handling of infected chimpanzees, goril- includes practicing strict barrier procedures, isolat-
las, monkeys, duikers, pigs, porcupines, or fruit ing the patient, and using new needles. Other pre-
bats (dead or alive). In human populations, Ebola vention strategies include avoiding direct contact
is transmitted by contact with an infected human’s with blood and/or bodily fluids, or with deceased
blood, secretions, organs, or other bodily fluids EHF patients, and close contact or handling non-
(e.g., semen or vaginal fluid) as well as direct human primates, duikers, pigs, porcupines, or fruit
contact with the infected person, such as caring bats. Treatment consists of providing patients with
for the ill or burials. Nonhuman primates can be fluids (intravenous fluids or oral), sustaining blood
infected by respiratory pathway, but humans are pressure and oxygen levels, and treating them for
assumed to be immune to airborne Ebola virus. any secondary infections. Management of Ebola
cases requires identifying the people the patients
Incubation, Symptoms, and Diagnosis have interacted with. All hospital staff and first
Ebola’s incubation period ranges from two to 21 responders need to be briefed on prevention pro-
days. The symptoms during the early incubation tocols, transmission routes, the lethal nature of the
period are similar to those of other viral infec- virus, and proper handling of infected persons and
tions, such as aches, chills, diarrhea, fever, head- soiled clothing and other material.
ache, low back pain, nausea, sore throat, emesis
(vomiting), and weakness. Symptoms in the later Ebola as a Bioweapon?
stages include hemorrhaging (bleeding) from the During the Cold War, Russian scientists at Biopre-
eyes, ears, and nose; gastrointestinal hemorrhag- parat experimented with Ebola as a bioweapon.
ing (bleeding from mouth and rectum); impaired Former First Deputy Director of Biopreparat Ken
kidney and liver function; multiple organ failure; Alibek hypothesized that Russian scientists may
rash (maculopapular) across the entire body, have aerosolized Ebola as a bioweapon. Aum Shin-
generally accompanied by bleeding; and swell- rikyo, a Japanese cult, had a member go to Zaire to
ing of the eyes (conjunctivitis) and genitals (labia collect the virus for use as a bioweapon. However,
and scrotum). many scientists consider the possibility of Ebola
The diagnosis of the Ebola virus is confirmed by being used as a bioweapon as unlikely because its
laboratory tests of blood or serum samples, which lethal nature makes it impractical to transport and
identify the presence of antigen or genomic/sub- it is not known to be airborne.
genomic RNA. Specimens collected during severe
stages of EHF are the optimal for isolating the Andrew Hund
Ebola virus. An electronic microscope can confirm Independent Scholar
filovirions but cannot discriminate between filo-
viruses, even though they have different lengths. See Also: Biological Weapons; Cholera; Doctors
Immunofluorescence assays (IFA) are used to con- Without Borders; Epidemics; Health and Medical
firm the presence of the Ebola virus via a cell cul- Response Scenarios; Infectious Disease; Infestations,
ture, but the results can be misleading. Diagnosis Parasite; Influenza; Malaria; Measles; Pandemics;
in the field commonly consists of reverse transcrip- Public Health Surveillance; Quarantine; Severe
tion polymerase chain reaction (RT-PCR) used in Acute Respiratory Syndrome (SARS); Smallpox;
combination with antigen-capture enzyme-linked Tuberculosis; Vaccinations; Vulnerable Populations;
immunosorbent assay (ELISA). Testing of Ebola World Health Organization (WHO), UN.
virus is considered an extreme biohazard risk
and should be performed under highest biologi- Further Readings
cal containment protocols. There have been two Close, W. “Ebola: Through the Eyes of the People.”
laboratory accidents in Russia and one at Porton Nigeria: Meadowlark Springs Production, 2001.
 Electronic Media 315

Hewlett, B. and B. Hewlett. Ebola, Culture, and media based on traditional nomenclature, such as
Politics: The Anthropology of an Emerging Disease newspapers, television, radio, and so on. This is
(Case Studies on Contemporary Social Issues). especially true with newer formats such as Web
Belmont, CA: Wadsworth, 2007. sites, mobile apps, podcasts, and social media
Smith, T. “Ebola and Marburg Viruses.” In Deadly included under the umbrella term electronic
Diseases and Epidemics. 2nd ed, Hilary Babcock, media. Instead, it can be more useful to classify
ed. New York: Chelsea House, 2010. media based on four basic dimensions of format,
velocity, directionality, and permanence. Format
can be classed as text, audio, video, images, or
any combination thereof; it can also refer to the
relative length of media artifacts. For example,
Electronic Media institutional Web pages allow for long documents
that may consist of text as well as photographs
Historically, the term electronic media was used and embedded video or audio. Podcasts are typi-
primarily to distinguish technologies such as cally audio recordings, including recorded radio
broadcast and cable television or radio from print broadcasts, although sometimes the term is used
newspapers and magazines; it later expanded to refer to audiovisual content. Given the decline
to include video games as digital cultural arti- in real-time audiences for television and broad-
facts. In today’s convergent media environment, cast news and the increasing prevalence of mobile
it becomes increasingly difficult to distinguish devices, the use of diverse formats can allow crisis
between “electronic” and other forms of media, managers to communicate more effectively with
as nearly all traditional media outlets also pub- stakeholders.
lish at least some content electronically online, The relative velocity of a medium indicates how
and produce content in multimedia formats. The quickly new content or changes can be expected
broad category of electronic media now also to reach stakeholders or diffuse to other audi-
includes more interactive forms of online commu- ences. Multiple electronic media can be used to
nication such as social media and text messaging, maximize velocity when necessary. For example,
as well as institutional Web sites that may con- subscription technologies such as really simple
tain both static and dynamic content. With the syndication (RSS) can be employed to notify sub-
growth of mobile technology, media and commu- scribers when new information is available and
nication platforms that rely exclusively or in part deliver it to a dedicated reader. Social media out-
on apps for smart phones or tablet devices are lets such as Twitter or Facebook can not only
also becoming widespread. Electronic media thus notify followers but also allow them to share
encompass a wide variety of content and deliv- links to content with their own social networks.
ery modes. In the context of crisis management, Leveraging multiple delivery modes makes it pos-
electronic media constitute means for delivering, sible to maximize the reach of time-critical infor-
broadcasting, receiving, and sharing information mation in a crisis situation.
throughout all stages of a crisis: before, during, Some electronic media are designed as one-way
and after. In addition to advantages such as rapid communication systems, whereas others allow
dissemination and extensive reach of time-sensi- dialogue. The directionality of a given medium is
tive or critical information, electronic media also therefore another factor to be taken into consid-
pose additional challenges for crisis managers. eration when deciding how, and with whom, to
communicate at any stage of a crisis. Social media
Features of Electronic Media offer the convenience of rapid information dis-
Studies have shown that different categories of semination, but sending messages through these
media represent crises differently, so an under- platforms constitutes opening a channel of con-
standing of different media platforms is impor- versation with users. Crisis managers should be
tant for effective crisis management and commu- prepared to answer questions and, in some cases,
nication. Given the complexity of the electronic respond to negative comments that can arise when
media landscape, it can be challenging to group emotions are high as a result of a critical situation
316 Electronic Media

(see discussion below of some of the challenges also dramatically increase the number of compet-
associated with communicating via electronic ing voices offering the public conflicting informa-
media, especially online). tion. Convergence also requires organizations to
Finally, especially in disaster management sce- create content in multiple formats to satisfy the
narios, it can be important to provide content that technical limitations of various kinds of devices
remains available to users for an extended period and meet different information needs. See the sec-
of time. One of the advantages of convergent tion below on the advantages and challenges of
media in these instances is that news packages electronic media for more discussion of this topic.
can be archived (often by both the media outlets The rise in mobile technology is creating one
and the organization or organizations providing of the most dramatic changes in communication,
important information) for retrieval. Background with particular implications for crisis management
details, fact sheets, vital instructions, contact infor- teams. The ability to report to others directly from
mation, and other key data should be communi- the site of a critical event with photographs, video,
cated using electronic media platforms that allow and real-time accounts can allow effective crisis
for some permanence of the content. By contrast, teams to handle rapidly evolving situations with
conventional radio and television broadcasts are greater agility. Time-sensitive information can be
ephemeral, available only to those who tune in to delivered immediately to the public or to specific
them in real time. Similarly, followers may miss stakeholder groups. Those directly involved in,
important news communicated via social media affected by, or observing the crisis as it takes place
platforms such as Twitter, which does not store can also communicate with emergency personnel,
information long term. Institutional Web sites volunteers, and the general public.
and media archives are typically the most reliable Within the area of mobile technology, the
sites for archiving crisis information. increasing popularity of augmented reality appli-
cations is also of interest for crisis management.
Trends in Electronic Media Augmented reality consists of a layer of infor-
As noted above, the two primary trends influenc- mation superimposed over a real-time view of
ing the electronic media landscape are conver- one’s surroundings; this content is delivered to
gence and mobile technology. Convergence refers users via a special mobile browser. Augmented
to the increasingly blurred boundaries between reality applications can provide background on
media formats: television (or television-like) con- a location, navigational information, and images
tent can now be accessed not only by means of of the same location at different times of day
a conventional television set but also on devices or over time. Public institutions and emergency
such as desktop or laptop computers, tablets, and organizations can rapidly update and publish
smart phones. News organizations typically pub- accurate information about an area in the wake
lish content to online editions of their publica- of a crisis for use by residents, visitors, or even
tions or stations as well as via traditional print, emergency staff.
radio, and broadcast outlets, but may also pro-
vide text messaging and push notification services Electronic Media
for breaking news, deliver headlines via Twitter, The same features of electronic media that can be
and include interactive infographics, audiovisual used for general classification purposes—along
content, slideshows of photographs or graphic with other distinctive characteristics of the elec-
art, and topical collections of links as part of their tronic media environment—can represent both
news packages. Perhaps more important, this advantages and challenges before, during, and in
array of information and content can be assem- the aftermath of critical situations.
bled by any organization or even an individual,
without the need for highly specialized skills. Efficient mass dissemination of messages and
Convergence can make it easier for organiza- information: The ability to make multimedia
tions and institutions to provide a wide range of content available to virtually unlimited audiences
information to media and stakeholders during the with or without the intervention of traditional
various stages of a crisis or emergency but can media gatekeepers, quickly and inexpensively,
 Electronic Media 317

makes electronic media an extremely efficient However, the virtually permanent availability
mode of communication at all stages of a crisis. of press releases, media coverage, opinion state-
However, this efficiency is not equally distributed ments, and other crisis-related content can also
among stakeholders. During an emergency situ- prove to be a liability in the case of controversial
ation that affects power or telephone service, or situations or organizations. Information, regard-
in a natural disaster, many people will be without less of its accuracy, can resurface at any time and
access to radio, television, or online sources of cause long-term repercussions. For example, links
information. to news reports of a 2006 outbreak of E. coli in
Even during normal circumstances, there are spinach crops are frequently included in sidebars
disparities in access to electronic media of all to media coverage of new food contamination
kinds based on geography, socioeconomic status, events, organic food regulations, or food safety
and overall media literacy, among other factors. It issues. Spinach sales in the United States have
is therefore important to consider who the poten- never fully recovered to their previous levels.
tial recipients of content may be and develop a
multifaceted communication strategy that takes Monitoring electronic media: Given the above,
different levels of access into account. Further- crisis managers and communicators need to main-
more, the sheer quantity of information to which tain ongoing awareness of the overall electronic
most people are exposed in contemporary society media environment. A number of automated and
can make it difficult to garner attention in critical semi-automated tools can facilitate the task of
situations; messages should be crafted with this monitoring, an activity known as “infoveillance”:
potential obstacle in mind. however, a comprehensive environmental scan-
ning procedure should involve people throughout
Public discourse and conversation: Today’s elec- an organization or community who are attuned to
tronic media give extensive reach to individuals potential crises that may emerge from unexpected
and organizations that might previously have quarters or that do not match a predefined set of
struggled to find an audience, and nearly instan- search keywords. The speed and social reach of
taneous indexing by search engines means that information (and misinformation) is such that a
anyone can rapidly locate a variety of perspec- situation can rapidly devolve into a more severe
tives on a crisis with relative ease. Crisis manag- crisis than necessary if it goes unchecked.
ers have unprecedented access to a vast range of Over the course of a weekend in November
discourse, including local news, campus publica- 2008, a print and video advertising campaign that
tions, small newsletters, trade organizations, and the Motrin painkiller brand had launched several
members of the general public, often even in the weeks earlier caught the attention of a number
early stages of a crisis. This can make it easier of mothers who were active in the blogging com-
to identify and respond to concerns quickly and munity. The campaign promoted Motrin as a
effectively. For example, in March 2012, after a remedy for mothers’ back pain caused by wearing
JetBlue pilot suffering a breakdown was subdued infants in slings. The mocking tone of the com-
by the crew and passengers during a flight from mercial sparked the outrage of certain influential
New York to Las Vegas, forcing a diversion to “mommy bloggers,” which spread so rapidly and
Texas, the airline was inundated with questions widely via social and other electronic media that
via Twitter and Facebook. The company was able when the company finally became aware of the
to respond promptly to stakeholder queries and situation on Sunday afternoon, it determined it
develop a messaging strategy based on its aware- had no recourse other than to recall the entire
ness of key areas of public concern. campaign.

Archiving: The ability to archive electronic Dawn R. Gilpin

media, both externally and internally produced, is Arizona State University
a valuable asset to organizations and institutions
in adjusting their crisis management strategies See Also: Crisis Communications; Mass Media;
based on careful analysis of past crisis situations. Public Relations; Social Media.
318 Electronic Vaulting

Further Readings bracing for all types of business disruption, rang-

Block, Melissa. “JetBlue Pilot Charged for Disruption ing from human error, power problems, and hard-
Mid-Flight.” (March 28, 2012). http://www.npr ware failures to catastrophic natural disasters and
.org/2012/03/28/149571305/jetblue-pilot-charged external or internal sabotage or terrorist attacks.
-for-disruption-mid-flight (Accessed July 2012). A vital component of business continuity
Bloomberg, Toby. “Motrin, a Case Study in Social and disaster recovery planning is data storage
Media Marketing.” (November 16, 2008). http:// and backup applications. Among different data
bloombergmarketing.blogs.com/bloomberg_mark backup methods and practices, electronic vault-
eting/2008/11/motrin-a-case-s.html. (Accessed July ing is a relatively new technique that is becom-
2012). ing increasingly popular in the disaster recovery
Caldiero, Christopher, Maureen Taylor, and Lia industry. Although electronic vaulting has tradi-
Ungureanu. “Organizational and Media Use tionally been used for only high-end solutions, it
of Technology During Fraud Crises.” In The has emerged as a feasible strategy for enterprises
Handbook of Crisis Communication, W. Timothy of all sizes in recent years.
Coombs and Sherry J. Holladay, eds. Malden, MA: Electronic vaulting, also referred to as e-vault-
Blackwell, 2010. ing, is the process of periodically transferring
Currie, Donya. “Expert Round Table on Social backup data to an alternate off-site location over
Media and Risk Communication During Times of high-speed networks. Some integral components
Crisis: Strategic Challenges and Opportunities.” of electronic vaulting characterize and distin-
Washington, DC: American Public Health guish it from traditional backup strategies. The
Association, 2009. main components are (1) offsite data storage,
Eysenbach, Gunther. “Infodemiology and (2) reduced recovery time objective, (3) reduced
Infoveillance: Framework for an Emerging Set of recovery point objective, and (4) data security
Public Health Informatics Methods to Analyze and confidentiality.
Search, Communication, and Publication Behavior
on the Internet.” Journal of Medical Internet Offsite Data Storage
Research, v.11/1 (2009). A disaster-proof data protection strategy requires
Nucci, Mary L., Cara L. Cuite, and William K. that backup data are not only off-line but also
Hallman. “When Good Food Goes Bad: Television off-site and out of reach. However, most com-
Network News and the Spinach Recall of 2006.” panies use their own methods to back up data
Science Communication, v.31/2 (2009). within their facilities. Although such traditional
Wigley, Shelley and Maria Fontenot. “The Giffords methods may ensure against minor disruptions
Shootings in Tucson: Exploring Citizen- caused by technical problems or human error,
Generated Versus News Media Content in Crisis they are useless in case of a major disaster. Fur-
Management.” Public Relations Review, v.37/4 thermore, on-site backup data is vulnerable to
(2011). hacker attacks and viruses as well. Therefore, a
true data protection and recovery strategy should
incorporate an off-site storage component. This
strategy makes sure that data are always acces-
sible and up-do-date in at least two alternate
Electronic Vaulting locations. Utilizing an off-site facility located at
a geographically distant region further ensures
The emergence and rapid proliferation of e-com- against widespread natural disasters.
merce and Internet-based services have stimulated
significant changes in the business continuity and Reduced Recovery Time Objective
disaster recovery industries. In today’s new busi- In business continuity planning, the recovery time
ness venue, ensuring secure and uninterrupted objective is defined as the maximum tolerable
business operations is of paramount importance length of time in which business-critical data may
for both public and private organizations. Sound be lost in case of a disaster. Traditionally, busi-
business continuance requires planning and ness continuity plans include a process for data
 Electronic Vaulting 319

protection in which daily backup data in the companies. Utilizing advanced telecommunica-
forms of magnetic tapes or disc drives are physi- tion technologies, these companies offer almost
cally transported to a secure facility. This process limitless variations on the level of protection and
is called physical off-site vaulting. The recovery recovery, depending on customer needs and pri-
process in physical off-site vaulting lasts hours or orities. The banking sector, for instance, where
even days and includes some risks such as damage even a few minutes of financial data are extremely
and loss of data during transportation. important, uses high-end electronic vaulting ser-
Unlike physical off-site vaulting, electronic vices to ensure real-time data security. Advan-
vaulting can transfer large batches of data off- tages and benefits of outsourcing the electronic
site at high speeds and instantly retrieve them in vaulting process include streamlined operations,
the event of a disaster. Internet-based recovery reduced labor cost, and increased backup and
service provided by electronic vaulting enables recovery performance.
organizations to have their systems running in Electronic vaulting represents a transition from
minutes. Therefore, electronic vaulting elimi- a reactive and separate disaster recovery strat-
nates the cost, time, and labor required for the egy to a proactive part of the business continuity
multi-day process of transporting backup disks and contingency planning process. In that regard,
and tapes off-site and bringing them back in the electronic vaulting can be seen as another kind
event of a disaster. of business insurance. With the advancements
in data storage technology in recent years, stor-
Reduced Recovery Point Objective age hardware prices and the cost per gigabyte to
Recovery point objective refers to the point in time store have significantly decreased. Furthermore,
from which the system can restart after a disrup- this decreasing trend in data storage prices is pro-
tion. Depending on the criticality of the data to be jected to continue in the future. Therefore, elec-
preserved, electronic vaulting enables companies tronic vaulting today is not a business solution
to back up data more frequently, which ensures a solely affordable for large enterprises. Rather,
more current and up-to-date archive off-site. As for small-to-large organizations, electronic vault-
a result, electronic vaulting significantly reduces ing is emerging as a viable technical contingency
recovery point objective and ensures real-time solution in business continuity plans for all
recovery in case of a disaster. environments.

Data Security and Confidentiality Bahadir Kucukuysal

Security and confidentiality of data to be stored Independent Scholar
off-site by third parties is a significant concern
for many organizations, especially for those that See Also: Alternate Site; Backup Facility; Backup
want to back up information vital to continuance Media; Backup Strategy; Business Continuity
and even survival of their businesses. Data stor- Management; Business Continuity Planning; Business
age and recovery strategies in which security and Continuity Planning Life Cycle; Business Resumption
confidentiality of data are not ensured leave busi- Planning; Contingency Planning; Criticality
ness-critical data vulnerable to hackers, thieves, Assessment; Data Mirroring; Data Recovery; Disaster
and competitors. Encryption is a common solu- Recovery; Disaster Recovery Life Cycle; Disaster Risk
tion to these security concerns and a guaranteed Reduction; Disruption of Organizations; Downtime;
method to secure backup data off-site. Electronic Failover; Hazard Mitigation; Journaling; Minimum
vaulting solutions encrypt data at the source Business Continuity Objective; Recovery Time
before they are transmitted over the Internet to Objective.
the remote backup site. Data remain encrypted
and fully protected throughout their lifetime at Further Readings
the off-site location, and only users with the cor- Bajgoric, Nijaz. “Advanced Storage Technologies for
rect password can decrypt and access them. Business Continuity.” In Continuous Computing
The electronic vaulting process is often Technologies for Enhancing Business Continuity,
outsourced to professional and specialized Nijaz Bajgoric, ed. Hershey, PA: IGI Global, 2009.
320 Electronics Waste

Brooks, Charlotte, et al. “Disaster Recovery Strategies being illegally exported to developing countries
With Tivoli Storage Management.” SG24-6844-01. under the pretext of a charity donation, or by
Armonk, NY: IBM Corporation, 2002. being wrongly labeled as testing and working
Ganong, Ray. “The Emergence of E-Vaulting.” when in fact the opposite is true. Readily avail-
Information Management Journal, v.37 (2003). able processing facilities, low labor costs, and
Hordeski, Michael Frank. Emergency and Backup lax environmental regulations and enforcement
Power Sources: Preparing for Blackouts and make shipping e-waste to developing countries
Brownouts. Lilburn, GA: Fairmont Press, 2005. such as India, China, and West Africa an attrac-
Swanson, Marianne, et al. “Contingency Planning tive solution for unscrupulous traders. As a result,
Guide for Information Technology Systems: these countries are turning into e-waste dumping
Recommendations of the National Institute grounds. Numerous investigations by environ-
of Standards and Technology.” NIST Special mentalists and regulatory bodies have highlighted
Publication 800-34. Washington, DC: U.S. that these countries are ending up as e-waste
Government Printing Office, 2002. dumping grounds where e-waste is handled in
often unregulated and primitive ways. Locals
often work in poor and hazardous environments,
often with no personal protection against expo-
sure to hazardous components. In an effort to
Electronics Waste reclaim valuable reusable metals such as copper,
gold, and aluminium, methods such as burning
Electronics waste has turned into a waste crisis, and the use of chemicals including cyanide and
representing 8 percent of the global solid munici- nitric acid are common.
pal waste stream. Mountains of electronics waste
(e-waste) are snowballing at rates of over 50 mil- E-Waste Sources and Problems
lion tons a year. Because much of the waste often Historically, a large majority of e-waste has origi-
ends up in incinerators or landfills, only a small nated from countries such as the United States,
proportion is currently being recycled. Take-back the EU, and China. However, developing coun-
schemes have been introduced in several countries tries are experiencing a surge in the amount of
in the European Union (EU) and globally; how- e-waste being generated following an explosion in
ever, many countries are slow to adopt suitable the use of electronics and the continued import of
schemes, and some lack the capacity to deal with e-waste from other countries. The United Nations
the vast quantities that are being generated. estimates that India could experience a rise of
Electronics waste, also known as e-waste, is 500 percent by 2020 in the number of comput-
defined as discarded electronic equipment such as ers dumped. Implementing e-waste management
televisions, batteries, mobile phones, and comput- schemes in developing countries has proven to be
ers. The majority of e-waste can be mined for its problematic for many reasons. Many countries
raw materials (e.g., copper, gold, and aluminium) simply lack the infrastructure, investment, and
and harvested for components. Legal e-waste recy- incentive to dispose of e-waste in a safe and envi-
cling markets are currently valued at over $6 bil- ronmentally friendly way. The amount of e-waste
lion per annum. The soaring rate of e-waste can be is growing at such a rate that it is becoming too
attributed to technological advances as old tech- large to handle. Imports of e-waste from other
nology becomes obsolete, mass consumer trends, countries are hampering efforts and leaving devel-
and products nearing the end of their shelf life. oping countries with mountains of waste that are
The Basel Convention was agreed to in 1992. threatening the public health and damaging the
It is an international treaty that aims to control environment.
the movements and disposal of hazardous waste, Recognizing a growing environmental prob-
including e-waste. Under terms of the conven- lem, Switzerland was the first country, in 1991,
tion, it is illegal to export e-waste; however, the to introduce a regulated e-waste program. How-
growing international black market for electron- ever, it has been the EU’s Waste Electrical and
ics waste has led to increasing amounts of e-waste Electronic Equipment Directive (WEEE), which
 EM-DAT 321

requires member states to adhere to set collec- The e-waste crisis requires a global solution,
tion, recycling, and recovery rates for all types of and although an increasing number of countries
electrical products and goods, that led the way by are responding to the crisis by introducing legisla-
introducing the principle of extended producer tion governing e-waste, this needs to be properly
responsibility (EPR). EPR refers to the mandating regulated and enforced in order for it to succeed.
of electronic manufacturers to take back products The implementation of EPR, consumer aware-
at the end of their life for safe reuse and recycling. ness, and clean and efficient recycling facilities are
EPR follows the rule of the “producer pays” sys- many elements that, combined, can help success-
tem. It is hoped that this will encourage manufac- fully manage the growing crisis.
turers to improve the recyclability of their prod-
ucts by developing more environmentally friendly Cher N. Peterson
technologies and reduce the amount of hazardous Independent Scholar
materials in their products. Despite a global, grow-
ing crisis brewing, the uptake of e-waste regula- See Also: Electronic Media; Environmental
tion, with the exception of the EU, has been slow. Contamination; Hazardous Waste Disposal; Public
Consumers have been slow to recognize the Image; Public Relations.
problem that e-waste poses. Consumers’ aware-
ness has focused on the use of recover and reuse Further Readings
schemes, thereby preventing e-waste from enter- “Mountains of E-Waste Threaten Developing World.”
ing the waste stream and extending the life span BBC (2010). http://news.bbc.co.uk/1/hi/85280
of the device. Informing consumers of the correct 66.stm (Accessed April 2012).
ways to dispose of their unwanted electronics is Nincorom, I. C. and O. Osibanjo. “Overview of
seen as a key element in the successful manage- Electronic Waste (E-Waste) Management Practices
ment of e-waste. and Legislations, and Their Poor Applications
in the Developing Countries.” Resources,
E-Waste as a Crisis for Organizations Conservation & Recycling, v.52/6 (2008).
E-waste can pose a crisis situation for an organiza- Ongondo, F. O., I. D. Williams, and T. J. Cherrett.
tion in several ways. The sheer volume of e-waste “How Are WEEE Doing? A Global Review of the
can increase exponentially, with new technolo- Management of Electrical and Electronic Wastes.”
gies constantly evolving. Organizations can find Waste Management, v.31/4 (2011).
themselves presented with huge stockpiles of out- United Nations Environment Programme.
of-date and unwanted electronic waste. The safe, “Recycling—From E-Waste to Resources.” (2009).
ethical, and cost-effective disposal of e-waste can http://www.unep.org/PDF/PressReleases/E-Waste
prove to be problematic if not implemented or _publication_screen_FINALVERSION-sml.pdf
monitored properly. It is important that an orga- (Accessed April 2012).
nization is fully compliant with local regulations
and laws when disposing of its e-waste; this also
applies to the contractor tasked with disposal.
Before hiring a contractor, it is important that an
organization audits and screens its chosen dis- EM-DAT
posal contractor, as improper disposal can have
disastrous consequences for both parties, includ- Although hazards, disasters, and crises have been
ing legal action and negative publicity. occurring for millennia, it has only been during
Corporate social responsibility is high on the the past half-century that society has become
agenda of many companies that want to be seen truly interested in assessing and understanding
doing their part for the environment, and there the multifaceted impacts associated with cata-
has been increasing pressure by consumers and strophic events. The need to systematically track
environmentalists for companies to adopt envi- and account for disaster impacts had become the
ronmentally friendly technologies that facilitate central focus of governing bodies across the globe,
effective waste disposal. yet one centralized repository for all disaster
322 EM-DAT

losses has yet to be created. Although there are reported killed, (2) that 100 or more people were
currently many risk, hazard, crisis, and disaster reported injured, (3) that the event resulted in a
data sets from which research, academia, decision declared state of emergency, or (4) that the event
makers, nonprofit organizations, and the general resulted in a call for international assistance. A
public can draw information, each has been cre- final layer of quality assurance/validation includes
ated for a particular purpose and positioned to a triple verification check at the disaster type level
answer specific questions. Few among the mul- (hurricane), the country level (each impacted
titude of data sets are recognized internationally country), and the source level (entity providing
as practical for rationalized decision making. the data—United Nations, national government,
Included here is the Emergency Events Database nongovernmental organization [NGO], etc.). The
(EM-DAT) from the World Health Organiza- resulting EM-DAT database reflects a systematic
tion’s Collaborating Center for Research on the and consistent data collection and storage process
Epidemiology of Disasters (CRED). Originally containing accurate disaster impact information
created to support the CRED and the country at the country level, including a unique disaster
of Belgium during the late 1980s, the database number for each disaster event; a country identi-
has been expanded to cover every country in the fier; a disaster grouping, subgrouping, type, and
world and reports disaster loss and impact infor- subset; a disaster start and end date; the numbers
mation for a variety of events in support of relief of people killed, injured, and homeless; the num-
and recovery operations, poverty alleviation, and ber of people needing immediate assistance; and
health integration in disaster prone areas. the estimated amount of damage (in U.S. dollars).
Some cases also contain additional information
EM-DAT Aims and Attributes such as detailed geographic information, mag-
The main goals of the EM-DAT product are deci- nitude and intensity information, international
sion support for disaster and crisis recovery, haz- response status, the amount of aid contributions
ard mitigation, and as a means by which inter- (in U.S. dollars), and information on specific sec-
national aid contributions to disaster areas can tors impacted.
be tracked and analyzed. This decision support In addition to the tabular data available at
requirement is met through systematic collection the EM-DAT, a coordinated effort between the
and analysis of disaster impacts on vulnerable CRED and the Global Risk Identification Pro-
populations across the globe. The EM-DAT has gram (GRIP) has developed and deployed a Web-
been a leader in creating best practices for disaster based tool for visualizing worldwide disaster data
data collection, database standardization, valida- collection initiatives (DISDAT). This portal aims
tion, and analysis and has created a freely avail- to facilitate access to valuable, often perishable,
able and accessible Web portal from which disas- disaster information from a variety of disaster
ter loss data can be culled. Specific to the EM-DAT compilation initiatives.
is the differentiation between two generic disaster
category types: natural and technological. Within EM-DAT Reach and Influence
the natural disaster category, users will find five Partnerships and collaborations that apply and
subgroups: Geophysical (earth movements), extend the use of data products are vital to the
Meteorological (precipitation events), Hydrologi- growth, applicability, and utility of any database
cal (flowing water), Climatological (temperature product. The EM-DAT continues to foster and
extremes, drought, and wildfire) and Biological synthesize relationships with many entities oper-
(epidemics). These subgroups are further divided ating at local, national, and international scales.
into 12 disaster types and 30 subtypes. Its current set of ongoing cooperative efforts
The CRED implements a stringent set of includes a working association with the Inter-
screening criteria beyond the use of classifications national Federation of the Red Cross and Red
in its acceptance of an event into the EM-DAT Crescent Societies (IFRC) whereby the CRED
database. Specifically, a disaster is included in the produces annual disaster impact statistics and
database only if it meets at least one of the follow- analytics of key trends on natural and technologic
ing four criteria: (1) that 10 or more people were hazards. Additionally, the EM-DAT is utilized by
 Emergency, Definition of 323

the Secretariat for the International Strategy for

Disaster Reduction (UNISDR). Here, the CRED
Emergency, Definition of
produces country disaster profiles and supports The Oxford English Dictionary defines an emer-
statistical/analytic advances under way at ISDR. gency as “a serious, unexpected, and poten-
Finally, since 1999, the CRED and the U.S. tially dangerous situation requiring immedi-
Agency for International Development (USAID) ate action.” In the field of crisis management,
have partnered on a process to create, validate, emergencies are events that need a professional
and maintain the EM-DAT database, including response from people who are specially trained
the creation of a downscaled regional disaster and equipped to cope with them. Most emergen-
information system (RE-DAT). The reach and cies are relatively minor events that can be dealt
integration of the EM-DAT is evident beyond with in a routine way using resources that are
these global efforts and continues to grow syn- normally available. Minor accidents are typical
ergistically among many other disaster organi- of such situations. However, a small propor-
zations, including the Asian Disaster Reduc- tion of them require a qualitative as well as a
tion Center (ADRC), MunichRe Foundation quantitative change in how situations are man-
(Munich­Re), the United Nations Development aged. These “mass emergencies” include major
Programme (UNDP), the Global Risk Identi- incidents, disasters, and catastrophes. They are
fication Program (UNDP/GRIP), the Hazards defined by scale, severity, and functional changes
and Vulnerability Research Institute (HVRI), in working practices.
the Office for the Coordination of Humanitar- It is evident that not all emergencies are disas-
ian Affairs (OCHA), PreventionWeb, the Pro­ ters, but all disasters are emergencies, as the lat-
Vention Consortium, and the World Bank. ter is a much broader and less restrictive term. In
major emergencies, normal activities will be sus-
Christopher Todd Emrich pended in order to devote time and resources to
Hazards and Vulnerability Research Institute the exceptional activities that the emergency situ-
ation renders imperative. These include warning,
See Also: Collaboration; Crisis, Definition of; evacuation, crisis management, mobilization of
Damage Assessment; Decision Support Tools; responders, and monitoring of developments. The
Disaster, Definition of; Disaster Assessment; Disaster objectives of emergency management are to make
Declaration; Disaster Recovery; Hazard Mitigation; the best use of available resources, to save and
Red Cross and Red Crescent; Vulnerable Populations. protect lives, to limit damage to property, and to
facilitate the process of recovering from an inci-
Further Readings dent or disaster.
Cutter, S. L., M. Gall, and C. T. Emrich. “Toward Emergencies can occur either as a result of
a Comprehensive Loss Inventory of Weather cumulative processes or as the materialization
and Climate Hazards.” In Climate Extremes of a sudden threat. Regarding the former, envi-
and Society, H. F. Díaz and R. J. Murnane, eds. ronmental degradation is one process that can
Cambridge: Cambridge University Press, 2008. occur slowly, perhaps imperceptibly, but once it
Gall, M., K. Borden, and S. L. Cutter. “When passes a threshold defined by the gravity of its
Do Losses Count? Six Fallacies of Natural consequences and difficulty of repairing them, it
Hazards Loss Data.” Bulletin of the American becomes an emergency. Regardless whether the
Meteorological Society, v.90/6 (2009). crisis is a slow-onset or abrupt one, there is usually
Guha-Sapir, D. and R. Below. “Collecting Data on a need to recognize formally that it has reached
Disasters: Easier Said Than Done.” Asian Disaster emergency proportions and make a decision—
Management News, v.12/2 (April–June 2006). possibly a declaration—to begin work in an emer-
Scheuren J-M., O. le Polain de Waroux, R. Below, gency mode. This involves the suspension of nor-
D. Guha-Sapir, and S. Ponserre. Annual Disaster mal activities and assignment of most personnel to
Statistical Review: The Numbers and Trends 2007. tasks defined by the emergency, such as lifesaving
Brussels: Centre for Research on the Epidemiology activities. The success with which the emergency is
of Disasters, 2008. managed (i.e., brought under control) depends on
324 Emergency, Definition of

command processes, resource levels, and the effi- on failures, criminal acts, or cases of negligence.
cient use of appropriate expertise. Where culpability needs to be proven, as in ter-
It follows that an emergency is a transient event rorist outrages or failure to observe laws, then
with a definable beginning and end. It is likely to the site of the emergency is also a “scene of the
follow a series of phases (Figure 1). The first of crime” and responders are charged with disturb-
these may be characterized by isolation, in which ing the evidence as little as possible.
an impact has occurred but help and assistance The duration of an emergency depends on sev-
are not yet forthcoming. Well-organized crisis eral factors. The first of these is the duration or
management services with good plans know how frequency of the causal phenomenon. For exam-
to minimize this phase by careful monitoring of ple, whereas an earthquake will probably be over
developing situations and prompt, appropriate within one minute, it may cause entrapment and
reaction. The second phase is one of consolidation. homelessness that prolong the emergency for days
This begins with a large “convergence reaction,” or even weeks. In the days after the main tremors,
in which response units come to the affected area dangerous aftershocks can exacerbate risk and
and start work. For life-threatening situations in damage in such a way as to create secondary emer-
which people are trapped or injured, it is vital that gencies. The second determinant of the time scale
the responders arrive within minutes or hours and of an emergency is the ability to respond to it and
that they reach maximum operating capacity as abate the causes. For example, evacuation is one of
quickly as possible. In all emergencies, response the most effective ways of protecting people from
organizations will probably need to expand their violent hazards, but it is only practicable if it is well
activities and work at or near full capacity. planned and can be carried out in a safe window of
The consolidation period may merge into time. Ill-judged evacuation can put people unnec-
phases of recovery and investigation, which will essarily at risk and thus contribute to the state of
in turn merge into the long-term aftermath in emergency.
which survivors attempt to rebuild their lives,
livelihoods, and physical environments. The State of Emergency and Emergency Powers
recovery phase involves restoring a situation Typically, when a state of emergency is formally
characterized by safety and security, and ensur- declared, responders move immediately into a
ing that hazards have been abated. The investiga- mode of working that is quite different from their
tory phase becomes important when “perishable” routine activities. Hospitals may be cleared of
information needs to be collected, for example, normal patients in order to receive mass casual-
ties. They may call in extra staff and block rou-
tine surgery and diagnostic activities. Emergency
operations centers may be opened or obliged to
work in a special mode of readiness. Routes may
Funerals
Debriefings be sealed off, citizens evacuated, cordons set up,
Revisions of plans and special rules imposed. In democratic societ-
Inquests
Public enquiry ies, it is important that emergency declarations
Consolidation Legal trials
Memorials not be used as a cover for abuses of power. Hence,
Awards it is vital that the state of emergency be rescinded
Anniversaries
Training as soon as possible and normal processes of gov-
Initial Recovery Returning to ernance be restored.
Response

emergency normality
Emergency powers may take various forms.
They usually involve the temporary suspension
Investigation
of democratic checks and balances, consultation
and ratification processes, and normal ways of
Stand down
working on the grounds that all of these are too
Time time-consuming or cumbersome to be appropri-
ate during the emergency, in which decisions must
Figure 1 Phases of an emergency be made rapidly. In effect, the duration of the
 Emergency Alert Systems 325

emergency is defined by the period in which the crisis managers receive a timing alert that allows
situation can be managed only by invoking emer- them to react preventively and protectively before
gency powers, or at least specialized modes of the crisis. This may help save multiple lives and
working. Once normal processes can be restored, decrease the damages.
the justification for using emergency powers
disappears. National Emergency Alert System
The best-known EAS is the national Emergency
David E. Alexander Alert System of the United States of America.
Global Risk Forum, Davos The system, based on media communications, is
designed to transmit emergency alerts to the pub-
See Also: Catastrophe, Definition of; Crisis, lic at national, state, and local levels. In addition,
Definition of; Hazard, Definition of; Impact, the EAS enables the president of the United States
Definition of. to address the American public during national
emergencies. Each state and several territories
Further Readings have their own EAS plans describing the proce-
Abrahamsson, Marcus, Henrik Hassel, and Henrik dures to deliver state and local alerts to the EAS.
Tehler. “Towards a System-Oriented Framework Nowadays, three types of alerts are issued using
for Analysing and Evaluating Emergency the EAS: alerts issued by the president, alerts
Response.” Journal of Contingencies and Crisis involving imminent threats to safety of life, and
Management, v.18 (2010). AMBER Alerts (America’s Missing: Broadcast
Canton, Lucien G. Emergency Management: Emergency Response) for child abduction emer-
Concepts and Strategies for Effective Programs. gencies. Since its implementation, the EAS has
New York: Wiley-Interscience, 2006. been repeatedly used by state and local emer-
Waugh, William L., Jr., and Kathleen Tierney. gency authorities to transmit emergency alerts to
Emergency Management: Principles and Practice the public, for events such as tornadoes, gas leaks,
for Local Government. 2nd ed. Washington, DC: and child abductions.
ICMA Press, 2007. The EAS was created in 1994 by the Fed-
eral Communications Commission (FCC) and
was preceded by two national alerting systems:
the Emergency Broadcast System (EBS), created
in 1963 during the Cold War and the threat of
Emergency Alert Systems nuclear warfare, and CONELRAD (Control of
Electromagnetic Radiation), a military alert sys-
Emergency alert systems (EAS) are mechanisms tem created in 1951. The EAS is jointly coordi-
used to quickly deliver an alert or warning, espe- nated by the Federal Emergency Management
cially during significant, life-threatening emergen- Agency (FEMA), the FCC, and the National Oce-
cies. These systems are currently used on various anic and Atmospheric Administration (NOAA).
scales in multiple settings, including emergency The EAS works as a hierarchical alert message
management and monitoring of school perfor- distribution system that involves several com-
mance, among many others. munication media called EAS Participants. These
There is a large difference between early warn- include different types of television and radio
ing systems (EWS) and EAS. EWS are comprehen- broadcasters. All EAS Participants are required
sive risk-reduction mechanisms that encompass by the FCC to have EAS equipment installed to be
four components: (1) risk knowledge, (2) moni- able to transmit EAS alerts. An authorized person
toring and forecasting, (3) warning dissemina- at the local, state, or national level may input an
tion, and (4) response capacity. In contrast, EAS EAS alert into the system using the specific encod-
only cover the warning dissemination compo- ing equipment. Then, designated highly resilient
nent. Even if not as integral as EWS, the EAS are stations, known as Primary Entry Point (PEP) sta-
important tools for crisis management. An effec- tions, broadcast this alert to the public in their lis-
tive EAS ensures that both threatened people and tening areas. Other EAS Participants monitor the
326 Emergency Alert Systems

PEP stations and retransmit the alert to the public (CMAS), also known as the Personal Localized
in their listening areas. These stations are moni- Alerting Network (PLAN), still in the process of
tored, in turn, by other EAS Participants. Each implementation, focused on sending text messages
EAS Participant or broadcaster must monitor at to cell phones and pagers considering specific
least two EAS sources. FCC rules also require geographic areas through cell towers. To achieve
broadcasters to monitor at least two independent sending the alert to multiple media, IPAWS will
sources for emergency information, ensuring that use a new coding protocol called Common Alert-
emergency information is received and delivered ing Protocol (CAP), which is in the process of
to viewers and listeners. This alert transmission implementation and will replace the SAME. The
system is commonly referred to as a daisy chain. CAP is a digital text-based message format that
Following the FCC’s rules, messages in the uses XML (eXtensible Markup Language) for
EAS comprise four parts: (1) a digitally encoded exchanging emergency alerts. Using the CAP will
Specific Area Message Encoding (SAME) header, enable the alert message to be sent through all
(2) an attention signal, (3) an audio announce- available means of communication, including cell
ment, and (4) a digitally encoded end-of-message phones, Internet messaging, pagers, road signs,
marker. The SAME header contains informa- land lines, satellites, and television and radio.
tion about who originated the alert (the presi- To help ensure EAS readiness, the FCC man-
dent, state or local authorities, the NOAA, or the dates that EAS tests be run weekly at the state
broadcaster); a short, general description of the level and monthly at the local level. The weekly
event (tornado, flood, severe thunderstorm); the test consists of the header and the end-of-message
areas affected (number of counties or states); the SAME bursts. The aim of these tests is to ensure
expected duration of the event (in minutes); the operability, identify any potential issues that may
date and time it was issued (in UTC); and an iden- arise, and develop solutions to address them on
tification of the originating station. The following an ongoing basis.
attention signal lasts between 8 and 25 seconds, A first national test was attempted on Novem-
depending on the broadcasting station. Then, the ber 9, 2011. The test was aired on every broad-
attention signal is followed by a voice message cast, cable, and satellite TV station in the nation,
describing the details of the alert. The message as well as every AM, FM, and satellite radio sta-
ends with three bursts of the “End of Message.” tion. But it was not sent to landline or cell phones,
In addition to the audio messages transmitted by pagers, or computers. This is expected to change
radio stations, television stations must also trans- when the CMAS is fully implemented. Some sta-
mit a visual message. Scrolling text is displayed at tions reported that some of their receivers were
the top of the screen that contains all of the infor- not able to relay the test. The message may also
mation encoded in the initial SAME header. A have lacked the alert code that would allow the
color-coded text scroll system is often used where president to speak. Because of a feedback loop in
the color signifies the priority of the message. the PEP system, the test could be heard several
times in the background, and the End of Message
Integrated Public Alert Network code was sent twice, as opposed to three times,
Nowadays, the EAS is part of a larger and more violating EAS rules. The test was cut down to 30
comprehensive national system of communica- seconds from the proposed three minutes.
tion called the Integrated Public Alert Network
(IPAWS). This system aims to expand the tradi- Criticism and Potential
tional EAS to incorporate more modern technolo- The EAS has been strongly criticized; the value of
gies including digital systems. a warning system at the national level is especially
IPAWS is planned to diversify and modernize questioned. Nowadays, the community acknowl-
the EAS, while consolidating all emergency alerts edges that it has improved much, although there
into a single notification system with a com- are still many aspects to enhance.
mon message format. The components of IPAWS Even if the EAS is improved to ensure prompt
include the EAS, focused on radio and televi- message delivery to all concerned people, those
sion, and the Commercial Mobile Alert System people must know how to react appropriately or
 Emergency Management, Principles of 327

the system will fail. According to Dennis Mileti, Wilson, David E. “Emergency Alert System.” In
former director of the Natural Hazards Research National Association of Broadcasters Engineering
and Applications Information Center at the Uni- Handbook, Edmund A. Williams, Graham
versity of Colorado at Boulder, for people to A. Jones, David H. Layer, and Thomas G.
respond to the message, it has to include a clear Osenkowsky, eds. Burlington, MA: Elsevier, 2007.
reference to who is the message provider, who
must be someone trusted and believed; be deliv-
ered over multiple and different communications
channels; be repeated frequently; tell people what
to do, where to go, which protective actions are Emergency Management,
required, and when and until when they need to
take them; explain why protective action must be Principles of
taken, telling what the hazard is and what the con-
sequences are from exposure to it; be kept simple, Emergency management emerged in the United
unambiguous, accurate, and authoritative; and States following the Cold War era with the inten-
finally, be consistent and noncontradictory. tion to protect people from nuclear attacks, but
The success of the EAS depends on strong part- the occurrence of numerous disasters led to cre-
nerships between alerting authorities and alert ating an emergency management system that is
disseminators. It is also important that federal inclusive of all hazards. With increasing numbers
agencies work closely in cooperation with state, of hazards and their severity, emergency manage-
territorial, local, and tribal governments to ensure ment now embraces risk reduction, social vulner-
this tool is used properly and effectively during ability, and technocratic approaches; it is designed
extreme emergency situations. Finally, govern- to protect social and physical environments from
ment officials (emergency management), broad- the impacts of natural and human-made hazards
casters, and emergency responders must work to and to aid communities to respond to and recover
ensure the system is effective, and have local and from disastrous consequences while also prepar-
state plans ready to support protective actions. ing to mitigate impacts from future emergency
events. Now every country in the world has an
Carolina Garcia emergency management system comprising four
Independent Scholar phases—preparedness, response, recovery, and
mitigation—and eight guiding principles: compre-
See Also: Agency Notification and Mobilization; hensive, progressive, risk-driven, integrated, col-
All-Hazards; Coordination; Crisis Communications; laborative, coordinated, flexible, and professional.
Crisis Simulations; Disaster Declaration; Disaster
Drills; Early Warning Systems; Emergency Emergency Management
Management Agencies, City and County; Emergency An emergency, according to the Webster’s diction-
Management System; Emergency Public Information; ary, is a situation resulting from unforeseen events
Exercises; Federal Emergency Management Agency that requires immediate action and attention.
(FEMA); Mass Media; News Media; Operational Emergency management, as the name suggests, is
Plans; Preparedness; Public Awareness and Education; management of an emergency situation. A disaster
Training; Uncertainty; Warning. is an event disturbing the functions of a commu-
nity or society, resulting in human, environmen-
Further Readings tal, and financial losses that exceed the ability of
Moore, Linda K. “The Emergency Alert System (EAS) the affected community to cope with, using its
and All-Hazard Warnings.” Report RL32527. own resources. The different types of emergencies
Washington, DC: Congressional Research Service, resulting from a disaster are danger to life, prop-
2010. erty, and health of people in affected communities,
Sorensen, John H. “Hazard Warning Systems: Review and to the natural environment and ecosystem,
of 20 Years of Progress.” Natural Hazards Review for instance, the loss of barrier islands during a
(May 2000). hurricane, which act as barriers to storm surge. In
328 Emergency Management, Principles of

Donna (1960), emergency preparedness functions

to deal with natural disasters were included with
civil defense activities. This led to the creation of
a new emergency management concept—a sys-
tem embracing an all-hazards approach with the
goal to protect the public in all kinds of emer-
gencies. Being an all-hazards approach, the cur-
rent emergency management, as defined by the
Federal Emergency Management Agency (FEMA)
Higher Education Project, is a risk-based collab-
orative and coordinated approach implemented
by all stakeholders with the intent to protect life,
health, property, environment, and economy of
communities impacted by a disaster. The mission
of emergency management is to aid communities
to increase their ability to reduce adverse impacts
of a hazard and to increase their resilience and
sustainability to prepare for, respond to, and
recover from natural or human-made disasters.
The current version of emergency management
system comprises four phases and eight principles
to address the needs of communities in case of
a disaster and adapts an integrated/collaborative
approach among stakeholders.

Phases of Emergency Management

The four phases of emergency management—
Page Boesl (left) and her daughter fill sandbags at the Sertoma mitigation, preparedness, response, and recov-
Sports Complex in Minot, North Dakota, June 23, 2011. Using ery—are linked together in a cyclical manner so
the principle of collaboration, thousands of residents fought the that effective and efficient emergency manage-
Souris River flood with federal, state, local, and tribal partners. ment activities can be implemented before, dur-
ing, and after a disaster to ensure the impacted
communities’ return to their life before the disas-
ter occurred. A discussion of the activities and
case of a disaster, emergency management includes goals of each phase follows.
all managerial functions responsible for creat-
ing a framework within which communities and Mitigation: This phase can happen anytime, as it
stakeholders work to cope with the impacts of the includes actions to reduce the chance of an emer-
disaster and which increase resilience of suscep- gency happening and the extent of its damaging
tible and affected communities to future disasters. effects on citizens and businesses. Because the
Historically in the United States, emergency intention is to reduce the devastating effects of an
management originated after World War II in emergency, this phase should be implemented long
response to the Federal Civil Defense Act of 1950 before an emergency happens. Some of the activi-
to address civil defense activities and reduce Cold ties that should be undertaken include implement-
War tensions. The main disaster that was the ing structural guidelines/building codes to main-
focus of emergency management then was threat tain safety of a structure against fire or hurricane
of nuclear attack. After the modification of the wind/storm surge impact. Such activities include
Civil Defense Act in 1958 and following the disas- elevating houses beyond the maximum flood
ters of the 1960s, especially the earthquake near limit, buttressing roofs/doors/windows to protect
Hebgen Lake, Montana (1959), and Hurricane from wind impacts, implementing land use codes
 Emergency Management, Principles of 329

to protect future urban growth (e.g., restricting tornado to take shelter in an enclosed space
construction in flood-prone areas), and purchas- identified to protect from a tornado, such as
ing insurance (fire/flood) to cover financial effects the basement of a house).
of a future emergency. • Implementing other preparedness actions
during an emergency.
Preparedness: This phase, which also happens
before an emergency occurs, involves preparation Recovery: This phase begins immediately after an
of plans and other activities by emergency man- emergency or a disaster has ended. The goal of this
agement agencies, the general public, and other phase is to help communities get back to their nor-
stakeholders to aid communities in dealing with mal routine. Activities in this phase also include
an emergency situation. Some of the activities in building a safer situation after the emergency to
this phase include the following: cope with changing environments and future
events. Actions in this phase include removal of
• Preparation and implementation of debris, repair and rebuilding of structures/infra-
emergency and evacuation plans: these structures, provision of financial aid through
plans help identify actions agencies need to insurance companies to help businesses recover
take in case of an emergency. Evacuation as well as impacted citizens to rebuild their struc-
plans help identify the best shelters and tures/get employment, and providing special assis-
routes to be used to evacuate people and tance programs to impacted people to recover
animals from the emergency impact zone. from their health and psychological trauma. The
• Holding disaster drills and public duration of the phase can be a few hours (e.g., a
education: these activities are geared toward roadside accident) to several years (e.g., an event
communities with the intention to help like Hurricane Katrina) to recover from the dev-
them understand the sequence of events and astation. However, the longer the recovery phase,
actions they have to take before, during, or probably the more difficult it is for people to get
after a disaster to protect themselves and back to normalcy, because the surrounding envi-
their families and friends. ronment undergoes numerous changes.
• Preparing a disaster kit containing food,
water, emergency lights, and other such Principles of Emergency Management
necessities to help families. Principles include underlying guidelines for effec-
tive management of an emergency universally.
Response: This phase occurs during an emer- The eight principles of emergency management
gency. The goal of this phase is to protect lives are as follows:
and prevent damage to properties from a disaster.
One major action of this phase is implementing Comprehensive: A jurisdiction encounters a num-
identified preparedness activities during an emer- ber of natural and human-made hazards; it is per-
gency. Therefore, for the success of this phase, it is tinent to identify all hazards and prioritize them
required for all agencies involved in this process, based on the likelihood of their occurrence using
from local to federal as well as communities and historical data. Although one set of actions can
community-based organizations, to work in a col- be used to address any hazards, all hazards are
laborative and coordinated manner. Some of the different in their occurrence and impacts, and
actions in this phase include: therefore require different management activities.
Identifying all hazards will help in the risk assess-
• Warning and alert: alerting the public, ment process to prepare plans specific to disas-
if possible, before the occurrence of a ters, including solutions to deal with all possible
disaster (e.g., warning the public in coastal adverse impacts in all phases of emergency man-
communities before a hurricane makes agement. The plans should also identify all stake-
landfall so that actions to evacuate in a holders, in both public and private sectors, to
timely manner to available shelters can ensure coordination and collaboration of actions
be taken, or warning the public during a for effective management of a disaster, for faster
330 Emergency Management, Principles of

response and recovery, and for effective mitiga- the involvement of so many stakeholders, their
tion. Therefore, emergency management should participation in the decision-making process at
be comprehensive, which means it should take every phase is required to make the efforts more
into account all possible implications of all haz- coordinated and effective. Therefore, it is neces-
ards, all stakeholders involved and impacted by sary to develop a framework that is both top-
the disaster, and all actions to be implemented at down and bottom-up in its implementation and
all phases. integrates the principles and effective practices
between different levels of government and within
Progressive: Hazards are becoming frequent, each government agency at each level to develop
severe in their magnitude, and devastating in an effective emergency management routine that
their impacts on society and environment. It is is adaptable to the situation, rather than generic.
therefore pertinent to predict the possible future
impacts of a disaster and spatial distribution Collaborative: Because of the participation and
of impacts to identify vulnerable locations and involvement of a number of stakeholders from
populations that will need aid so that effective public and private sectors and the impacted
plans and actions can be prepared to mitigate communities, it is essential for the participants
future impacts. These requirements necessitate to collaborate with each other, which will help
emergency management to be progressive in its emergency managers work as a team by pool-
approach so that emergency managers and emer- ing resources for effective implementation of
gency management actions will be preventive and emergency actions. The goal of this principle is
preparatory to build a resistant, resilient, and sus- to encourage a culture among emergency manag-
tainable community. ers that will encourage trust—a team atmosphere
Hence, emergency management now imple- that will facilitate communication and build
ments a prevention and risk reduction approach consensus.
focusing on risk assessment and management, a
social vulnerability approach focusing on reduc- Coordinated: Because of the involvement of
ing vulnerability and increasing resilience and numerous agencies and stakeholders with differ-
sustainability of communities, and a traditional ent goals and missions, and headed by different
approach focusing on management of all hazards. personnel, coordination requires these agencies
to agree upon a common mission, that is, effec-
Risk-driven: The goal of emergency management tive management of a disaster and its societal and
is to reduce risk to protect lives and properties by financial impacts. Coordination also ensures that
using available resources in an effective and effi- the role of each stakeholder in the overall pic-
cient manger. Hence, it is required to formulate ture of emergency management is identified and
and establish policies and activities for emergency recognized by the emergency managers and all
management based on assessed risk from all pos- involved stakeholders/agencies/agency personnel.
sible hazards to locations, people, properties, The main goal of coordination is to pull together
businesses, and the natural environment. The risk the available resources of all involved agencies
assessment approach is predictive and proactive and organize the implementation of emergency
in nature as it tries to determine potential dam- management activities by assigning the activities
ages and losses that the social and physical envi- and resources to emergency managers.
ronments will experience from future hazards.
Flexible: Emergency management is comprehen-
Integrated: Although a disaster and its adverse sive, which means that a one-for-all approach
impacts are local in nature, in order to cope with comprising a common set of activities will not
the emergency situation and increase future resil- be effective and applicable while dealing with a
ience of impacted communities, the management disaster. Likewise, because of the diverse nature
actions are shared among private and public of responsibilities of emergency managers and
stakeholders at every level of government: local, participating agencies/institutions, policies guid-
state, tribal, federal, and community. Because of ing emergency management need to be flexible to
 Emergency Management, Principles of 331

allow participants to perform a task suitable to an public, whose participation in the decision-mak-
emergency situation irrespective of the said par- ing process and the different phases of emergency
ticipant’s original task delegation. In a nutshell, management is essential for the success of both
the framework and policies of emergency manage- emergency management and successful recov-
ment should allow emergency managers and other ery of impacted communities. Thus, the second
participants the flexibility to choose an action and/ major players are citizens impacted by a disaster
or policy or devise a creative and innovative activ- and they are at the grassroots level of emergency
ity that is not only problem-based in nature (deal- management.
ing with a specific disaster) but also place-based
(tailored to address the needs and issues of the Bandana Kar
local community impacted by the disaster). University of Southern Mississippi

Professional: Scientific, knowledge-based, and See Also: Crisis Management, Emerging Trends
innovative approaches are used to develop solu- in; Disaster, Definition of; Emergency Management
tions/activities to deal with emergency situations Agencies, City and County; Emergency Management
and adverse impacts of disasters of communities. System; Emergency Manager; Emergency Responders;
It is, therefore, required for emergency managers Federal Emergency Management Agency (FEMA);
to have the requisite experience and standards to Hazard, Definition of; National Preparedness Goal;
achieve the final goal of protecting lives, property, Preparedness; Recovery; Response; Risk Assessment;
and the environment. In addition to having pro- State Emergency Management Agencies.
fessional attributes, emergency managers must
follow a code of ethics, standards and practices, Further Readings
training, professional experience, and education, Alexander, David. Principles of Emergency Planning
and be board certified and part of a professional and Management. New York: Oxford University
association. Press, 2002.
Fagel, Michael J., ed. Principles of Emergency
Participants and Players Management: Hazard Specific Issues and
All disasters happen at a community/local level. Mitigation Strategies. Boca Raton, FL: CRC Press,
However, it is possible for local communities not 2011.
to have access to all resources required to deal with Federal Emergency Management Agency (FEMA).
an emergency situation. Therefore, emergency Principles of Emergency Management.
management relies on numerous stakeholders at Washington, DC: FEMA, 2007.
different scales with the intention of community International Association of Emergency Managers
capacity building, which eventually will lead to (IAEM). IAEM President’s Communiqué. Issue
building disaster-resistant and resilient commu- 2006–13. (December 5, 2006).
nities. Some of the stakeholder agencies include National Governors Association. “1978 Emergency
the fire department, local law enforcement, health Preparedness Project—Final Report.” Washington,
agencies, the Red Cross, the weather service (pro- DC: Defense Civil Preparedness Agency, 1978.
viding warning before an emergency), planning National Governors Association. Comprehensive
department, local/state/federal emergency man- Emergency Management: A Governor’s Guide.
agement agencies, department of transportation, Washington, DC: Defense Civil Preparedness
local schools/churches, community-based orga- Agency, 1979.
nizations, and private sector. The major actors U.S. Department of Homeland Security. “Crisis
are emergency managers: people with the ability Response and Disaster Resilience 2030: Forging
to identify the main goals and possible solutions Strategic Action in an Age of Uncertainty.”
and to coordinate and collaborate with other Washington, DC: FEMA Publications, 2012.
stakeholders to achieve these goals. No matter Waugh, William L., Jr., and Gregory Streib.
the extent of aid an emergency manager can pro- “Collaboration and Leadership for Effective
vide, emergency management actions cannot be Emergency Management.” Public Administration
effective without the participation of the local Review (2006).
332 Emergency Management Agencies, City and County

Emergency Management there is a historical relationship between emer-

gency management and civil defense. New York
Agencies, City and County City, for instance, has the Office of Emergency
Management (OEM), a descendant of the Office
Local emergency management agencies—those of Civilian Defense established during World
organized at the city, town, county, or parish War II. The OEM’s director reports directly to
level and funded by and answerable to that local the mayor, and its headquarters is a four-story
government—are typically the first agencies to building housing offices for its staff, conference
respond to most emergencies, whether directly rooms, the emergency operations center, and
or through the coordination of local government briefing rooms for the media. The OEM’s watch
resources. Many emergencies, including chemical command, staffed round-the-clock every day of
spills, traffic accidents, structure collapses, fires, the year, monitors police and fire department
animal threats, and many weather emergencies, activity and the 911 system, and it dispatches
occur only on the local level and are best han- OEM responders as needed.
dled by local agencies that have both proximity New York City, of course, has a population
and relevant familiarity. Other emergencies may larger than most states. Although many other
require the attention of state or federal authori- large cities, such as Boston, Seattle, and Chicago,
ties, either for jurisdictional reasons (the federal have relatively large offices of emergency manage-
government deals with terrorist attacks), the need ment, in smaller locales the office or its equivalent
for specialized competencies (the Centers for Dis- functions mainly as a liaison between the mayor
ease Control and Prevention and other agencies and an emergency planning committee. Nashua,
have resources for dealing with infectious disease New Hampshire, the second-largest city in north-
that go far beyond those of local agencies), or ern New England with a population of about
because the emergency transpires across multiple 100,000, is a representative example, albeit one a
geographical jurisdictions. Wildfires, for instance, bit more affluent than average.
will frequently spread beyond the town in which
they started and may transcend state lines as well Emergency Management in Nashua
as local boundaries. Major weather events like In Nashua, the OEM coordinates city depart-
hurricanes, blizzards, and droughts are rarely ments in the handling of disaster response and
confined to a small area. In these cases, multia- is the lead point of contact in nonpolice, nonfire
gency cooperation is typical, with oversight and emergencies. It is tasked with overseeing commu-
funding provided at the state and federal levels nications, transportation networks, infrastruc-
while local agencies do most of the footwork and ture, and the flow of public goods and services
contribute local expertise. during an emergency, as well as with the city’s
An emergency management agency oversees mitigation and preparedness. The OEM drafts
the response to an emergency and coordinates the city’s Comprehensive Emergency Manage-
the efforts of the police department, fire depart- ment Plan, which details the actions and respon-
ment, emergency medical personnel, public sibilities of various agencies and departments in
works department, specialized rescue services the event of an emergency, and runs the emer-
(such as wilderness or mine rescue crews), hazmat gency operations center (EOC) during such emer-
teams, public utilities, social services, and other gencies. It is responsible for requesting assistance
agencies with the resources and jurisdiction to from other cities, or from the state or federal
respond. In addition, emergency management level, though in the latter case the request gener-
agencies are typically responsible for prepared- ally comes from the mayor.
ness, mitigation, and public information, though The OEM develops the staff for the EOC and
these functions have a history of being down- the internal procedures used to authorize emer-
played in smaller jurisdictions because of bud- gency operations and is responsible for coor-
getary priorities. The size, scope, and resources dinating with the New Hampshire State Emer-
of a local emergency management agency vary gency Management Agency, as well as keeping
greatly from jurisdiction to jurisdiction, and the state up-to-date on damage assessments and
 Emergency Management Agencies, City and County 333

other critical information. It is responsible for core competencies. The resources of other city
local alert systems for officials, procuring emer- agencies, like the police and fire departments, and
gency communications equipment, coordinating of the city’s medical facilities can then be put to
public information programs, coordinating with the most effective use.
medical personnel including hospital staff and Many city and county agencies have mutual aid
doctors, establishing a shelter system that is com- agreements with one another, under which neigh-
patible with the city’s transportation resources, boring locations (or occasionally, separate agen-
coordinating with volunteer groups like the Red cies in the same jurisdiction) will lend resources
Cross, and applying for matching funds from and personnel to one another in response to an
state and federal programs for emergency man- emergency. Calling for mutual aid is the decision
agement funding. It also coordinates training pro- of the incident commander. Mutual aid or recip-
grams for the public, for city officials, and for city rocal agreements are especially common with fire
departments. departments; the low frequency of serious fires
The Nashua OEM operated the city’s emergency makes maintaining a large firefighting staff and
operations center from October 29 to November fleet an expensive proposition for a small town
4, 2011, when the Snowtober nor’easter caused but also makes it likely that when a serious fire is
the third-largest power outage in the state’s his- occurring in one town, a neighboring town will
tory, and the agency continued to oversee debris have idle resources available. Such agreements
management through the subsequently mild win- therefore let towns spend less money on firefight-
ter until February 7, 2012. The response team ing without seriously increasing their vulnerabil-
consisted of the mayor’s office, Nashua Police ity to fire. Along the Canadian-U.S. border, there
Department, Nashua Public Works, Nashua Pub- are international mutual aid agreements, involv-
lic Health and Community Services, Nashua Fire ing both American and Canadian towns.
Department, Nashua Information Technology, Even with mutual aid agreements, emergency
Nashua School District, Nashua Transit System, management is a particular challenge in rural
Nashua GIS, New Hampshire Red Cross, South- areas where the nearest town may be too far away
ern New Hampshire Medical Center, St. Joseph for responders to arrive in time. Sparse popula-
Hospital, and Public Service of New Hampshire tions contribute less human and financial capital,
(the local electricity provider). Nashua North they exact a higher per-person cost for communi-
High School was used as a public shelter for a cations and other resources, and solutions to rural
week, offering showers, hot meals, and access emergency management tend to focus on social
to electricity to those who had other places to capital—community organizations, the partici-
stay, as well as overnight accommodations for pation of local businesses whose interests are at
those who did not. Functional needs support stake, and volunteer labor. Volunteerism is gener-
was offered to a greater extent than the city had ally higher in rural areas than urban ones; in some
been able to previously provide, and most of the towns, local fire departments are staffed partly or
residents who spent a week at the shelter made entirely by volunteers, who are summoned from
use of that support. The debris management pro- work or home to respond to fires.
gram, restructured in the aftermath of the 2008
ice storm, which had left some parts of the city California’s Emergency Management
without power for weeks, was one of the largest State law may dictate minimum standards of emer-
in the city’s history. gency management services at the local and county
The example of Nashua and its actions during levels, as well as providing funding, resources, or
the Snowtober storm demonstrate the extent of structural support. The California Emergency Ser-
an OEM’s involvement in a jurisdiction too small vices Act, for instance, dictates the Standardized
to support an emergency services agency with a Emergency Management System (SEMS) for man-
large full-time staff and dedicated resources, as aging multiagency emergency response through-
would be found in Boston or New York. Key to out the state of California. All state agencies are
the OEM’s approach is organization and planning, required to use SEMS, which incorporates the Inci-
which requires only manpower and appropriate dent Command System, interagency coordination,
334 Emergency Management Agencies, City and County

and the California Disaster and Civil Defense The operations unit, for instance, includes fire-
Master Mutual Aid Agreement, which dictates fighters, law enforcement personnel, a medical
reciprocal agreements among jurisdictions. SEMS unit, an environmental health unit, a unit provid-
establishes an organizational framework for the ing care and shelter, and perhaps a separate ani-
response of emergency management agencies and mal services unit or other units needed in a specific
for the integration of multiple agency responses. emergency. For instance, in emergencies that call
Local governments are required to use SEMS as for an animal services unit, that unit is overseen
a requirement of eligibility for disaster assistance by a branch director (or incident commander, if
and personnel funding from the state, and must the unit is the sole operations unit) overseeing a
maintain minimum SEMS training competencies, planning group with teams assigned to resource
though they are not held to the same standards as control, emerging issues, and history (photo and
state agencies. The prevalence of wildfires in Cali- video documentation); a logistics group with
fornia—which, if not properly dealt with by one units devoted to communications, volunteers’
jurisdiction, can quickly spread to others—was a coordination, and animal transport (including
strong factor in the passage of the Emergency Ser- trailer crews, roadblock facilitators, a maps and
vices Act, which was proposed after the East Bay logistics officer, and a support unit for the staging
Hills Fire of 1991. area); and an operations group, including medical
The Incident Command System used under aid (separate human and veterinary units), secu-
SEMS was developed by the Fire Fighting rity, and facilities (including animal identification,
Resources of California Organized for Potential housing, and sanitation/feed units).
Emergencies (FIRESCOPE) program. Several
key positions are defined and are filled by vari- Handling Evacuations
ous local government officials as appropriate: the One of the tasks local agencies may have to take on
incident commander, who oversees the response is evacuation. Buildings and other small areas are
to the disaster; the operations section chief, who evacuated during fires in order to mitigate expo-
oversees a specific section of operations; and the sure to risk and may also be evacuated because
public information officer, who is the only des- of damage from earthquakes or storms, chemical
ignated media contact, charged with coordinat- hazards, and human-made hazards. When police
ing media relations and providing information in 2012 investigated the home of alleged Aurora,
about the ongoing disaster and the government’s Colorado, mass shooter James Holmes, they
response. Ideally, there is a ratio of workers to evacuated the surrounding area until the bombs
supervisors of between 5:1 and 7:1. he had set could be disarmed. Public places and
SEMS also uses the Operational Area Satellite transit may need to be evacuated in response to a
Information System (OASIS). The operational bomb threat or suspected terrorist threat, a deci-
area consists of a California county and all its sion that may be made by state or federal authori-
political subdivisions. Under SEMS, when a disas- ties but is generally carried out by local agencies.
ter occurs, the incident commander works with Evacuations are also carried out in advance of
the planning section to draft an action plan iden- hurricanes, wildfires, and tsunamis, and these
tifying the agency’s operational period and goals. evacuations are generally for a longer period,
The incident commander is a local government often requiring evacuees to remain away from the
official, designated by the agency. SEMS is a scal- area for days, which may in turn require authori-
able system. It’s usable for five levels of emergency ties to provide emergency shelters and provisions.
response: state, regional, operational area, local, The summer 2012 wildfires in Colorado required
and field levels. Emergencies that grow in severity more than 35,000 residents to be evacuated by
or scope activate higher levels of response. At each August; such evacuations require some amount of
level, SEMS identifies units responsible for opera- postevacuation monitoring of the affected area,
tions, planning and intelligence, logistics (includ- as even residents who leave willingly may attempt
ing personnel procurement, communications, to return before it is safe. Evacuations are rarely
transportation, and supplies), and finance/admin- carried out in response to blizzards, but the need
istration, each of which is further subdivided. to provide food, shelter, and communications
 Emergency Management Agencies, City and County 335

for a population displaced by structural damage In 2005, Hurricane Katrina’s impact on the New
or power outages encompasses a similar level of Orleans area was exacerbated by the failure of
resource commitment as an evacuation. the levees, but the human impact of the disaster
When the affected area is large enough, evacu- was exacerbated by the handling of the evacua-
ations may be issued by zip code rather than by tion. Authorities delayed in calling for a manda-
neighborhood, which helps eliminate ambiguity tory evacuation (in part because of the vagaries
and prevents the possibility of residents being left of predicting a storm’s track, in part because of
out of an evacuation because of a misunderstand- the expense required of such a declaration, which
ing or geographic uncertainty. (Definitions of obligates government action), and by the time a
neighborhoods may vary widely and subjectively, mandatory evacuation order had been issued, it
and evacuation orders such as “all homes north was given on short notice. Nearby motels in the
of Central Street” may be unclear in locations safe zone were already occupied by people who
where streets are not laid out in an orderly grid.) had evacuated during or before the voluntary
Communication among emergency workers is evacuation period, and these people were typi-
important during an evacuation, and ham radios cally better off than those who remained, because
are preferred because they are not dependent on of the expense of evacuating and leaving work.
cell phone towers, but it is even better to provide Therefore, those who did not leave until the man-
redundancy in communication options, so that if datory evacuation period had farther to travel and
one option fails, another is available. more to pay in order to find safe lodging. In addi-
In some disasters, the evacuation process can tion, not everyone had their own transportation
be the most important part of hazard mitigation. with which to evacuate, and the transportation

A young boy is lifted to safety by first responders after his family lost everything in the flooding caused by Tropical Storm Erin in
Kingfisher, Oklahoma, August 18, 2007. Because of their proximity and relevant familiarity, local first responders—city and county
agencies—are the first to bring aid and comfort to victims following large-scale disasters, which would then require the additional
response of federal agencies. Many other emergencies occur only on the local level and are best handled by local agencies.
336 Emergency Management Agencies, City and County

provided by the government was insufficient, everything from serious concerns to minor traf-
poorly organized, and poorly communicated. fic snarls. The obvious drawback in using these
Beyond the direct mishandling of the evacua- media is that most residents are unlikely to be
tion, however, human factors exacerbated emer- paying attention to the social media accounts
gency workers’ task because of hurricane fatigue. of their local government agencies until they
New Orleans is in a part of the Gulf Coast that is know something is wrong. Unlike an emergency
subject to several hurricane warnings and watches alert on television, social media announcements
a year. Most of the evacuations in recent memory do not interrupt the audience’s other activities,
had proven to be unnecessary. If there was clear but require that people opt for access to them,
information that Katrina would be a more seri- with the advantage that during power outages
ous storm than those of the previous decade, it and other circumstances in which traditional
wasn’t effectively communicated—as evidenced media are difficult to access, social media may
by the surge in evacuation activity after the televi- still be available via users’ phones. Again, redun-
sion appearance of the director of the National dancy is key; Twitter should not be relied upon
Hurricane Center, Max Mayfield, urging people solely, but television and radio announcements,
to get to safety. Better oversight and integration through public service announcements (PSAs) or
of local, parish (county), and state agencies can the news media, can make the public aware of
in theory improve the handling of such situations. these social media resources.
In the aftermath of Katrina, it was clear that so A mobile or social media analogue to the emer-
many things had gone wrong, in so many spheres, gency broadcast message has not yet caught on,
that blame was easily spread around. but the Commercial Mobile Alert System (CMAS),
Emergency agencies also need to have specific developed by the Federal Emergency Management
plans in place in order to evacuate schools, col- Agency’s Integrated Public Alert and Warning
leges, hospitals, and nursing homes. Often these System office, may fill that niche. The system was
institutions will develop their own plans, with developed in response to the growing reliance on
hospitals maintaining a skeleton crew to care for cell phones and abandonment of landline phones.
patients who cannot be moved off-site. However, Cell phones that are enabled to receive wireless
these plans should be integrated with the opera- emergency alerts (WEA) receive text messages
tional area’s larger plan, and local authorities sent by state, local, or federal emergency manag-
should remain informed about which hospitals ers or the National Weather Service. Of the three
(for instance) remain open for intake, which are types of alerts, cell phone users may choose not
operating but only have the resources to continue to receive Amber Alerts and disaster alerts, but
care for the patients they already have, and simi- they cannot opt out of presidential alerts. Instead
lar concerns. of relying on area codes or exchanges to target
Communicating information during an evacu- a specific geographic area, as a landline-based
ation or any other emergency must be done with system does, CMAS sends messages to those cell
some thought to the effect the information will phones in range of the cellular towers in the rel-
have. Broadcasting the locations of shelters, for evant area, allowing for very specific geographic
instance, will result in those in need seeking the targeting. CMAS is not in widespread use, and
closest shelter—but if the shelters are not distrib- local agencies must complete training courses in
uted evenly throughout the affected region, it will order to be certified in and authorized to use it. As
lead to overcrowding and insufficient resources in of 2012, most Americans did not possess a WEA-
some shelters, while others will have empty beds. enabled phone, but the frequent turnover rate of
When possible, local agencies are better served by cell phones means that the majority of middle-
directing people to specific shelters in order to put and upper-class cell phone users are expected to
resources to their most effective use. have WEA-enabled phones by 2015.
New York City has gone the furthest in imple-
Using Social Media menting the system, with the four major carriers
Local agencies are increasingly using Twit- (AT&T, Sprint, T-Mobile, and Verizon) engaged
ter and other social media to communicate in initial tests; CMAS has not been used during
 Emergency Management Agencies, City and County 337

an emergency since being rolled out. San Diego, disseminate information during a crisis. Although
California, has adopted the system as well, and this information should be received with a grain
other cities are expected to follow; the system is of salt, the public may be able to provide informa-
most useful in affluent areas, where much of the tion about damage from an ongoing disaster more
population owns and carries a cell phone. One quickly than local agencies sending workers out
of the difficulties the system has to overcome is to survey the scene. Agencies ignoring this infor-
the 90-character limit on its messages, about two- mation will look especially bad in the aftermath.
thirds of Twitter’s 140 characters. A San Diego
test message read “TEST: Toxic air quality near Bill Kte’pi
Mission Bay. Remain indoors. Turn off AC. Mon- Independent Scholar
itor local news,” which conveyed a lot, but reser-
vations remain about the character limit. Uniform See Also: Agency Notification and Mobilization;
resource locators (URLs) aren’t used, despite the Air Traffic Control; Blame, Politics of; Bridges;
increasing popularity of smartphones, because Bureaucracy; Cabinet Office, UK; Civil Protection;
data networks could be overloaded by too many Contingency Planning; Continuity of Government;
people loading a Web page during a crisis. Simi- Crisis Management, Emerging Trends in; Crisis
larly, too little information could lead to network Simulations; Department of Homeland Security
overload as users call people looking for more (DHS); Disaster Declaration; Disaster Declaration
information. Officer; Early Warning Systems; Emergency Alert
Social media can be effective not only in com- Systems; Emergency Medicine; Emergency Operations
municating during a crisis but also in commu- Center; Emergency Public Information; Emergency
nity preparedness, risk mitigation, and safety Responders; Emergency Support Functions; Hospital
advocacy. PSAs have long been used to commu- Emergency Room; Incident Management; Incident
nicate safety information about hazards such as Response; Incidents Versus Crises; Infectious Disease;
downed power lines, digging where power lines Reciprocal Agreement.
might be located, or the dangers of falling bul-
lets when holidays are celebrated with gunfire, as Further Readings
well as popular children’s safety campaigns like California Emergency Management Agency.
the “Stop, Drop, and Roll” fire safety campaign. “Standardized Emergency Management System.”
Social media can provide an extension of these http://www.calema.ca.gov/planningandprepared
campaigns and communication efforts. Further- ness/pages/standardized-emergency-management
more, the use of social media fills the gap that is -system.aspx (Accessed August 2012).
left as participation in community groups contin- Chaiken, Jan M. and Richard C. Larson. “Methods
ues to decline. for Allocating Urban Emergency Units: A Survey.”
Local agencies using social media should assign Management Science, v.19/4 (1972).
the task to someone already savvy with the tech- Coe, Charles K. Handbook of Urban Services. New
nology and sensitive to the often bristly nature of York: M. E. Sharpe, 2009.
the Internet. On Twitter, hashtags can be helpful Farazmad, Ali. Handbook of Crisis and Emergency
to assist in users’ searches for information, espe- Management. Boca Raton, FL: CRC Press, 2001.
cially if the social media officer pays attention to Iakovou, Eleftherios and Christos Douligeris.
online activity and can use a hashtag already in “An Information Management System for the
use by the public. Online videos can convey some Emergency Management of Hurricane Disasters.”
kinds of information better than other forms of International Journal of Risk Assessment and
media, especially when instructing the public in Management, v.2/3–4 (2001).
emergency preparedness. Twitter-based “town Kapucu, Naim. “Disaster and Emergency
hall meetings” have become increasingly popular Management Systems in Urban Areas.” Cities,
as well and may attract participants who would v.29/Supp. 1 (2012).
eschew the trouble of an in-person town meeting. Pasman, Hans and Igor Kirillov. Resilience of Cities
Twitter and other social media are invaluable to Terrorist and Other Threats. New York:
for “crowdsourcing,” or assigning citizens to Springer, 2008.
338 Emergency Management System

Perry, R.W. “Comprehensive Emergency Management: to deal with the emergency at hand, mobilize per-
Evacuating Threatened Populations.” Battelle sonnel from various agencies, and sometimes seek
Human Affairs Research Center Technical Report. help from the private sector (especially medical
Greenwich, CT: JAL Press, 1985. personnel) and from volunteers (particularly via
Petak, William J. “Emergency Management: A agencies like the Red Cross).
Challenge for Public Administration.” Public Historically, emergency management was
Administration Review, v.45 (1985). a neglected aspect of the discipline of public
Phelan, Thomas D. Emergency Management administration, and it was left—explicitly or by
and Tactical Response Operations. Oxford: default—to law enforcement agencies and fire
Butterworth-Heinemann, 2008. departments, with contributions from public
Pinkowski, Jack. Disaster Management Handbook. health organizations. Serious preparedness, and
Boca Raton, FL: CRC Press, 2008. the maintenance of resources and personnel that
Sylves, Richard Terry. Disaster Policy and Politics: would, ideally, be called upon infrequently, was
Emergency Management and Homeland Security. an economic commitment too few communities
Washington, DC: CQ Press, 2008. were willing to make, and elected officials and
U.S. Department of Transportation. “Recommended voters alike regularly favored short-term gains
Emergency Preparedness Guidelines for Urban, over long-term thinking, an attitude that also
Rural, and Specialized Transit Systems” (February exacerbated risk exposure in coastal, floodplain,
1995). http://www.fta.dot.gov/documents/Rec_ and wildfire-prone areas. Emergency manage-
Emer_Prep_For_Urban_Rural_Spec_Tran_Sys.pdf ment remained focused principally on reacting
(Accessed August 2012). to crises.
White, Connie. Social Media, Crisis Communication, The creation of civil defense organizations,
and Emergency Management. Boca Raton, FL: especially during World War II, did little to change
CRC Press, 2011. this in the long term but did create some of the
ancestral organizations of later emergency man-
agement organizations. Where emergency man-
agement organizations did exist, they were typi-
cally poorly funded and married to technology
Emergency Management that soon became obsolete, as ongoing funding
was rarely sufficient to replace, upgrade, or main-
System tain the equipment that had been purchased with
initial grants. This occasionally led to inefficient,
An emergency management system defines poli- even inept, handling of major disasters beyond
cies, procedures, and responsibilities for emer- the purview of the police department, such as
gency management, including preparedness, miti- public health crises or natural disasters. Problems
gation, disaster response, and dealing with the arose when the agencies with the resources to
aftermath of emergencies. A management system act lacked the authority to act, and bodies with
defines an organizational framework in which the authority to respond lacked the situational
activity occurs—a framework in which, typically, awareness and core competencies to capitalize on
interagency response is integrated, special proce- that authority. This was a perennial problem in
dures and responsibilities are defined, and meth- some parts of the country where competent wild-
ods for evaluating performance are established fire management demanded powers beyond what
(based on the determination of goals and the prep- had been granted to the agencies set to the task,
aration of after-incident reports based on those which is one reason why California led the way in
goals). Predetermining procedures and respon- advancing emergency management systems, long
sibilities streamlines the emergency response, as before concerns with terrorist attacks (national
well as identifying in advance which resources security prompted New York City and the federal
will be needed in the event of various emergen- government to follow suit).
cies. Frequently, emergency management systems In California, a standardized emergency man-
create temporary teams and hierarchies designed agement system (SEMS) was adopted after the
 Emergency Management System 339

East Bay Hills Fire of 1991. SEMS establishes the management of any sort. It was used in New
emergency management procedures used by all York in response to the February 26, 1993, truck
state agencies in California, incorporating inter- bombing of the World Trade Center, and in 2004
agency coordination and reciprocal agreements was included as a component of the Department
among city and county jurisdictions. Local gov- of Homeland Security’s National Incident Man-
ernments are required to be trained in SEMS and agement System as a system to command, control,
use it for emergency management if they wish to and coordinate emergency response by integrat-
be eligible for disaster assistance and personnel ing personnel, policies, procedures, facilities, and
funding. The system is used for five levels of emer- equipment into a common organizational struc-
gency response: state, regional, operational area ture. ICS is now mandated for all emergency ser-
(county), local, and field levels. vices that receive federal preparedness funding.
SEMS calls for organizing human resources so Like the rest of SEMS, ICS is scalable, pro-
there are no fewer than five and no more than viding a framework suitable for response on the
seven workers under each supervisor. SEMS local level, on the national level, or anywhere in
uses the Incident Command System (ICS), which between. In its general applications outside its
was developed by the Fire Fighting Resources origins in fire management, it is a first-on-scene
of California Organized for Potential Emergen- incident management system, giving manage-
cies (FIRESCOPE). Under ICS, key positions are ment authority to the first responder to an inci-
defined: the incident commander, overseeing the dent scene until that responder is relieved by a
response to the emergency; the operation sections more qualified commander or the incident is
chief, who oversees a specific section of opera- resolved. ICS isn’t a complete emergency manage-
tions; and a public information officer, who is the ment system—it deals with incident response and
designated media contact for the incident. The operations, not preparedness, risk mitigation, or
incident commander works with a planning sec- aftermath.
tion to construct an action plan that identifies the Emergency management deficiencies often stem
operational period and goals of the agency. from unclear hierarchies, in which there are too
SEMS has five main components: FIRE- many uncertainties about the chain of command
SCOPE’s Incident Command System (ICS) and and too little supervision, resulting in organiza-
Multi-Agency Coordination System (MACS), the tional blind spots and a general lack of account-
Master Mutual Aid agreement, the use of opera- ability. A poorly defined or poorly informed
tional areas, and the Operational Area Satellite planning process leads to wasted resources, and
Information System (OASIS). insufficient communication slows response time.
When there are no predefined procedures to merge
Incident Command System multiple agencies’ efforts, cooperation becomes
FIRESCOPE developed the Incident Command sloppy, determined by decisions made in haste and
System in the 1970s as an emergency management weakened by the cognitive biases of the on-scene
system for California’s fire services, following a responders making those decisions. The special-
1968 meeting of California fire chiefs. Its devel- ized jargon, procedures, and expectations of vari-
opment came as a response to catastrophic fire ous agencies may conflict with one another and
damage, resulting in numerous deaths and wide- cause confusion. The strength of ICS is its empha-
spread property damage, in California’s urban sis on interagency cooperation to eliminate redun-
fringe during large-scale wildfire suppression dancy, keep agencies from tripping over each other,
efforts. Authorities determined that the suppres- and reduce overhead and operating expenses; its
sion efforts had been hampered not by insufficient command and control paradigm was originally
resources but by management and communica- based on that used by the U.S. Navy. ICS provides
tions problems. administrative and logistics support to emergency
ICS was later adopted by federal land man- personnel and uses the resources from a scalable
agement agencies as the standard emergency amount of inputs (agencies and other entities) in
management system for all wildfire emergencies, a unified effort with clearly defined roles, hierar-
and it became a popular model for emergency chies, procedures, and offices of authority.
340 Emergency Management System

Under ICS, every individual has one and only individual to another. The incident commander is
one supervisor, and any supervisor will oversee the final authority in decision making. In larger
three to seven individuals. (Under SMES, five is incidents, a unified command (UC), composed of
the minimum number.) The command structure two or more individuals, may govern; multiple-
is based on avoiding any possibility of conflict- jurisdiction incidents are the most likely to use a
ing orders or confusion over whom to report to, unified command. The UC acts as a single entity
in order to hasten response time and minimize and will usually appoint a single operations sec-
resource wastage. Command structure is assem- tion chief who speaks on behalf of the UC as a
bled top-down on an as-needed basis; positions whole in order to simplify the chain of command.
are not filled until they are needed. Positions can Area commands are sometimes used in multiple-
migrate to other individuals as the number of per- incident emergencies and oversee multiple inci-
sonnel involved in an incident increases, or as the dent commanders; they rarely include an opera-
situation changes—the first responder to the scene tions component, and they focus on logistics and
will be the initial incident commander, but com- administration.
mand will later pass on to another responder if Other ICS staff positions include the public
the incident continues. Similarly, common termi- information officer, who is the designated media
nology is adopted and supersedes agency-specific contact; the liaison officer, who liaises between
terminology, though it can be difficult to ensure agencies responding to the incident; the safety
that this policy is implemented, especially in the officer, who oversees efforts to preserve the safety
heat of the moment when on-scene workers natu- of personnel; the operations section chief, who
rally revert to the jargon they’re used to. Termi- directs operations to meet incident objectives;
nology for resources and positions in the hierar- the planning section chief, who collects the rel-
chy are straightforward. evant information and oversees efforts to develop
action plans; the logistics section chief, who over-
ICS Management Objectives sees resources and support; and the finance and
Early in the management process, specific objec- administration section chief, who tracks costs,
tives are identified by the appropriate units, and requisitions, and other administrative data. In
units are then deployed to achieve those objec- large incidents, there may also be a command-
tives, ideally in a specifically identified time frame. level information and intelligence officer. Under
Strategies for achieving objectives are developed the Federal Emergency Management Agency
by the units best capable of doing so, not devel- (FEMA), it is common to have dual operations
oped in a vacuum by workers unfamiliar with the and logistics section chiefs, but this is considered
terrain, in order to avoid the inefficiency of pursu- a nonstandard application of ICS.
ing an unworkable or impractical strategy for the Among the standardized terminology estab-
sake of orderliness. An incident action plan (IAP) lished under ICS is the set of facility terminology.
is developed for the operational period, provid- The incident command post (ICP) is the sole loca-
ing supervisors with actions to be accomplished tion from which the incident commander operates,
in order to meet incident objectives. The IAP spe- but it may move during the course of the response.
cifically identifies objectives, the individuals and The staging area is the location where tactical
units responsible for the specific actions that will resources await deployment, and there may be
achieve these objectives, communications proce- more than one. Camps provide services like food
dures for the operational period, and the appro- and shelter to staff, and bases are locations from
priate procedure to handle injuries. Hazardous which logistics and administrative functions are
materials incidents must managed with a written conducted. Helibases are secured locations where
Incident Action Plan (IAP) prepared by the plan- helicopters can land, refuel, and receive mainte-
ning section; in other cases, the IAP may be writ- nance, whereas helispots are available only for
ten or oral. takeoff and landing. A single location may be the
Most incidents handled under the ICS are ICP as well as a staging area, base, and/or camp.
overseen by a single incident commander, though Large incidents may include a joint information
as noted that position may be passed from one center, where media representatives are engaged
 Emergency Management System 341

with; a joint operations center, usually predeter- agency typically takes the lead role in planning
mined; and a multiple-agency coordination center, and developing the initial action plan, in coop-
the central command facility for overseeing strate- eration with relevant local governments. County
gic response to a large-scale disaster. governments are the lead agency in operational
ICS resources are discussed in terms of “type” area-level circumstances, though they have the
and “kind.” “Type” is size, capacity, or other power to designate another agency the lead
quantified information, whereas “kind” is the cat- agency following a joint resolution with member
egory of resource. For example, “100 kilowatts” local governments.
is the type and “generator” the kind when speak- The lead agency is sometimes a new or tem-
ing of a 100-kilowatt generator. porary agency created through a joint powers
Today, ICS is used for terrorist attacks, medi- agreement (JPA) among local governments, an
cal emergencies, hazardous material emergencies, action authorized under California Government
natural disasters and fires, vehicular and indus- Code 6500 et seq. The JPA agency may also be a
trial accidents, hostage crises, and search and res- legal fiction representing the cooperation of mul-
cue operations. It is also used in nonemergency tiple existing agencies, acting in concert. Under
situations to manage agencies’ involvement with SEMS, a JPA agency may not be the lead agency
planned events like parades, concerts, and fairs. at the operational area level if it is formed by
It has been adopted by Canada, the United King- more than one county. The JPA agency must be
dom, and Brazil, and New Zealand and Australia overseen by a policy-making body, as identified
have adopted systems based on ICS. The United or established by the joint powers agreement,
Nations has recommended it as the international which consists of representatives from the signa-
standard for incident command and control tory governments that are responsible for hiring
systems. staff, acquiring equipment and needed supplies,
representing the JPA agency to other agencies,
Multiagency Coordination and applying for grants in the JPA agency’s
Multiagency coordination is the coordination name. The joint powers agreement must be spe-
among agencies responding to an emergency, cific in the responsibilities and powers it assigns
such as the police, fire department, and emer- to the JPA agency, and it establishes specific staff
gency medical technicians (EMTs) responding to positions.
a structure fire, the police agencies responding to
a mass shooting, or the many agencies involved Master Mutual Aid Agreement
in responding to a deadly natural disaster. SEMS Under California’s Master Mutual Aid Agreement
guidelines dictate the mechanisms of multiagency (MMAA), first signed in 1950, cities and coun-
coordination at all five levels. ties voluntarily provide needed facilities and other
Multi-Agency Coordination Systems (MACS) resources to jurisdictions whose local resources
are part of the national Incident Command Sys- are insufficient for a given emergency. When nec-
tem and provide the structure to prioritize inci- essary, state agencies will also contribute. Agen-
dent responses, coordinate agency actions, and cies called upon by the MMAA are not limited to
allocate resources to respond to large-scale emer- the fire and police departments but include medi-
gencies. MACS are involved in providing each cal resources and personnel, coroners’ offices,
agency with the required situational awareness to search and rescue personnel, building officials,
make informed decisions, updating status reports and public works staff.
across agency boundaries, establishing priorities Mutual aid sometimes includes providing staff
among multiple incident commanders or area members, especially support staff, to handle the
commands, anticipating resource requirements, increased workload in the nonoperations spheres
resolving policy issues as needed, and coordinat- during a response to an emergency. The govern-
ing strategy. ments of neighboring communities outside the
In an event in which multiple agencies are area of the incident may provide some of their
involved, a lead agency is designated for the day- support staff to help fill needed staff positions or
to-day responsibility of administration. The lead to populate the staff positions of a JPA agency.
342 Emergency Management System

Operational Area and reliability. The preparedness component of

Under SEMS, the operational area is the county NIMS calls for cooperation among all levels of
and its political subdivisions. The county govern- government in order to achieve national prepared-
ment is the lead agency in responding to emergen- ness. Preparedness is a constant, ongoing process,
cies at the operational area organizational level, including planning, procurement, maintenance
and each California county is autonomous in of resources, training exercises, and the constant
determining its own organization and structure. evaluation of past performance and future sce-
An operational area disaster council may be narios as new information becomes available.
formed or designated to serve as an advisory body Terrorism has especially been emphasized in the
to the county government. In a situation where preparedness component, as a result of the role of
the lead agency handling the emergency is a JPA the September 11, 2001, terrorist attacks in inspir-
agency as discussed above, the operational area ing the creation of the Department of Homeland
disaster council is typically the JPA policy-making Security and the adoption of NIMS.
agency. Such disaster councils are usually made Agencies and entities involved with NIMS
up of elected county officials. include law enforcement, fire departments,
hazmat teams, emergency medical agencies, tow
OASIS and NIMS and recovery operators, highway departments,
The Operational Area Satellite Information Sys- communication centers, and transportation man-
tem (OASIS) is a satellite-based communications agement centers, as well as all federal departments
system designed to transmit data and status and agencies.
reports among California agencies participating
in SEMS. There are 15 standardized forms used National Integration Center
to transmit information from a satellite system The Department of Homeland Security’s National
in each operational area in California, each of Integration Center (NIC) is responsible for the
which is linked to agencies at the local, state, and implementation of NIMS, including compliance
federal level. specifications and ongoing administration. NIC
The National Incident Management System promotes compatibility between the standards set
(NIMS) is an emergency management system by NIMS and those of other public- and private-
used by the U.S. government in conjunction with sector groups, especially at the national level, and
the National Response Framework to coordinate develops NIMS’s national education and aware-
both incident management (through ICS) and ness program. It also oversees any review and
preparedness among all levels of the public and revision of the NIMS system.
private sectors. Whereas the National Response NIC is responsible for assessing the functional-
Framework, in effect since 2008, provides guiding ity and efficacy of NIMS’s components and objec-
principles for policy and coordination, and incor- tives, and it has jurisdiction over credentialing
porates many of the principles of NIMS, NIMS entities and personnel. It has established a data-
provides a template much like SEMS. Adopted base system for such credentials and works with
in 2003 by all federal agencies, NIMS is both standards development organizations to develop
standardized and scalable, providing operational common national credentials.
structures applicable for any scale of incident and NIC also oversees administrative matters such
any number of relevant jurisdictions and agen- as establishing the naming and numbering con-
cies. Like SEMS, it is designed to be flexible and ventions for NIMS-related publications and man-
accommodate response to any kind of incident, aging other elements of publishing such as dis-
including complex multi-incident emergencies. tribution and product accessibility. It also assists
ICS and MACS are the command and manage- agencies with NIMS training. NIC is a division of
ment component of NIMS, providing standard- FEMA’s National Preparedness Directorate.
ized terminology and organizational structure.
The communications component emphasizes the Medical Surge Capacity Capability
use of plain language over jargon, as well as the The Medical Surge Capacity Capability Man-
need for interoperability, scalability, flexibility, agement System (MSCC) is the emergency
 Emergency Manager 343

management system used and developed by the http://www.calema.ca.gov/planningandprepared

Department of Health and Human Services’ Pub- ness/pages/standardized-emergency-management
lic Health Emergency division, in the Office of the -system.aspx (Accessed August 2012).
Assistant Secretary of Preparedness and Response. Farazmad, Ali. Handbook of Crisis and Emergency
Whereas other emergency management systems Management. Boca Raton, FL: CRC Press, 2001.
are designed with a physical scene of incident Iakovou, Eleftherios and Christos Douligeris.
in mind, MSCC is an adaptation of the Incident “An Information Management System for the
Command System and other NIMS elements to Emergency Management of Hurricane Disasters.”
medical and public health crises in which either International Journal of Risk Assessment and
multiple incident scenes are extant, no one of Management, v.2/3–4 (2001).
which can be considered central, or in which there Kapucu, Naim. “Disaster and Emergency
is no defined scene. This includes but is not lim- Management Systems in Urban Areas.” Cities,
ited to infectious disease outbreaks, contaminated v.29/Supp.1 ( 2012).
goods or foodstuffs, chemical or biological weap- Phelan, Thomas D. Emergency Management and
ons attacks, and exposure to hazardous materials. Tactical Response Operations. New York:
The MSCC system was developed as part of Butterworth-Heinemann, 2008.
the health care system’s response to the 9/11 ter- Sylves, Richard Terry. Disaster Policy and Politics:
rorist attacks, the 2001 anthrax attacks, and Emergency Management and Homeland Security.
the 2005 devastation of Hurricane Katrina. It is Washington, DC: CQ Press, 2008.
designed as a medical emergency management sys- White, Connie. Social Media, Crisis Communication,
tem that establishes an organizational framework and Emergency Management. Boca Raton, FL:
for meeting any major public health crisis. Unlike CRC Press, 2011.
other applications of NIMS, there is also a strong
focus on creating medical system resiliency such
that health care organizations are able to recover
quickly from disasters, mitigating the “secondary
surge” of human costs when, as medical systems Emergency Manager
are overwhelmed by a disaster, patients in need of
ongoing care suffer because of a medical attention The term emergency manager refers to the individ-
shortage. There is a strong focus on information ual charged with creating the framework within
management, resolving interagency and policy which communities or organizations reduce vul-
conflicts, and medical asset support. As in other nerability to hazards and cope with disasters.
emergency response efforts, promptness is critical, Although the position has traditionally been
and preparedness and risk mitigation shorten the viewed as that of a technician specializing in disas-
time it takes to adequately respond to an incident. ter preparedness and response, the scope of the
emergency manager has been evolving to encom-
Bill Kte’pi pass all aspects of community resilience, trans-
Independent Scholar forming the role of emergency manager to that of
professional manager specializing in the develop-
See Also: Agency Notification and Mobilization; ment of emergency management programs.
Cabinet Office, UK; Contingency Planning;
Department of Homeland Security (DHS); Early Evolution
Warning Systems; Emergency Alert Systems; Although emergency managers are found in both
Emergency Management Agencies, City and County; the public and private sectors, the term originated
Emergency Operations Center; Emergency Public with and is generally applied to public-sector
Information; National Response Framework. employees. Although the function of government
in reducing vulnerability and coping with disasters
Further Readings has been evolving over many years, the concept
California Emergency Management Agency. of a specific individual charged with discharging
“Standardized Emergency Management System.” this function is of relatively recent origin and has
344 Emergency Manager

its beginnings in the Cold War era. With the pas- Current Role
sage of the Civil Defense Act of 1950, the federal The role of the emergency manager remains hard
government began providing funding for local to define, as there is no standard job description.
planners to develop plans for nuclear war. These Until the adoption of the Principles of Emergency
planners were primarily retired military person- Management by several national emergency man-
nel who adapted military planning techniques to agement organizations in 2007, there was no
the various levels of government that employed generally agreed-upon definition of emergency
them. Separate legislation (the Disaster Relief Act management. The actual role of an emergency
of 1950) provided for disaster response unrelated manager seems to depend on two factors: (1) the
to civil defense and created a separate arm of the size of the community and (2) the perception of
government to discharge these functions. How- competency of the emergency manager.
ever, these two functions were generally merged at Where the community is relatively small, the
the state and local levels. The result was a gradual emergency manager usually performs his or her
shifting of the roles of the federally funded plan- functions as additional duties and is viewed princi-
ners from nuclear war planners to all-hazards pally as a technical expert in emergency response.
planners as the Cold War threat diminished. The emphasis is on preparedness and response,
Given its origins in Cold War nuclear planning, and the majority of the effort is on developing the
the role of the emergency manager has been closely community’s capacity to respond to crises.
associated with the development of the emergency Where the community is larger, the emergency
operations plan and the position viewed as one manager tends to be a full-time employee, although
of a technical specialist. The position tended to not necessarily an emergency management pro-
be plan-centric, with the major task of the emer- fessional. The role of the emergency manager
gency manager being to develop the emergency tends to be broader in scope and moves toward
operations plan and prepare the jurisdiction for community resiliency rather than just response.
disaster response. However, with the adoption of Mitigation of risk and planning for rapid recov-
the four-phase comprehensive emergency man- ery become part of this expanded scope.
agement model in 1978, there has been a growing However, even where the emergency manager
recognition that emergency managers cannot limit is a full-time employee, the effectiveness of the
their role strictly to response planning. Instead, position ultimately depends on the person hold-
studies have demonstrated that effective emer- ing the job. If the emergency manager sees his or
gency managers share the same characteristics as her responsibility as encompassing all hazards
effective managers in other fields. The increase in and establishes his or her role in the organization
scope of duties necessitated by planning for miti- as a program manager and peer, then he or she
gation and recovery in addition to preparedness, can make progress toward a goal of community
coupled with the advent of standards and pro- resilience. However, if the emergency manager
gram accreditation, has changed the role of the focuses solely on preparedness and response, his
emergency manager from that of a planner to one or her role will remain solely that of a technician
of program manager. with little influence on policy and strategy.
This evolution from nuclear planner to all-
hazards planner to program manager has been Toward Professionalism
heavily influenced by a growing body of research The role of the emergency manager is in a state
on crisis and hazards, principally in the social sci- of flux. Although many emergency managers con-
ences. Disaster research also has its origins in the tinue to view themselves solely as response plan-
Cold War: military planners were attempting to ners, others see themselves on the verge of becom-
use natural disasters as a method of predicting the ing a profession. Several factors are driving this
impacts of nuclear war on civilian populations. move toward professionalism:
From this beginning, disaster research has grown
to become an academic discipline in its own right • The growing influence of professional
and the theoretical basis for modern emergency associations such as the National
management. Emergency Managers Association and the
 Emergency Medical Care 345

International Association of Emergency people identify emergency medical services as the

Managers, which are seeking to establish ambulance service; however, emergency medical
standards and identify core competencies care may also be provided by the fire department
for emergency managers or law enforcement until an ambulance arrives.
• The development of core curricula and
higher education degrees designed to Service Levels
prepare entry-level emergency managers Emergency medical care is provided at three lev-
• The adoption and continued evolution els. These include the basic level, advanced level,
of a professional certification by the and critical care level. Basic emergency medical
International Association of Emergency care is provided by emergency medical techni-
Managers cians (EMTs). This care may include assisting
with emergency childbirth, splinting fractures,
Where the “traditional” emergency manager using bandages and dressings to stop bleeding,
came to the position as a second career and assisting with some medications, and securing
saw the job as one limited to preparedness and patients involved in motor vehicle accidents.
response, the emergency manager of the future Basic emergency medical technicians may also
will most likely be someone who has chosen emer- use specialized tools, such as the Jaws of Life, to
gency management as a profession, has a degree remove accident victims involved in accidents.
in emergency management or a related field, is Basic EMTs may also perform cardiopulmonary
certified by a professional association, and sees resuscitation (CPR) and the Heimlich maneuver
his or her duty as one of increasing community or to assisting choking victims.
organizational resilience. Advanced emergency medical technicians
(AEMT) and paramedics (formerly known as
Lucien G. Canton EMT-P, now just paramedic) provide advanced-
Independent Scholar level emergency medical care, including adminis-
tering medications, intubation, and using electro-
See Also: Crisis Management, Emerging Trends in; cardiograms and interpretation of the information.
Emergency Management, Principles of. Advanced EMTs are not licensed to perform the
same level of advanced services as paramedics and
Further Readings are limited in their scope of practice. For instance,
Canton, Lucien. Emergency Management: Concepts AEMTs can only assist with a limited amount
and Strategies for Effective Programs. Hoboken, of medications administered intravenously, such
NJ: John Wiley & Sons, 2007. as glucose (similar to sugar water) and Lactated
Drabek, Thomas. The Professional Emergency Ringer’s (used to clot the blood). Comparably,
Manager: Structures and Strategies for Success. paramedics are allowed to provide medications
Boulder: University of Colorado Press, 1987. that AEMTs are not allowed to provide.
Waugh, William and Kathleen Tierney. Emergency Paramedics may use a host of medications to
Management: Principles and Practice for Local assist the sick and injured, such as controlled sub-
Government. Washington, DC: International City/ stances for pain (e.g., morphine) or epinephrine
County Management Association, 2007. for persons experiencing a heart attack or allergic
reaction. Paramedics may insert breathing tubes
into the airway to assist with breathing, use intra-
venous fluids, and use advanced electrocardio-
gram equipment that basic and advanced emer-
Emergency Medical Care gency medical technicians are not allowed to use.
Paramedics typically perform their tasks under
Emergency medical care is typically defined as the authority of a physician medical director.
medical services provided by pre-hospital care Emergency medical services (EMS) are required
providers such as first responders, emergency by state and federal laws to operate using various
medical technicians, and paramedics. Most medical algorithms or preset directions. These
346 Emergency Medical Care

algorithms allow EMS crews to provide patient aid stations where soldiers and sailors could be
care without a physician actually being on board transported for emergency care. Other countries,
the ambulance or next to the pre-hospital care such as the United Kingdom, Belgium, and Ger-
provider. However, most EMS crews are required many, continued to develop their own emergency
to contact a physician via radio or phone while medical services during this time as well. Private
providing care or soon after. and municipal ambulance services begin to oper-
EMS agencies and private companies may ate in major cities throughout the world in 1865 in
employ basic EMTs, advanced EMTs, paramed- cities such as Cincinnati, New York, and London.
ics, or a combination of all three. Many commu- The first documented introduction of cardio-
nities provide tiered emergency medical services pulmonary resuscitation (CPR) can be traced to
whereby all emergency calls are coded, or divided 1960. It was during this time that mobile inten-
into the type of emergency. For instance, a person sive care units were introduced in Belfast, Ire-
with a fractured arm may receive an ambulance land; Los Angeles, California; and Columbus,
staffed with basic EMTs, but a female giving birth Ohio. Soon after, these same cities began to train
may receive an ambulance staffed by advanced emergency medical technicians and paramedics
EMTs. However, a person experiencing a heart to provide care in the field under the direction of
attack or life-threatening emergency will typi- physicians. However, major conflicts such as the
cally have an ambulance dispatched that is staffed war in Vietnam led to new methods of providing
only by paramedics. In tiered emergency medi- field triage and care for soldiers that were quickly
cal service systems, the closest ambulance is dis- picked up by fire departments and ambulance ser-
patched first so that the patient receives some care vices throughout the world.
until a paramedic ambulance can arrive. Ambu- The U.S. Department of Transportation’s
lances staffed by basic or advanced EMTs may National Highway Traffic Safety Administration
provide initial transportation and meet a para- (DOT NHTSA) became responsible for all emer-
medic ambulance en route to the hospital. This gency medical services (EMS) training and over-
method of treatment and transportation ensures sight after the passage of the Highway Safety Act
that the patient receives both immediate care and of 1966. This act gave the department author-
advanced care within a matter of minutes. ity over EMS because the majority of EMS calls
received were secondary to motor vehicle colli-
History sions (MVCs) along the nation’s highways and
Emergency medical care can trace its roots all the interstates. The act created a core training curric-
way back to 1500 b.c.e., when local citizens were ulum for emergency medical technicians, includ-
documented assisting travelers in need of medi- ing response to these MVCs. The curriculum has
cal attention. These local citizens would receive been updated several times since 1966, with the
notification of injured travelers and respond by most recent changes occurring in 1984 and again
cleaning and bandaging their wounds, splinting in the late 1990s. Aside from the National High-
fractures, and assisting them with temporary shel- way Traffic Safety Administration, the National
ter until their wounds healed. Later, the Roman Association of Emergency Medical Technicians
Empire used chariots and physicians to retrieve (NAEMT) has been instrumental in encouraging
injured soldiers and provide care for them. How- change within emergency medical services. More-
ever, French ruler Napoleon is credited with creat- over, the NAEMT sponsors the National Registry
ing the first system of field care to include triage, of Emergency Medical Technicians (NREMT),
treatment, and transportation all in one. More- which is the highest level of national EMT and
over, Napoleon’s army also had standing proto- paramedic certification available in the United
cols so that all physicians, nurses, and field pro- States, Canada, and other developed nations.
viders offered the same emergency medical care
no matter which part of the world they were in. Current Efforts
Emergency medical care continued to develop as Major scientific advancements have continued
the United States entered the Civil War and both to change the face of emergency medical care.
Union and Confederate armies created field battle These innovations include the use of advanced
 Emergency Medical Care 347

Michelle Hollingsworth, a registered nurse, listens for breathing following simulated lifesaving measures during a hospital emergency
response training (HERT) for mass casualty incidents course, Anniston, Alabama, January 21, 2011. HERT places emergency response
providers in a realistic mass-casualty training scenario. Often, government grants assist public and private emergency medical care
agencies with equipment updates and training, which has been especially critical since 9/11.

airway adjuncts, better medications, and highly ensures that pre-hospital care providers receive
advanced equipment such as the 12-lead elec- a higher level of education than was previously
trocardiogram monitor and the pulse oximeter. required. Another aspect of emergency medical
In addition, ambulances are now equipped with care is the emergency medical dispatcher (EMD).
advanced radio communication systems, comput- These professionals are trained to receive emer-
ers, and other patient-care equipment. Emergency gency calls, dispatch help, and provide emergency
medical technicians and paramedics are now instructions to the person calling for help.
allowed to use advanced medications and proto-
cols to provide better care for their patients. This Future Efforts
includes new drugs to treat heart attacks (myo- Changes in emergency medical care include fur-
cardial infarctions), drug overdoses, and strokes ther integration of ambulance- and fire-based
(cerebral vascular accidents). Paramedics are also EMS into the public health community. These
allowed to treat patients for pain such as would efforts include assisting with identification and
occur secondary to a motor vehicle accident modification of illnesses and management of those
(MVA). In many states, EMTs and paramedics are illnesses along with physicians, nurses, and other
allowed to staff hospital emergency departments, allied health professionals. Additional efforts
clinics, and outpatient surgery centers. Several include better integration with public safety agen-
larger states have recently moved from certifica- cies such as fire, police, emergency management,
tion for EMTs and paramedics to licensure. This and homeland security, especially with regard to
348 Emergency Medical Care

communications, research, and prevention. Con- company is well positioned to invest additional
versely, public education, clinical care, physician capital into these future advancements. Fortu-
medical direction, and improvement in training nately, local, state, and federal grants are often
systems are being explored for the future. EMS available to assist public and private emergency
agencies are also researching future improve- medical care agencies with updating both equip-
ments in patient care technology by beta testing ment and training for future advancements. This
new Web-based treatment between the ambulance is especially the case since the terrorist attacks
and the physician at the hospital. This technol- of 9/11, when so many emergency medical care
ogy allows the physician to work with the para- agencies responded to provide assistance to the
medic to assess the patient via live video camera sick and injured.
and then direct patient care before the ambulance Although many communities contract with
arrives at the hospital. Similar systems are cur- private companies, they often remain involved
rently being explored for paramedics working on in major operational decisions and medical over-
offshore drilling rigs and in remote villages. sight. Communities will often form emergency
One major concern for future efforts is the con- medical care committees and may involve local
tinued lack of funding for emergency medical care. physicians, the fire chief, the mayor, or other com-
Because many of the agencies providing emergency munity leaders. These committees ensure that the
medical care are either volunteer service, fire-based best emergency medical care remains available no
response, or ambulances, or they are municipal- matter if it is a public or private organization pro-
owned/third-service systems, a further reduction viding this care. Private companies are also pro-
in budgets threatens to reduce these future efforts. viding fire service in many communities. These
Some communities have eliminated municipally companies are often responsible for medical first
owned emergency medical care agencies and response and may be dispatched to medical calls
instead have contracted with private companies to along with an ambulance. Because fire depart-
provide their emergency medical care and ambu- ments are often geographically located through-
lance transportation needs. Although this move out communities, they are typically much closer
may save communities money in the short term, it to calls for help. A fire apparatus with personnel
may do little to support future efforts to provide trained in emergency medical care will respond
first-class emergency medical care. Because these and provide care until an ambulance arrives.
private emergency medical care companies are fee These crews are often staffed with emergency
based, they may face similar budgetary constraints medical technicians, advanced emergency medical
because they are not supported with public tax technicians, and paramedics. In some communi-
subsidies; they are paid only if they transport ties, all of the emergency medical care is provided
patients. These private companies are in busi- by the local fire department, including all ambu-
ness to make money and, like other businesses, lance transportation.
they require payment for services rendered within
a few days of the ambulance transport. This is a Doug Brown
major concern in smaller communities that require Arkansas State University
an ambulance for emergencies but receive only a
handful of emergency calls per month. See Also: Crisis, Definition of; Crisis Communication;
Private emergency medical care companies Documentation; Emergency, Definition of; Emergency
must find other ways to remain in business, Medical Care; Emergency Responders; Evacuation;
including providing nonemergency transporta- Exercises; Health and Medical Response Scenarios;
tion to and from long-term care facilities that Mutual Aid and Assistance; Preparedness; Response;
often offer higher reimbursement for service than Search and Rescue; Training; Uncertainty.
emergency medical calls provide. These concerns
must be addressed by government agencies, com- Further Readings
munities, and nongovernmental groups before Bergeron, J., G. Bizjak, C. Le Baudour, and K. Wesley.
EMS can advance into the future. This may be First Responder: Emergency Medical Care. 8th ed.
difficult to do with private companies unless the Upper Saddle River, NJ: Prentice Hall, 2011.
 Emergency Medicine 349

Bledsoe, B., R. Porter, and R. Cherry. Paramedic bodies (though such actions are certainly crucial
Care: Principles & Practice. Vol. 2, 4th ed. Upper in the early hours), but also includes address-
Saddle River, NJ: Prentice Hall, 2012. ing the many highly demanding organizational,
Limmer, D., M. O’Keefe, H. Grant, B. Murray, J. social, psychological, economic, and moral prob-
Bergeron, and E. Dickinson. Emergency Care of lems that could affect both the population and
the Sick and Injured. 11th ed. Upper Saddle River, health services.
NJ: Prentice Hall, 2011.
U.S. Department of Transportation. Emergency Emergency Medicine Tools
Medical Technician-Basic: National Standard Emergency medicine involves the combination of
Curriculum. Washington, DC: U.S. Government various disciplines aimed at achieving common
Printing Office, 2006. goals, such as limiting the loss of life and restor-
ing acceptable living conditions. The environment
in which emergency medical operations are car-
ried out requires a capacity for adaptation, which
is typical of the field of medicine. Medical pro-
Emergency Medicine viders must be able to identify the priorities that
characterize emergency medicine, take charge of a
The first organized efforts to perform emergency large number of victims, and consider each victim
medicine were undertaken during the French Rev- as an individual.
olution, thanks to the contributions of a French To achieve this and minimize improvisation,
surgeon, Dominique Jean Larrey. In the wake of advance planning for an emergency should be
the Napoleonic armies, he conceived the idea of based on a typically applied field of medical doc-
an ambulance, or, as it was called at that time, trine that maintains a hierarchy of tasks and an
voiture d’ambulance volante, for the fast trans- essential characteristic of the medical treatment
port of wounded soldiers at the camp infirmary. of war. Every scientific discipline uses operational
He is therefore regarded as the father of emer- tools, and there are three tools that characterize
gency medicine. emergency medicine: strategy, logistics, and tactics.
Emergency medicine has historically experienced With the evolution of medicine and technology,
strong development in connection with large wars an emergency is less defined as an uncontrolled
and with the application and development of mili- event, for which a branch of medicine, studying
tary medicine. Over the past 20 years, emergency global health interventions, has developed over
medicine has seen enormous growth, developing time. Instead, emergency medicine can be consid-
and requiring more skills over time. For example, ered a compilation of many types of medicine tra-
an essential part of training and knowledge in this ditionally applied to a collective crisis or disaster.
branch of medicine includes advanced trauma life
support (ATLS), advanced life support (ALS), and Strategy, Logistics, and Tactics
advanced cardiac life support (ACLS). In addition, Strategy is the art of designing emergency plans
there has been a great development in technol- and consists of the following three key features:
ogy, especially with the advent of the emergency
room (ER), the first point of access to hospitals for • Top management: Emergency plans should
patients in serious condition. be designed by experts with extensive
The notion of emergency medicine does not experience.
apply exclusively to the routine of everyday life • Planning: Designing a plan should consist
(such as traffic accidents, domestic accidents, of the analysis of a wide range of possible
poisoning, burns, cardiac arrests, and other ail- risks, and it should be noted that the
ments), but also to situations that go far beyond implementation of a response must be based
the capacity for a system to respond, as in disas- on the prediction of events related to the
ters, catastrophes, and crisis situations. consequences thereof.
Responding to an emergency does not only • Training: Operator training is a
involve rescuing the wounded or recovering the prerequisite.
350 Emergency Medicine

Logistics is what allows the system to sur- phase. Planning is a key step to having a good
vive and function. It is literally defined as the response strategy. It is a critical phase, and it is
art of providing and allowing a fair and rational effective only when responders understand and
deployment in the field of people, materials, and can implement those plans.
resources. It is necessary to establish some a priori It has been argued that it is necessary for plan-
criteria, such as the following: ning to involve teamwork, in which all leaders and
supervisors of the various structures or offices can
• Type of event: For example, the collapse of work collaboratively to design a response plan.
a housing structure in an urban area will Often, planning takes into account a broad
result in a type of response different from a range of scenarios, like a barricaded gunman, a
train derailment, a blackout, or a pandemic. hazardous material spill, a long-term blackout,
• Operating environment: Environmental a terrorist attack, or a pandemic disease. A plan
conditions strongly affect the system should have an “all-hazard approach,” which
response, including such factors as the could be applied to any critical incident regard-
action taking place on uneven terrain, less of its specific nature. It should meet the fol-
the presence of possible additional risks, lowing criteria:
difficulties in access to victims, climatic
conditions, and the ability to channel • The plan must be simple.
resources effectively. All of these conditions • All responders must understand the plan.
must be considered binding management • All responders must practice the plan
intervention. through training.
• Duration of the operations: The autonomy • The plan must be compliant with the
of the rescuers and/or their rotation is an National Institute Management System
important variable for logistical purposes. (NIMS).

Tactics is the application of emergency plans Development of the plan begins with an assess-
by consequential operating procedures aimed at ment of vulnerability. The results of this assess-
establishing the chain of rescue. This sequence is ment will show (1) how likely a situation is to
applicable in any event regardless of the type of occur, (2) what means are available to stop or pre-
crisis. The crisis management chain must meet the vent the situation, and (3) what is necessary for a
following requirements: given situation.
Developing the plan has other advantages.
• The centrality of a single institution that Unrecognized hazardous conditions that would
receives the alarm, an assessment of the aggravate a crisis situation may be discovered,
event size, and a prompt, coordinated and planners can work to avoid or totally elim-
response. inate them. The planning process may bring to
• Medicalization is at the core of emergency light deficiencies, such as the lack of resources
medicine. Even though the problems (equipment, trained personnel, supplies) or items
encountered in ordinary emergencies could that can be rectified before an emergency occurs.
become amplified, the most common error is In addition, a plan should promote safety aware-
to respond to an emergency by inordinately ness and show the organization’s commitment to
increasing the deployment of personnel the safety of its workers.
and resources. Instead, the right approach Planners should take into account three areas
is to establish priorities for evacuation to of hazards: natural, technological, and human-
definitive care sites for victims. made. Each of these presents specific risks that can
be brought to a crisis situation such as an explo-
Principles of Planning sion, building collapse, major structural failure,
Crisis situations are best managed under stan- spill of flammable liquids, terrorist activities, loss
dard operating procedures (SOPs), and such pro- of electrical power, loss of water supply, and loss
cedures must be highlighted during the planning of communications.
 Emergency Medicine 351

Completing a comprehensive plan for handling provides a list of all the topics, principles, and
crises is a major step toward preventing disasters. technical skills that students need to learn in order
However, it is difficult to predict all of the prob- to perform certain jobs or duties. These skills and
lems that may happen unless the plan is tested. knowledge are gained by studying the definitions
of a crisis or disaster and all its related features
Hospital Planning and the phases of a crisis response, and focusing
Hospitals and health care facilities handle diffi- on medical care and nonmedical care, including
cult situations every day. However, few of these emergency medical care, with particular reference
situations usually send a hospital system into cri- to trauma management. Other concerns during an
sis, because there are more than enough resources emergency medical crisis include mental health,
to cope. Why, then, is it necessary to have specific toxic-chemical injuries, mass burn care, pediatric
planning for hospitals during a crisis situation? casualties, and pharmaceutical distribution.
It is because a crisis situation might crash the Beyond academic programs that provide the
entire apparatus of emergency room departments, necessary base of knowledge, it is extremely
aggravate the health status of patients, interrupt important to offer continuous training for emer-
the flow of medical gases, result in the sudden gency medical personnel. Fundamental tools in
interruption of electrical current, interrupt the this phase are tabletop exercises and drills.
communication systems, stop the flow of infor- In its official documents, the Federal Emer-
mation, and significantly worsen the economic gency Management Agency (FEMA) has outlined
balance of a hospital. the guidelines for designing a tabletop exercise
Crisis situations are not all alike, and specific to simulate a crisis situation in an informal and
plans and procedures should be drawn up to cope stress-free environment. The participants are
with the various types of events that can lead to usually people on a decision-making level who
such situations. gather around a table to discuss general prob-
This work must be carried out by a team com- lems and procedures in the context of a crisis or
posed not only of medical personnel but also of emergency scenario. The focus is on training and
administrative personnel. The resource manage- familiarization with roles, procedures, duties, and
ment procedures and diagnostic-therapeutic treat- responsibilities.
ments must be provided after careful consideration Another interesting method is the Emergo Train
of the following parameters: the expected type of System (ETS), which was designed at the Center
event, type of risk, estimated number of injuries for Research and Training in Disaster Medicine
and diseases prevailing in each event, the location and Traumatology at the Kathmandu Medical
and extent of the affected area, infrastructure effi- College exchange program at Linkoping Univer-
ciency, and stockpile assessment of medicines and sity in Sweden. In ETS, participants in real-scale
nonmedical supplies. During the planning period, simulations of emergency scenarios act exactly
as well as the later response phase, the crisis unit as they would in an actual crisis, with the only
should be the executive core for providing both difference being that gestures on the field, opera-
health care and administration. tions, and interactions are represented on boards
with the help of magnetic icons.
Training This greatly reduces the cost of the simulation,
A plan cannot properly work without it first being while still providing an overview of the general
tested. The training phase is perhaps the most situation (especially during the moments of time-
important phase to verify if all the personnel (both out and the final debriefing) as well as compress-
medical and nonmedical) have fully understood ing the time intervals according to the time scale
the operating procedures of the plan, and if each participants choose to use.
component of the system fully understands its role. The simulation still has all the characteristics
Many universities are introducing specific of a real-scale situation, including the emotional
degree programs concerning emergency medi- involvement of participants. The level of technical
cine, specifically oriented to crisis and disaster expertise required to interpret the various roles
management. The core content of these programs expected from the simulation can be modulated
352 Emergency Medicine

as a function of the specific objectives that are command system (HEICS), which is designed to
identified for the single scenario. meet the needs of an internal response to the hos-
In contrast, training drills have a very differ- pital (such as the medical care of mass gatherings,
ent appearance, feature, and dimension, which, or sudden incidents inside the building, such as
besides being designed based on specific scenarios, a blackout or system failures that could bring an
involve all staff and population. The drill’s pur- interruption of medical gas erogation).
pose is to test the response plan for specific situa- Based upon public safety’s Incident Command
tions. Topics increasingly relevant in these simula- System, HEICS has already proved valuable in
tions are the possible massive influx of wounded, helping hospitals serve the community during a
a possible blackout in a hospital, an uncontrolled crisis and resume normal operations as soon as
pandemic disease, or a contamination by chemi- possible. It has also assisted in the operation of a
cal, biological, radiological, nuclear, and enhanced medical facility in a time of crisis.
conventional weapons (CBRNE) agents. In its August 1997 Healthcare Facilities Man-
A crisis cannot be managed without a clear agement Series, the American Society for Health-
understanding of the operating procedures. In care Engineering of the American Hospital Asso-
the early moments, two main factors have to be ciation stated that one of the best examples of
faced: uncontrolled panic and confusion. The emergency preparedness through checklists can
purpose of the drills is to implement procedures be found in the HEICS.
to stabilize the scene, limit the acceleration of The HEICS is primarily based on three factors:
the growth of incident size, and ensure person- flexibility, minimal staffing (adding or remov-
nel’s and civilians’ safety; limit worsening of the ing positions), and cost-effectiveness (financial
already precarious health situations; ensure that resources are saved by activating only those posi-
all the procedures for scene management will be tions that are necessary).
put into place through a rapid assessment; and In the response phase, emergency medical ser-
subsequently establish the Incident Command vices (EMS) provide a significant contribution.
System. EMS is a type of emergency service dedicated to
providing out-of-hospital basic and acute medi-
Response: ICS and HEICS cal care, transport to definitive care, and medi-
In the response phase, there are some goals that cal transport to patients with illnesses and inju-
need to be reached after a crisis occurs. The first ries that prevent the patients from transporting
goal is to limit the growth of the incident and themselves.
ensure the safety of both civilians and responders, EMS personnel, whether they are emergency
and then stabilize the scene. Command must be physicsian, paramedics, or emergency medical
assumed by an Incident Commander, and an Inci- technicians, are also part of HEICS, and together
dent Command System (ICS) must be deployed. with hospital personnel they help in incident and
ICS was created in 1980 and was originally crisis management.
developed in California under the FIRESCOPE
program. ICS resulted from the obvious need for Triage and Medical Care Protocols
a new approach to the problem of managing rap- Beyond mere management, specific health proto-
idly moving wildfires in the early 1970s. cols (triage and medical management protocols)
An ICS will provide for three types of opera- often must be put in place for the recognition and
tions: single-jurisdiction or single-agency involve- management of critically ill patients. Triage is the
ment, single-jurisdiction or multiagency involve- process of determining the priority of patients’
ment, and multijurisdiction or multiagency treatments based on the severity of their condi-
involvement. The ICS must be able to adapt its tion. The term comes from the French verb trier,
structure to any emergency or incident and is a meaning to separate or select. Originally created
modular organization based upon the type and by a French doctor during World War I, it has
size of an incident. been improved over the years and now is the
Over time, specific ICSs have been developed. most commonly used system to give priority of
One of these is the hospital emegency incident care to patients.
 Emergency Operations Center 353

The most-used triage system in the United See Also: Biological Weapons; Catastrophe,
States is simple triage and rapid treatment Definition of; Centers for Disease Control and
(START). It was developed at Hoag Hospital in Prevention (CDC); Chemical Weapons; Coordination;
Newport Beach, California, for use by emergency Crisis Communications; Crisis Simulations; Disaster,
services. It has been field-proven in mass casualty Definition of; Disaster Assessment; Disaster Drills;
incidents such as train wrecks and bus accidents, Emergency Management, Principles of; Emergency
though it was developed for use by firefighters Medical Care; Emergency Responders; Evacuation;
after earthquakes. Exercises; Health and Medical Response Scenarios;
There are four priority levels in which patients Incident Action Plans; Incident Management; Incident
can be grouped: green, in which the casualty is Response; Infectious Disease; Logistics; Mass Care;
classified noncritical and can wait for treatment; Mental Illness; National Incident Management
yellow, in which the casualty requires medical System (NIMS); Nuclear and Radiological Weapons;
attention within six hours, or injuries are poten- Pandemics; Scenario Planning; Simulations; Surge
tially life-threatening but can wait until the red Capacity, Hospitals; Trauma.
casualties are stabilized and evacuated; red, in
which the casualty requires immediate medical Further Readings
attention and will not survive if not seen soon; Bennett, G. S. Cross-Training for First Responders.
and black, which identifies all the casualties Oxford: Taylor & Francis, 2010.
whose injuries are so severe that they have a mini- California Emergency Medical Services Authority.
mal chance of survival. HEICS: Hospital Emergency Incident Command
Within the hospital system, the first stage on System. 3rd ed. San Mateo, CA: San Mateo
arrival at the emergency room is assessment by County Health Services Agency, 1998.
the hospital triage nurse, who will evaluate the Columbia University School of Nursing, Center for
patient’s condition and designate his or her prior- Health Policy. Public Health Emergency Exercise
ity code so he or she can have access to the emer- Toolkit. New York: Center for Health Policy, 2006.
gency room and obtain the appropriate treatment. Faggiano V., J. McNall, and T. Gillespie. Critical
After triage procedures, emergency physicians, Incident Management: A Complete Response
critical care nurses, and paramedics must follow Guide. Boca Raton, FL: CRC Press, 2012.
specific protocols for medical care and major Federal Emergency Management Agency. Incident
trauma management. These protocols are mainly Command System. Washington, DC: Emergency
based on a first rapid assessment and fast diagno- Management Institute, 2010.
sis, followed by stabilizing multiple injuries; mass Hogan, D. E. and J. L. Burstein. Disaster Medicine.
burn care; rapid airway access; advanced cardiac Philadelphia: Lippincott Williams & Wilkins, 2007.
life support; drug infusion; and medical care of Richter, P. V. Hospital Incident Command System.
biological, chemical, and radiation incidents. Chicago: American Society for Healthcare
Besides these protocols that are specific for major Engineering, 2007.
trauma, medical teams usually have to perform U.S. Department of Homeland Security. National
certain tasks to avoid pandemic disease and its Incident Management System. Washington, DC:
spread into the health care facility. This happened U.S. Government Printing Office, 2004.
in 2003 in Toronto, when a young man presented
at the emergency room with a “community-
acquired pneumonia.” He spent the night in the
emergency room waiting for a bed. While he was
waiting, he infected two patients and several staff Emergency Operations
members with severe acute respiratory syndrome
(SARS). As result of this exposure, three people Center
died and 31 became ill.
The emergency operations center (EOC) is a pre-
Paolo Cavaliere designated facility established by an agency or
Independent Scholar jurisdiction to coordinate the overall agency or
354 Emergency Operations Center

jurisdictional response and support to an emer- The anticipated risks faced by the community
gency. Although the physical facilities and operat- determine the tasks that the emergency opera-
ing structure may vary, all emergency operations tions center must be prepared to perform. This
centers share the common functions of situation needs assessment based on risk determines oper-
assessment, strategy development, and resource ating concepts, potential locations for the facility,
allocation. staffing requirements, and so forth.
The location of the emergency operations cen-
Core Capabilities ter will have a bearing on the survivability of the
Although facility design and operational struc- facility and the speed with which it can be acti-
ture vary widely in emergency operations centers, vated. A remote location requires additional staff
there are several core capabilities that must be travel time, which may be affected by damage to
present for successful operations. The principal the road network. Locating the facility within a
function of the emergency operations center is to hazard zone means that it could potentially be
develop a coordinated strategy for responding to unavailable when most needed.
an emergency. Successful accomplishment of this Although there are core missions and functions
function requires that the emergency operations for any emergency operations center, the operat-
center staff be able to gather and assess situational ing structure used by the jurisdiction will deter-
information on which decision makers can base mine which capabilities must be present, the num-
policies and strategies. Once the strategy is devel- ber of staff, size of facility, and other factors.
oped, the emergency operations center must have Emergency operations centers are expected to
the capacity to implement that strategy through have redundancy built in and be able function
the allocation of resources, either as services or as during any foreseeable emergency. Consequently,
tangible goods. These three critical functions place critical systems should operate in parallel so that
a premium on communications both internal and the failure of one system does not compromise the
external to the emergency operations center. facility’s ability to perform its mission. The most
critical systems usually involve communications
Design and power, so emergency operations centers are
The design of an emergency operations center is normally equipped with alternative power sources
determined by a number of factors. The ideal is a and multiple communications systems.
dedicated facility that provides sufficient operating Emergency operations centers need flexibil-
space and environmental protection for the staff ity. Designs are based on best estimates of need
and has sufficient capabilities to support primary at the time of construction. However, the advent
functions. For many jurisdictions, however, the of new technologies, the addition of new stake-
emergency operations center is a dual-use facility holders, and changing operational requirements
that serves other daily functions such as meeting or will require future changes to and reconfiguration
office space and is configured at the time of activa- of the facility. The emergency operations center
tion. There are additional design concepts such as design should contain sufficient flexibility to adapt
a virtual emergency operations center where par- to future changes.
ticipants are connected via teleconference, video-
conference, and/or Internet connectivity, but these Management
do not tend to be common. A number of agencies For the emergency operations center to function
make use of mobile command vehicles that serve properly during an emergency. there is a consider-
as emergency operations centers, although they able amount of preparation that must take place
are most commonly used as incident command in terms of both preparing the physical facility and
posts at the scene of an emergency. The dedicated developing the policies and procedures to support
facility and multiuse facility remain the most com- operations and return the facility to a state of
mon designs for emergency operations centers. readiness. Note that these tasks are related to but
No matter which design concept is used, there not synonymous with the tactical activities per-
are several critical considerations in designing an formed by the staff. Where the tactical activities
emergency operations center. focus on response to the emergency, management
 Emergency Operations Center 355

Case Study: Emergency Operations Center in the World Trade Center

In 2001, the city of New York had one of the most develop a new design on the fly. Consequently,
sophisticated emergency operations centers in the facility was designed using the pod concept
the country. The facility was located on the 23rd and the executive briefing area that were familiar
floor of 7 World Trade Center (7WTC), one of the to the staff. The city arranged for rapid delivery
buildings in the World Trade Center complex. The of computers and network support and had an
facility had steel framing and Kevlar-reinforced operational system within 36 hours. The emergency
walls designed to withstand 200 mph winds. It was operations center continued to evolve over time,
located within walking distance of City Hall and key expanding to accommodate additional support
agency headquarters, such as the police and fire agencies. Additional staff were provided through
departments. 7WTC also housed the offices of key mutual aid and by Red Cross volunteers. For
federal agencies such as the Central Intelligence example, a detective from Nassau County, provided
Agency and the Secret Service and was considered under a mutual aid agreement, was responsible
one of the most secure buildings in New York. The for developing and implementing a logistics
facility housed computer-equipped workstations for section. Federal agencies also opted to locate their
up to 68 agencies, with an expansion capacity of operations at the new emergency operations center.
another 40 stations. The workstations were arranged Coordinating the activities of so many
in a series of functional “pods” (e.g., health and participating agencies posed a significant problem.
medical or public safety), and each station was The emergency operations center staff once more
equipped with software unique to the user agency, made use of capabilities that had been put in
allowing each access to its specialized functions. place during the design of the original emergency
A briefing area for key executives overlooked the operations center. The original center made use of
work area, providing a dramatic backdrop for an emergency management software program to
media releases. The facility included a range of provide situational awareness, coordinate activities,
communications and video display systems. and manage resources. This software program
On the morning of September 11, the Office was housed on the vendor’s server and was still
of Emergency Management was forced to order available for use. It initially functioned as a virtual
the evacuation of the emergency operations emergency operations center until the new site
center shortly after the second aircraft struck became operational and was eventually expanded
the Twin Towers. Because of the immediacy to accommodate some 1,700 users representing
of the evacuation, only limited equipment and over 150 agencies. Twelve wireless command post
documentation were removed. 7WTC was severely laptops were used to link the emergency operations
damaged when the second tower collapsed later center with field operations at Ground Zero and
that afternoon, shortly after 4 p.m. resource staging areas.
The emergency operations center moved to The reconstitution of the emergency operations
several temporary sites and was eventually relocated center in New York following its destruction
to the Police Academy, a site with limited space and succeeded for a number of reasons. The first was the
communications. On the evening of September 13, rapid evacuation of the staff, which not only saved
the emergency operations center was relocated to a many lives but also left the team intact to provide
large warehouse space on the Hudson River. both continuity and institutional memory to the
Although the physical facility that housed the response operation. Second, New York was able to
emergency operations center had been destroyed, draw on a considerable amount of resources through
along with all the documentation to support its own large agencies, mutual aid resources, and
operations, the staff from the facility were intact and private-sector companies and volunteers. This
available to reconstitute the emergency operations abundance of resources compensated for the lack of
center in the new location. Significantly, the staff an alternate emergency operations center. Finally,
chose to replicate the lost facility rather than to (Continued)
356 Emergency Operations Center

(Continued) where a terrorist bomb had exploded in 1993,

the decision to use the design of the destroyed would come under considerable criticism after
facility for the initial layout of the facility meant September 11. However, the city had considered
that staff were working in an environment they 55 other sites before making a final decision and
understood and with which they were comfortable. felt that the secure nature of the building and
The decision to house the emergency operations the close proximity to key agencies outweighed
center at 7WTC, a facility in close proximity to the risk.

of the emergency operations is concerned with activities and develop strategies that are imple-
creating an operating environment in the facility mented through normal agency chains of com-
that allows staff to conduct tactical activities with mand. Senior agency officials provide oversight
minimal stress and disruption. to this process as part of an interagency policy
Emergency operations center management falls group. The emergency operations center does not
into two broad categories: operations management direct field activity. This type of emergency opera-
and facility management. Operations management tions center tends to be found at the federal and
refers to the development of the procedures and state levels and in large jurisdictions.
documentation for use of the facility and support- The second concept is that of the emergency
ing tactical activities. These include standard oper- operations center as command post. Under this
ating procedures for tasks such as activation and concept, senior agency officials are present in
stand-down, administrative functions such as the the emergency operations center and directly in
process for ordering supplies, and checklists for charge of the response. The emergency operations
use of equipment. Operations management also center in essence functions as an area command
includes training and exercises to prepare staff to and directs the field response. This concept is gen-
function within the emergency operations center. erally employed by smaller jurisdictions that may
The emergency operations center requires the lack the resources to staff both a command post
same support as would any office building. The and a separate emergency operations center.
physical plant needs to be maintained, services Operational concept drives the operational
such as security or janitorial provided, and supplies structure, which, in turn, determines the configu-
stocked. Activation may also require that routine ration and layout of the emergency operations
services be increased or decreased and additional center. Operational structure generally tends to be
resources provided. This is the role of facility man- functionally based, with staff organized either by
agement and may be a more complex task than that branches and units under the incident command
of operations management as it involves multiple system or by emergency support functions where a
disciplines. In addition to the basic maintenance of primary agency coordinates the activity of multiple
the physical plant, it may also involve contracting, supporting agencies. In addition, most emergency
logistics, security, communications, information operations centers place these functional groupings
technology, catering, and so forth. under the five basic functional categories specified
by the incident command system: management,
Operational Concepts planning, operations, logistics, and finance/admin-
Response activity within the emergency opera- istration. These functional groupings determine the
tions center generally operates under one of two physical layout of the emergency operations center.
basic concepts. The general concept promulgated A common mistake is the assumption that the
by the Department of Homeland Security is that emergency operations center is for use only under
of the emergency operations center as a multia- the extreme conditions of a disaster. This attitude
gency coordination center. Under this concept, almost always results in the emergency operations
stakeholder representatives coordinate response center being activated too late in a crisis and the
 Emergency Public Information 357

staff having little or no operational experience.

Effective emergency operations centers are scal-
Emergency Public
able and capable of providing support at multiple Information
levels of crisis. For example, during an antici-
pated crisis or slow-onset event such as a flood, During a period of emergency, information must
the emergency operations center may be activated be disseminated to the public, both by broadcast
with a small team solely for the purpose of gath- when possible and in response to specific inquiries.
ering information on the potential event. Most Emergency management personnel have discov-
emergency operations plans provide for a partial ered on many occasions the verbosity of members
activation (i.e., limited staff) of the emergency of the public during a crisis, and inquiries are lim-
operations center to support less-than-extreme ited not simply to people trying to get information
events that do not rise to the level of disaster or to they need (about hazards, emergency procedures,
coordinate large civic events. closures, the fate of loved ones) but include people
Leveraging the scalability of the emergency offering help, donations, advice, complaints, and
operations center allows for the following several commentary. In many circumstances there is a tug
benefits that increase organizational resilience: of war to be adjudicated by whoever is manag-
ing the emergency: on one hand, the public is best
• Provides staff experience with emergency served and best satisfied by information delivered
operations center procedures and in a timely fashion; on the other hand, the very
equipment nature of an emergency means that specifics of the
• Helps identify shortfalls in resources and situation could change rapidly, and information
capabilities provided too quickly could be information that
• Positions the organization to react quickly proves to be incorrect. Regardless of the reason for
to an unexpected escalation of a crisis the error, the organization releasing the incorrect
• Imparts a positive public image of information will often be held accountable for it by
preparedness on the part of the emergency the public. Information is ideally concise, so that
management organization it is easily understood, remembered, and repeated
to others; it should also be clear and specific, con-
Lucien G. Canton taining exact directions for procedures the public
Independent Scholar should follow, if applicable, or precise cautions for
how to avoid being impacted by the emergency.
See Also: Coordination; Emergency Support
Functions; National Incident Management System Emergency Warning Systems
(NIMS); National Response Framework; Operational Information includes warning. Emergency warn-
Plans. ing systems exist in the United States for earth-
quakes, volcanoes, tsunamis, landslides, hur-
Further Readings ricanes, tornadoes, floods, avalanches, nuclear
American Society for Testing and Materials. “E2668– power plant disasters, hazardous materials stor-
10 Standard Guide for Emergency Operations age site or transportation disasters, dam failures,
Center (EOC) Development.” http://www.astm.org nuclear attacks, and terrorist attacks, and the
/DHS/E2668.pdf (Accessed March 2012). Emergency Broadcast System is available to com-
Canton, Lucien. Emergency Management: Concepts municate emergency warnings and other emer-
and Strategies for Effective Programs. Hoboken, gency information by radio and television. There
NJ: John Wiley & Sons, 2007. is a great deal of decision making involved in
Fagel, Michael. Principles of Emergency Management emergency warnings: knowing whether an emerg-
and Emergency Operations Centers (EOC). Boca ing situation merits a warning or not, whom to
Raton, FL: CRC Press, 2011. warn (the affected area is not always immediately
Kendra, James and Tricia Wachtendorf. Elements of clear, and warning too broad an area or the wrong
Community Resilience in the World Trade Center area can clog the roadways during an attempted
Attack. Newark: University of Delaware, 2001. evacuation), and when to warn them. Likewise,
358 Emergency Public Information

the severity of the emergency dictates, generally, adopted may mean this method reaches a smaller
the manner of warning. Severe thunderstorm audience than it used to. Some emergencies are
warnings will reach only those who happen to be so local that broadcasting a warning is counter-
watching television or listening to the radio at the productive: it is common practice for emergency
time, unless they check the weather online or own personnel to notify neighbors of a home fire, or to
a weather radio (a tone-alert radio that sounds ask bystanders to do so, in case anyone is home
an alert when a warning is issued). But the con- who could be placed in jeopardy if the fire spreads
sequences of being unaware of a severe thunder- (or by smoke inhalation), or anyone elderly or dis-
storm are mild enough to deem this acceptable. A abled who needs assistance. Although the nature
nuclear power plant disaster, on the other hand, of the emergency in this case is severe, the num-
or a toxic waste spill may require the deployment ber of people requiring the information is small
of emergency personnel to deliver the warning enough and specific enough that use of a broader
street to street, door to door. Automated dialing public outreach would not be effective. As with
of telephones to deliver a recorded message is also other emergency information, it is highly impor-
a possibility in many districts, though the dimin- tant that emergency warnings be clear, accurate,
ished popularity of landlines as cell phones are and specific, for the benefit both of those affected
and those unaffected (and for the sake of making
a clear delineation between the two, to minimize
panic). Ambiguous and emotionally charged lan-
guage should both be avoided.

Warning Decision Making and Delegation

Decisions about issuing warnings—and about all
information dissemination approaches—should
be informed by previous emergencies and the
public response, in order to best prepare person-
nel for dealing with the public during the crisis. If
the present emergency closely resembles a recent
emergency in the same area or nearby, relevant dif-
ferences between the two should be highlighted: it
is important for the public to understand the need
for a differently calibrated response to a well-
organized strong hurricane after a damp disap-
pointment of a tropical storm, but also important
that they understand the difference between an
airport closure while the bomb squad investigates
an unidentified package and a known terrorist
incident. The response to an emergency warn-
ing is a complicated process with both social and
psychological factors; one person’s response can
alter, lead, or dampen another’s, and people may
respond differently depending on how they hear
about it. One rule of thumb that seems to hold
true is that the more specific a warning is, the
more the audience will take it to heart: a warning
issued to the Gulf Coast, to Louisiana, and to the
In a Guaynabo, Puerto Rico, radio station, Justo Hernandez French Quarter will be received with three differ-
participates in a public service announcement (PSA) program ent degrees of belief.
that airs on several radio stations in Puerto Rico, September 15, Of course, ultimately the most effective warn-
2011. PSAs are most often associated with radio and television. ing is the one delivered to a well-informed public.
 Emergency Public Information 359

Public outreach programs help prep the public to response should such an emergency happen. Such
better receive emergency information by familiar- PSAs were used to inform the public about the
izing them with emergency situations, whether 911 emergency phone system as it was introduced
endemic to the area (wildfires, blizzards, hurri- in various parts of the country, for instance. PSAs
canes) or plausible anywhere (terrorist attacks, may be nearly universal in their concern, such as
hazardous material spills, prolonged power out- those disseminating information about layman
ages, heat waves, epidemics). A well-informed procedures for responding to health events like
public can prevent emergency situations through choking, heart attacks, or strokes, or dissemi-
their behavior in some cases, by adopting proper nating broadly useful safety information about
practices to avoid an influenza epidemic, for keeping children away from certain substances or
instance, and to reduce the risk of fires or the avoiding downed power lines. They may also be
impact of droughts. This type of information local in their focus, familiarizing the viewer with
encompasses not just knowledge but also skills: local emergency services or warning about spe-
a public with better driving skills means an area cific local issues, such as PSAs warning against
less impacted by severe weather that affects road shooting guns in the air to celebrate holidays in
conditions. communities like New Orleans, where this is a
Some organizations delegate emergency warn- cultural practice. PSAs may be made by govern-
ing and emergency public information tasks to ment organizations, nonprofit groups, charitable
different groups or individuals, depending on the organizations, or other groups; television broad-
nature of their work, their relationship with the casters are required to devote a portion of their
public, and the type of emergencies they handle. broadcast time to airing them.
Preparing and disseminating information may,
similarly, be two separate tasks. The public infor- Bill Kte’pi
mation officer (PIO) is a role found in many gov- Independent Scholar
ernment organizations, serving a role similar to
the public relations department in the private See Also: Civil Protection; Emergency, Definition
sector; very often PIOs are former journalists of; Emergency Alert Systems; Emergency Operations
or journalism-school graduates, though increas- Center; Information Vacuums; Mass Media;
ingly, ideas from marketing and public relations Preparedness; Public Relations; Spokesperson,
are trickling into the profession at some organi- Designating and Utilizing; Terrorism.
zations. This is less true with emergency services
organizations, where community outreach and Further Readings
emergency preparedness/prevention may be a Becker, Steven M. “Risk Communication and
large part of the job but emergency public infor- Radiological/Nuclear Terrorism: A Strategic View.”
mation remains the most important aspect of it. Health Physics: The Radiation Safety Journal,
In some areas, police and fire departments and v.101/5 (November 2011).
hospitals have separate public information offi- Botterell, Art and Ronja Addams-Moring. “Public
cers; in others, emergency public information is Warning in the Networked Age: Open Standards to
consolidated in a single office. the Rescue?” Communications of the ACM, v.50/3
Information can also include public service (March 2007).
announcements (PSAs), which today are most Crowe, Adam. “The Social Media Manifesto: A
associated with television and radio but which Comprehensive Review of the Impact of Social
originated in newspapers during the Civil War Media on Emergency Management.” Journal of
and were an important part of the home front Business Continuity & Emergency Planning, v.5/1
effort during World War II. Although PSAs are (February 2011).
issued on a broad array of subjects to raise pub- Kim, Sora and Brooke Fisher Liu. “Are All Crises
lic awareness about various issues, many of them Opportunities? A Comparison of How Corporate
are concerned with emergency prevention or let- and Government Organizations Responded to the
ting the public know what to do in a hypothetical 2009 Flu Pandemic.” Journal of Public Relations
emergency in order to increase the efficiency of Research, v.24/1 (2012).
360 Emergency Responders

Liu, Zhi and Yan Zhang. “Emergency Information delegated responsibility, and information and
Dissemination Based on Theory of Public Memory decision management). They also afford oppor-
Manipulation.” Science Research Management tunities to review plans, construct realistic per-
(September 2011). formance expectations, rehearse translating plans
Palen, Leysia, Starr Roxanne Hiltz, and Sophia into action, develop contingent capability to adapt
B. Liu. “Online Forums Supporting Grassroots to change, receive feedback on performance, and
Participation in Emergency Preparedness and rehearse stress management strategies.
Response.” Communications of the ACM, v.50/3 Given the difficulty of predicting what emer-
(March 2007). gency responders could have to confront, training
Zach, Lisl. “What Do I Do in an Emergency? The focuses less on events (e.g., earthquakes) per se
Role of Public Libraries in Providing Information and more on the event characteristics (e.g., physi-
During Times of Crisis.” Science and Technology cal danger, working in protective clothing, con-
Libraries, v.30/4 (2011). fronting biohazard agents, dealing with human
remains, making complex and urgent decisions
under conditions of uncertainty) that could occur
across a range of events. For health care profes-
sionals, training would include performing clinical
Emergency Responders roles and triage under atypical circumstances and
in ways that result in lower levels of patient care
Emergency responders (e.g., police, fire, health than would normally be expected. Training helps
professions) play pivotal roles in managing crisis develop responders’ capacity to render threaten-
events such as acts of terrorism and disasters. They ing experiences meaningful and facilitates effec-
bring skills and competencies in key areas such tive performance by providing the competencies
as search and rescue, public order, and medical required to deal with atypical operating demands.
and mental health care developed in their routine Emergency responders’ experience of crisis
work. However, differences between the contexts events evolves over time as they progress through
in which these competencies are normally used a series of stages, each with its own demands and
and those responders encounter when respond- characteristics. These stages are the alarm and
ing to crises means that training and development deployment phase, the response phase, and the
work is required to prepare emergency responders reintegration phase.
for the specific issues that arise in the alarm and
deployment, response, and reintegration phases Alarm and Deployment
of crisis response. The alarm and deployment phase describes the
period of comprehending and adjusting to a cri-
Preparation sis event and mobilizing the emergency response.
When responding to disasters and terrorist cri- It involves, for example, accessing intelligence
ses, emergency responders can find themselves about what has occurred and making sense of
facing atypical circumstances with little or no often ambiguous information about the event.
warning. This makes it important to train spe- In contrast to routine work, crisis events can
cifically for crises and to prepare for the impli- introduce concerns about family safety. This is
cations of responding to them. Simulations and particularly so with terrorist acts where the poten-
exercises that develop technical, psychological, tial for further attacks in unpredictable locations
and operational competencies are fundamental to is present. Planning should advocate family pre-
building response capability and stress resilience paredness and planning (e.g., support groups,
in contexts that challenge assumptions and push access to antivirals, etc.) and, if possible, provide
boundaries. Simulations facilitate opportunities means for communication with families.
to develop technical and management skills, as When deployed, responders’ capabilities can be
well as response roles and responsibilities, and affected by transient factors such as health status
practice their application in realistic scenarios (e.g., colds, flu), fatigue (e.g., deployed at the end
(e.g., infrastructure loss, multiagency operations, of a shift), psychological fitness (e.g., occupational
 Emergency Responders 361

stress), and preexisting health issues. The personal officials; private organizations responsible for
and transient nature of these factors renders them transportation, communications, and construc-
difficult to manage. However, encouraging aware- tion; and medical and welfare agencies having to
ness of these limiting factors and their implica- work together. The quality of response is a func-
tions in training and advising of the importance tion of how well members of these agencies work
of utilizing support resources can minimize their together if required.
adverse effects on performance and well-being. If members of different professions and agen-
Initial problems accessing and comprehend- cies first come together during the crisis, the out-
ing information can result in responders being come is more likely to be conflict and a blurring
deployed before a full appreciation of the nature of roles and responsibilities (e.g., regarding the
or implications of the event has been developed. lead agency, prioritizing problems). A capacity for
This means that responders’ understanding of cohesive response needs to be developed. Inter-
events and its implications for how they utilize agency team training can help deal with issues
their plans, knowledge, and competencies evolves such as “turf protection,” clarify interagency roles,
over the early period of their engagement. It is and facilitate the development of a “super-ordi-
the responsibility of incident managers to clarify nate group” whose membership reflects the col-
events and provide the structure required to move lective role of all members in responding to com-
into the response phase. plex, multifaceted crisis demands. This process
culminates in the development of a team mental
Response model that encompasses members’ understanding
The effectiveness of response is influenced by of their respective contributions to the same plan
organizational factors. For example, the more and their shared understanding of each member’s
bureaucratic the organization, the more it persists role in the response. This increases implicit infor-
in routine operational and decision procedures mation sharing during high workload periods,
despite responding to different and urgent crisis enhancing team capacity for adaptive response.
demands. This results in inadequate consultation, This introduces a need to consider how informa-
poor communication, and excessive “red tape,” tion is accessed and used to make decisions in
making response to rapidly evolving issues more complex, evolving response environments.
difficult. In contrast, organizations that develop
crisis management procedures characterized by Response Decision Management
autonomous response systemsl flexible, consulta- In complex, multifaceted events, response effec-
tive leadership; and practices that delegate respon- tiveness is a function of the capacity of respond-
sibility and ensure that role and task assignments ers to access, interpret, collate, and use nonrou-
reflect incident demands facilitate an effective tine data and information from a variety of novel
response. Deployment into crisis response roles sources to interpret events and make response
differs from routine mobilization with regard management decisions in effective and timely
to the fact that responders may find themselves ways. The dynamic and complex nature of disas-
working with both members of their own profes- ters and terrorist events introduces a need for
sion and representatives of other professions. several decision-making techniques. In complex,
evolving settings, a level of creative decision mak-
Team and Interagency Response ing is required.
Crises present diverse problems and challenges. Where time permits, analytical decision mak-
The need for these problems to be responded to ing is the most effective technique. However,
simultaneously results in crisis response bringing when time pressures are high, naturalistic deci-
together members of professions and agencies sion making—where a responder recognizes the
that rarely interact or collaborate normally. For type of situation and, from previous experience,
example, the response to terrorist events could selects an appropriate course of action—is highly
result in hazardous materials response teams; adaptive and is an essential competence. Inter-
urban search and rescue teams; antiterrorism agency operations introduce a need for another
units; bomb squads; emergency management decision-making technique.
362 Emergency Responders

Case Study: Emergency Responders in the United Kingdom

To respond to the growing need for search and The training needs analysis identified these
rescue expertise in the aftermath of major crises issues as emanating from discrepancies between
and disasters, a United Kingdom organization people’s operational and performance expectations
was established to provide a volunteer resource and the reality of disaster work. For example,
in areas affected by large-scale natural disasters. the autocratic management style that proved
Recruits were sought from the ranks of firefighters effective when responding to domestic events was
with several years experience in search and rescue inappropriate for disaster settings. The scale of
work in domestic contexts. This approach to impacts meant it was difficult to adopt a command-
selection was informed by the assumption that the and-control approach. Effective response called
possession of appropriate search and rescue skills for participative planning and decision making
and experience would be sufficient preparedness to decide how and where to deploy the team. In
for performing the same role in deployments of contrast to normal circumstances, team members
periods of two to three weeks in overseas disaster found themselves working alongside other search
zones. However, early experiences led to the and rescue and aid teams. This created conflict and
realization that this assumption was inappropriate. rivalries, confusion, and role and task ambiguity
The disaster operating environment created until some coordination of activities emerged on
unexpected operational and stress-related issues. the ground. Responders also found themselves
Recognition of the significant implications that performing unexpected roles, such as media liaison
these issues had for team performance and well- about their successes and problems and finding
being promoted a need for additional training to themselves comforting relatives. Having to adapt to
prepare responders for applying their search and these issues affected performance and well-being.
rescue skills in crisis events. As a result, a training program was developed to
Training needs analysis was conducted with prepare teams for such eventualities.
responders who had experience of two deployments The training program was developed in
to different locations. This identified various issues collaboration between the external consultant
that adversely affected performance. These included brought in to conduct the training needs analysis
the level of destruction and infrastructure loss and experienced team members. A decision
affecting performance, making normal management was made that team members, rather than
practices inappropriate, and reducing opportunities the consultant, would conduct the training. A
for effecting rescue; the level and duration significant benefit of using a train-the-trainer
of exposure to loss; injury and death sapping approach to delivering training was that trainers
morale; conflict among team members and loss of were able to reinforce the significance of
interpersonal support; exhaustion from prolonged issues (e.g., about emotional reactions). The
engagement in search and rescue work; conflict training covered several areas. A combination of
with search and rescue and aid groups; and media experienced disaster responders and video records
reporting. The last issue affected families back was used to illustrate the operating context and the
home and increased stress associated with concerns unique demands it made on personnel. The training
for the partner deployed to a disaster zone. addressed sources of stressors and advised of the
What was unexpected from the organizational normal emotional and psychological reactions
perspective was that problems related less to that could be expected. It also sought to develop
people’s technical skills and experience and more realistic and positive expectations about activities
to how the environmental context affected both (e.g., recovering a dead body was not a failure for
the performance and well-being of experienced people who expect to rescue people), but something
responders. This prompted a need for training to that gave families closure and opportunities to
develop the operational and team competencies start the grieving process). Participative leadership
required to function in these contexts. and team management skills were taught. Buddy
 Emergency Responders 363

systems and peer support techniques were taught not been trained. Evaluation of the experience
to allow members to provide social support in situ. of both groups informed further training and
Finally, outdoor survival training was conducted to organizational needs analyses and the development
develop physical and psychological resilience and of the training and support programs.
contribute to team development. The initial needs analysis identified family
Though not originally planned, an opportunity issues. These stemmed from concerns for a
to evaluate the training arose when the team was partner’s safety when deployed, lack of contact, and
deployed to a large earthquake in eastern Europe increased stress and anxiety. Training and support
alongside a group of firefighters who had not programs were developed for family members. This
received training in managing these contextual involved advising family of how training enhanced
problems. This evaluation demonstrated that the the safety of team members. Family members were
training did enhance performance effectiveness. given opportunities to be involved during periods of
While not eliminating mental health problems, it deployment (e.g., administration, media liaison),
reduced levels of stress experienced and hastened and support groups were organized for family
the rate of recovery, compared with those who had members during and after periods of deployment.

Distributed decision making recognizes the Environmental factors such as heat, noise,
need for contributions from people who differ or poor visibility affect performance and stress
with respect to their profession, functions, roles, risk, as do the sights, sounds, and, especially, the
expertise, or level (e.g., operational versus tacti- smells encountered. The demands associated with
cal) of response management. Distributed deci- environmental factors such as heat may be sig-
sion making facilitates the capability of the multi- nificant—and unexpected—as a result of the need
agency team to utilize its collective expertise, even to wear protective suits and breathing apparatus
if contributing different perspectives, to manage to protect from, for example, biohazard agents
the response. This is developed from exercises or toxic dust. This may be less problematic for
and simulations that contribute to developing a groups such as firefighters who regularly use pro-
shared mental model. Responders’ experience is tective clothing and breathing apparatus but can
also influenced by characteristics of the response be a significant stressor for those (e.g., police,
environment. EMT personnel) for whom this would represent
a highly novel demand. The need for protective
Response Environment clothing contributes to stress risk directly (e.g.,
The magnitude of the death and injury encoun- their use being necessitated by exposure to bio-
tered, response constraints limiting the help hazards) and indirectly (e.g., increased heat stress
available to casualties, and constant exposure and problems operating equipment).
to suffering illustrate the unique environmental The scale and nature of disasters and terrorist
characteristics responders can face. They may events means that emergency responders cannot
also face threats from, for example, disrupted perform at the level they would have expected
sewer systems, working in unstable buildings, (e.g., inability to rescue everybody as a result of
exposure to contaminated blood products, and limited resources, decisions resulting in some peo-
threats (e.g., highly toxic chemical, biological, or ple not being helped). This can result in perfor-
radiation hazards) associated with biohazards or mance guilt. However, training that develops real-
dirty bombs. The scale of destruction increases istic outcome expectations and accommodates
the risk of death in emergency response person- situational constraints on performance facilitates
nel. Death or serious injury to a colleague can performance and well-being.
amplify stress risk associated with an already haz- Stress risk is particularly pronounced when per-
ardous environment. forming body recovery and identification duties.
364 Emergency Responders

Positive interpretation (e.g., interpreting body context in which reintegration occurs has addi-
recovery duties in terms of their role in assisting tional implications.
families to begin the grieving process) can facili-
tate adaptation. Training and experience in han- The Organizational Context
dling body remains lessens stress in those exposed Event reviews and stress recovery are complicated
to this activity for prolonged periods. The final if they occur in an organizational culture that dis-
phase of emergency response commences with the courages disclosure of event issues and emotions
cessation of the crisis role. and focuses on attributing blame to responders
for problems occurring during response. Positive
Reintegration: From Crisis to Routine reintegration experiences are more likely if man-
Reintegration describes the transition back into agers actively promote and manage reintegra-
the “normal” roles and routines of work and tion. This is particularly important with regard to
family life. Key activities during this phase include issues arising from critical public and media scru-
managing any mental health consequences and tiny regarding event causation (e.g., beliefs that
reviewing performance. With regard to the for- police were less vigilant than they should have
mer, it is worth noting that vulnerability is not been) and response management (e.g., beliefs that
restricted to those who had negative event expe- response could have been faster or involved inad-
riences. Positive response experiences can mani- equate resources).
fest as stress reactions during reintegration if, Managers can assist adaptation by helping
for example, responders experience a conflict responders appreciate that they performed to the
between a period of rewarding professional per- best of their ability. Managers can also facilitate
formance and readjusting to routine work and positive resolution by assisting staff to identify
catching up with any backlog of work and deal- the strengths that helped them deal with the cri-
ing with reporting pressures. sis event and building on this to plan how future
Unique sources of stress during reintegration events can be dealt with more effectively. Such
can arise from public and media scrutiny and activities promote future response effectiveness
sociolegal processes. For example, responders and contribute to the development and mainte-
may have to contend with blame being directed nance of a resilient organizational climate and the
at them (e.g., media accounts regarding event development of training, development, and sup-
preventability, response effectiveness). Managing port practices that will enhance future response
stress reactions from response and reintegration capability.
sources is important.
During reintegration, stress management Douglas Paton
centers on helping responders render atypical, University of Tasmania
threatening experiences meaningful. Resources
such as coworker and peer support can be effec- See Also: Agency Notification and Mobilization;
tive, as can communal coping. This is charac- Blame, Politics of; Civil Protection; Command
terized by members’ collective acceptance of and Control; Debriefing; Decision Making Under
responsibility for event-related problems and Stress; Health and Medical Response Scenarios;
the existence of mechanisms by which they can Incident Management; Interoperability; Operational
cooperate to resolve problems. Acknowledging Plans; Pre-Crisis Training and Planning; Response
and building on effective collaboration dur- Team.
ing the crisis, and working together after the
crisis, to develop understanding and enhance Further Readings
future preparedness helps mitigate stress and Burke, Robert. Counter-Terrorism for Emergency
develop future resilience. Because stress issues Responders. Oxford: Taylor & Francis, 2007.
can extend to include family members, orga- Le Baudour, Chris, J. David Bergeron, Gloria Bizjak,
nizations should develop family-friendly poli- and Keith Wesley. Emergency Medical Responder:
cies, family support groups, and family recovery First on Scene. Upper Saddle River, NJ: Pearson,
plans to address this issue. The organizational 2012.
 Emergency Support Functions 365

Lindell, Michael. Emergency Management. Hoboken, implementation. This concept was incorporated
NJ: John Wiley & Sons, 2006. into the National Plan for Federal Response to a
Paton, Douglas. “Disaster Relief Work: An Catastrophic Earthquake in 1985.
Assessment of Training Effectiveness.” Journal of Following passage of the Stafford Act in 1988,
Traumatic Stress, v.7 (1994). the director of the Federal Emergency Manage-
Paton, Douglas, John M. Violanti, Christine Dunning, ment Agency was authorized to develop a plan
and Leigh Smith. Managing Traumatic Stress Risk: to coordinate all federal response to disasters.
A Proactive Approach. Springfield, IL: Charles C The initial product of this planning effort was the
Thomas, 2004. Natural Disaster Response Plan in 1989, followed
by the Federal Response Plan in April 1992. Both
plans incorporated the emergency support func-
tion concept, solidifying its role as the principal
federal response coordination mechanism.
Emergency Support The Federal Response Plan and the emergency
support function concept were implemented
Functions almost immediately in Hurricane Andrew in
Florida in August 1992 and in Hurricane Iniki in
An emergency support function is a grouping of Hawaii in September 1992. Although the response
government and private-sector capabilities into an to Hurricane Andrew was considered inadequate,
organizational structure to provide the resources the after-action report by the National Academy
that are most likely to be needed in responding of Public Administration noted that the Federal
to and recovering from a disaster. Each function Response Plan was an important step in coor-
has a designated coordinator for developing plans dinating federal disaster relief. The response to
and one or more primary agencies designated Hurricane Iniki went smoother as the federal staff
for implementing those plans during a disaster. adapted a number of mechanisms from the Inci-
Originally developed as a mechanism of federal dent Command System to coordinate activities
response, the emergency support function con- among the emergency support functions.
cept has been adopted by many state and local With the formation of the Department of
governments. Homeland Security following the terrorist attacks
in 2001, senior officials determined that the Fed-
Concept and Evolution eral Response Plan needed to be revised. The
The emergency support function concept was result was the National Response Plan issued
developed in response to the need to coordinate in 2002. The new plan was not well received
complex response activities by multiple federal because of limited input from state and local gov-
agencies responding to earthquakes in Califor- ernments during its development and was revised
nia. As part of its earthquake planning respon- in 2006 to address problems identified during
sibilities, Region IX of the Federal Emergency the response to Hurricane Katrina in 2005. The
Management Agency (FEMA) conceived the idea National Response Plan was quickly superseded
of identifying the federal resources and services by the National Response Framework, issued in
most likely to be needed following an earthquake 2008. Although there were changes made to the
and grouping them into functional categories. number and composition of the emergency sup-
Each of these functional categories was assigned port functions, each of these plans retained the
to a primary federal agency that had responsibil- emergency support function concept as the princi-
ity for developing plans to implement the func- pal coordinating mechanism for federal response.
tion and for coordinating field activities related
to the function during disasters. Other agencies Federal Emergency Support Functions
that could contribute resources were identified The emergency support function concept has been
as support agencies and agreed to provide plan- a constant through all the various iterations of
ning assistance to the primary agency and to national coordination plans. However, the num-
accept the primary agency’s coordination role in ber and composition of the emergency support
366 Emergency Support Functions

functions have changed. The Federal Response In addition to increasing the number of func-
Plan identified 12 emergency support functions. tions, successive federal plans also have made
This number was increased to 15 in the National changes to previous functions and reassigned pri-
Response Plan and the National Response Frame- mary agencies. However, the single biggest change
work (see Table 1). has been the dilution of the primary agency role.
These changes have been necessitated by the Where the Federal Response Plan identified a sin-
changing demands for assistance, coordination gle primary agency for each emergency support
issues identified in the field, and, in some cases, function, the National Response Framework has
interagency politics. For example, the need for as many as four primary agencies for each func-
law enforcement aid to local governments follow- tion. In addition, the National Response Frame-
ing several response operations in the U.S. Virgin work also designates a coordinator position for
Islands led to the creation of ESF 13 Law Enforce- each function, which may or may not be the pri-
ment. Similarly, the title of ESF 6 changed from mary agency, to develop plans prior to disaster
Mass Care to Mass Care, Emergency Assistance, activation.
Housing, and Human Services, and coordination
responsibility was shifted from the American Red Adoption by State and Local Jurisdictions
Cross to the Federal Emergency Management Although the emergency support function con-
Agency. These changes reflected the increased cept has been around for a number of years as the
levels of humanitarian assistance required in principal federal response coordination mecha-
large events that go beyond simple congregate nism, few states and even fewer jurisdictions were
sheltering. inclined to revise their emergency operations plans

Table 1 Emergency support functions

Emergency
support Federal response plan National response plan National response framework
function 1992 2002 2008
1 Transportation Transportation Transportation
2 Communications Communications Communications
3 Public works and engineering Public works and engineering Public works and engineering
4 Firefighting Firefighting Firefighting
5 Information and planning Emergency management Emergency management
Mass care, housing and human Mass care, emergency assistance,
6 Mass care
services housing and human services
Logistics management and resource
7 Resource support Resource support
support
8 Health and medical services Public health and medical services Public health and medical services
9 Urban search and rescue Urban search and rescue Search and rescue
Oil and hazardous materials
10 Hazardous materials Oil and hazardous materials response
response
11 Food Agriculture and natural resources Agriculture and natural resources
12 Energy Energy Energy
13 – Public safety and security Public safety and security
Long-term community recovery
14 – Long-term community recovery
and mitigation
15 – External affairs External affairs
 Emergency Support Functions 367

to incorporate the concept. Part of the reason for qualitative differences that may make the concept
this was that there was no incentive from the difficult to apply in smaller jurisdictions.
federal government to do so. Further, State and Even at the federal level, agency resources are
Local Guide 101: Guide for All-Hazard Emer- such that emergency support functions are sel-
gency Operations Planning, the definitive guide dom staffed by multiple agencies. Consequently,
on emergency plan development, made no refer- there is a tendency to identify the function with
ence to the emergency support function concept. an agency. That is, the representative of a pri-
This would change in 2008 with the publica- mary agency for an emergency support function
tion of an interim edition of Comprehensive Pre- may also be the point of contact as a supporting
paredness Guide 101: A Guide for All-Hazard agency for other emergency support functions.
Emergency Operations Planning for State, Ter- Several of the functions identified may not be
ritorial, Local, and Tribal Governments. This necessary for a smaller jurisdiction. For example,
document and the current version, Developing the functions of ESF 7 Resources Support may
and Maintaining Emergency Operations Plans, already be integrated into the response frame-
published in 2010, offer three formats for emer- work established by the jurisdiction. It has also
gency operations plans: a traditional format, been suggested that some of the emergency sup-
the emergency support function format, and an port functions identified in the National Response
agency-based format. Framework have pre-disaster planning functions
Several other factors have contributed to the but only limited disaster response roles (e.g., ESF
interest of local government in moving to the 5 Emergency Management). This raises the ques-
emergency support function concept. The imple- tions of standardization and whether jurisdictions
mentation of the national incident management are free to create their own emergency support
system (NIMS) is a major attempt to standard- functions or change titles and numbering.
ize response efforts across the country. As part Another potential problem with the emergency
of this implementation, local governments have support function concept is that tasks requiring
been encouraged to mirror the National Response multiagency response can become diffused across
Framework as closely as possible. Following the multiple annexes. This is can be addressed by the
problems of Hurricane Katrina, the Depart- development of a support annex that describes
ment of Homeland Security has engaged in a the overall concept for the task, with the emer-
major effort to review and revise state and local gency support function annexes describing the
emergency operations plans. This initiative has specific responsibilities of each function. How-
included a series of nationwide plan reviews and ever, Comprehensive Preparedness Guide 101
funding for revising emergency operations plans. states that support annexes identify a coordinat-
The combination of funding and federal emphasis ing agency and assisting and cooperating agencies
has resulted in many jurisdictions revising their in addition to describing the mechanism for coor-
plans to incorporate the emergency support func- dination and execution of common strategies. It
tion concept. does not address the interface between the sup-
port annex and the emergency support function
Suitability for State and Local Governments annexes. Synchronizing these multiple annexes
Use of the emergency support function concept by creates a significant planning burden for a small
state and local governments offers some advan- jurisdiction.
tages but also raises some concerns. Despite its The emergency support function concept does
relative success at the federal level, there are no not align with the incident command system man-
empirical studies demonstrating the effectiveness dated by the national incident management sys-
of the concept at any level of government. The tem. The National Response Framework places
emergency support function concept evolved to the emergency support functions under the Oper-
meet a specific need: the integration of multiple ations Section. This is appropriate where the role
federal agencies into a single disaster response of the functions is to provide external support
framework. Although there would seem to be to affected jurisdictions. However, the agencies
similar needs at state and local levels, there are at the local level have this external support role
368 Emergency Support Functions

Case Study: Emergency Support Functions for the 1994 Northridge Earthquake

At 4:31 a.m. on January 17, 1994, Los Angeles, Cross.” In addition, some primary agencies also
California, was struck by a magnitude 6.7 provided resources to other emergency support
earthquake that killed 57 people, injured 8,700, functions. For example, the U.S. Forest Service was
and caused over $20 billion in damage. Within the primary agency for ESF 4 Firefighting and also
the hour, Federal Emergency Management provided staff to ESF 5 Information and Planning.
Agency (FEMA) Region IX activated its regional Previous experience in Hurricane Iniki in
operations center. The regional operations Hawaii in 1992 had led to the establishment of
center staff included a representative from each two important mechanisms for coordinating the
emergency support function primary agency. activities of the emergency support functions. The
These representatives were largely drawn from first was a daily coordination meeting facilitated by
the Regional Interagency Steering Committee, ESF 5 Information and Planning. The coordination
a planning group that met regularly to develop meeting focused on identifying problem areas and
implementing strategies for the Federal Response assigning lead and supporting agencies to each
Plan. The members were well known to each other problem area. Primary agency representatives
and had worked together on previous disasters in received a short update on the current situation,
Region IX. supplemented by a daily activity report and briefing
These representatives were tasked with gathering package, and then were asked to briefly describe
as much information as possible about the impact problems areas with which they needed assistance.
of the earthquake and with determining and The Operations Chief then assigned support
alerting potential resources. Some representatives resources and progress was tracked at subsequent
were given immediate mission assignments meetings.
or activated resources under pre-existing The second critical mechanism was a
agreements. For example, ESF 9 Urban Search documented mission assignment process. Federal
and Rescue began assembling and deploying an funding for disaster activities was funneled
overhead management team and activated the and tracked through FEMA. Agencies could
standby search and rescue teams for immediate not seek reimbursement for any operational
deployment. expenses without a specific request by FEMA.
As the team at the regional operations center Although the mission assignments were generally
worked on assessments, FEMA assembled and given to the primary agency, it was sometimes
deployed an advance team to southern California necessary to directly mission assign a supporting
that included primary agency representatives from agency, making the mission assignment process
the emergency support functions. The advance cumbersome and hard to track. Delays in providing
team established a disaster field office in Pasadena mission assignments had created problems in
and assumed control of the response from the previous disasters, and the Operations Branch had
regional operations center by the day following the developed a system to avoid this in the Northridge
earthquake. response.
Within the field office, the emergency support A significant advantage for the emergency
functions established work areas in the Operations support functions was the large amount of
Section. Although the Federal Response Plan resources available to the state of California’s Office
identified a primary agency and multiple support of Emergency Services. The state attempted to
agencies, most emergency support functions were merge its field operating structure with that of the
staffed by the primary agency. In some cases, this federal team as much as possible. For example,
was a single individual, and the emergency support the state plans unit was collocated with ESF 5
functions were sometimes identified by the staffing Information and Planning, and information was
agency rather than by number. For example, ESF freely exchanged between the two units. The state
6 Mass Care was usually referred to as “the Red was also able to assign agency representatives
 Emergency Support Functions 369

directly to the emergency support functions, established among the primary agencies meant
thereby creating multi-jurisdictional teams. that problems or gray areas within the Federal
Resource requests from the affected area Response Plan could quickly be addressed. The
were provided first to the Operations Chief, who same was true with the state agencies, as many
determined the appropriate emergency support had preexisting relationships with their federal
function to provide the needed resources. Within counterparts. The use of ESF 5 Information and
the emergency support function, the state and Planning as a plans unit allowed the consolidation
federal representatives determined which federal of information from the emergency support
or state resources were most readily available, functions, making it accessible to any agency. The
requested a mission assignment tasking, and then use of facilitated planning meetings and mission
implemented the agreed-upon course of action. assignment tracking, along with a close working
The use of the emergency support function relationship between the emergency support
concept in the response to the Northridge functions and their state counterparts, avoided
earthquake proved highly effective for a variety duplication of effort and ensured that relief was
of reasons. The previous working relationships provided as quickly and efficiently as possible.

and an additional internal support role under the that do not rise to the level of disasters. Conse-
Incident Command System. For example, agen- quently, judicious use of the emergency support
cies assigned to ESF 7 Resources Support at the concept can be used to bolster overall organiza-
federal level deploy resources to the disaster area. tional resilience.
At the local level, these agencies will most likely
be assigned to the Logistics Unit. The emergency Lucien G. Canton
support function concept does offer considerable Independent Scholar
value as a planning tool, however. Identifying
critical response functions, identifying agencies See Also: Coordination; Emergency Management
associated with those functions, and designating Agencies, City and County; National Incident
a primary agency with responsibility for planning Management System (NIMS); National Response
and implementation of tasks to accomplish the Framework; Operational Plans.
functions in effect creates a task force that can be
highly effective. Of particular value is the ability Further Readings
of the concept to integrate not only public-sector Canton, Lucien. Emergency Management: Concepts
agencies but the private sector as well. and Strategies for Effective Programs. Hoboken,
It is this use as a planning mechanism that NJ: John Wiley & Sons, 2007.
gives the emergency support function concept its Federal Emergency Management Agency (FEMA).
true value. During response operations, the emer- “Comprehensive Preparedness Guide (CPG)
gency support functions serve essentially the same 101: Developing and Maintaining Emergency
purpose as previous coordination mechanisms, Operations Plans.” Washington, DC: FEMA, 2010.
although their efficiency is greatly improved by Haddow, George and Jane Bullock. Introduction
preoperations planning. However, the existence to Emergency Management. Burlington, MA:
of preidentified teams with clearly defined respon- Butterworth-Heinemann, 2003.
sibilities and leadership allows for the expansion Tierney, Kathleen, et al. Facing the Unexpected:
of the emergency support concept beyond just Disaster Preparedness and Response in the United
emergency response. The emergency support States. Washington: Joseph Henry Press, 2001.
functions offer pools of expertise that can be used U.S. Department of Homeland Security. “National
to enhance mitigation and recovery planning and Response Framework.” Washington, DC: U.S.
can provide support to lower-level emergencies Government Printing Office, 2008.
370 Environment Programme, UN (UNEP)

Environment Programme, director is traditionally nominated by the UN

Secretary-General.
UN (UNEP) The UNEP is headquartered in Nairobi, Kenya,
and supported by six regional offices located in
The United Nations Environment Programme Africa, Asia and the Pacific, Europe, Latin Amer-
(UNEP) is the environmental extension of the ica and the Caribbean, North America, and west
United Nations (UN). The UNEP fosters and Asia. Each area is overseen by a regional director,
advances partnerships between diverse actors, who works in tandem with the nine members of
including other international organizations, the UNEP senior management team, overseen by
national governments, nongovernmental orga- the executive and deputy directors.
nizations (NGOs), and the private and public The UNEP is tasked with a series of important
sectors. roles, which include (1) monitoring and evaluat-
The UNEP advocates the protection of envi- ing known and potential environmental threats;
ronmental resources in tandem with the pro- (2) anticipating and preparing for future environ-
motion of development initiatives that improve mental crises; (3) conducting scientific research;
the quality and standard of living for member (4) disseminating this research through reports,
countries. books, and popular media; (5) organizing and
hosting regional and international conven-
Formation and Mission tions on relevant environmental issues; (6) rais-
The UNEP, established in December of 1972 ing global awareness on crucial environmental
through the UN General Assembly Resolution issues; (7) promoting joint environment-devel-
2997 (27), was born out of the UN Conference on opment projects; (8) developing and implement-
the Human Environment in Stockholm, Sweden, ing regional and international environmental
held in June of that same year. policies; (9) assisting member states in achieving
The UNEP’s mission statement is “To provide environmental goals and meeting environmental
leadership and encourage partnership in caring mandates; and (10) coordinating environmental
for the environment by inspiring, informing, and efforts with other arms of the UN.
enabling nations and peoples to improve their These roles are administered through the fol-
quality of life without compromising that of lowing environmental priorities of the UNEP:
future generations.” climate change, resource efficiency, disasters and
conflicts, environmental governance, harmful
Structure and Roles substances and hazardous waste, and ecosystem
To meet its mission statement, the UN employs management.
a secretariat of approximately 900 individuals.
These staff members function as an executive Accomplishments
department, applying the budgeted priorities of One of the primary challenges facing the UNEP
the UNEP, such as policy implementation. concerns its institutional capacities, which are
The Governing Council (GC) of the UNEP, limited in scope by insufficient funding. Another
comprising 58 representatives from UN mem- difficulty includes traversing the diversity of
ber states, is tasked with the diplomatic aspects political landscapes that constitute the body of its
of the program, such as facilitating collaboration constituency. In spite of these challenges, several
between and within the UN and other agencies. major global environmental accomplishments
The GC also authors the primary environmental have been brought to fruition.
policies of the UNEP, which are executed by the One of the UNEP’s most widely recognized
secretariat. global achievements is the Montreal Protocol, an
Representatives are elected by the UN Gen- international environmental treaty established in
eral Assembly (GA) for three-year terms and 1987 to combat the destruction of Earth’s ozone
are delegated based on six geographical regions. layer. The UNEP is also credited with the establish-
The GA also elects the UNEP executive direc- ment of the Intergovernmental Panel on Climate
tor to a four-year term. The UNEP executive Change (IPCC) in 1988, and with the introduction
 Environmental Contamination 371

and dissemination of the “sustainable develop- be more effective and less constrained than the
ment” concept through Our Common Future—a UNEP as currently structured.
special report by the Brundtland Commission.
The UNEP is lauded for organizing the UN Andrew Tarter
Conference on Environment and Development in University of Florida
1992. Also known as the Earth Summit, the con-
ference is recognized for a concerted effort to con- See Also: Climate Change Adaptation; Global
flate economic development with environmental Warming; Hazardous Waste Disposal; Ozone Layer
protection, through a report titled Agenda 21. Depletion; Policy Setting; Public Awareness and
More recently, the UNEP has been instrumental in Education; Resource Management; Sustainability;
advancing the Kyoto Protocol, first introduced in World Health Organization (WHO), UN.
1997. The document is an environmental treaty,
international in scope, with the goal of stabilizing Further Readings
greenhouse gases that are contributing to global Ivanova, Maria. “Assessing UNEP as Anchor
climatic changes. These accomplishments dem- Institution for the Global Environment: Lessons
onstrate the UNEP’s ability to coalesce different for the UNEO Debate.” Yale Center for
actors, agencies, and governments around envi- Environmental Law and Policy, Working Papers
ronmental issues of a global scale. No. 05/01. http://www.yale.edu/gegdialogue/uneo
-wp.pdf (Accessed March 2012).
Criticisms United Nations Environment Programme. http://
Many of the critiques lodged against the UNEP www.unep.org (Accessed March 2012).
stem from the program’s ambitious mission state- United Nations Environment Programme. “UNEP
ment, its large constituency, and the scale of the Year Book 2012: Emerging Issues in Our Global
issues it addresses. In particular, the UNEP is Environment.” Nairobi: UNEP, 2012. http://www
often accused of being an ineffective and poorly .unep.org/yearbook/2012 (Accessed March 2012).
organized juggernaut. Its lack of a long-term
plan, coupled with largely qualitative goals, ren-
ders meaningful organizational evaluations dif-
ficult or impossible. Furthermore, it is not an
independent agency with autonomy in decision Environmental
making but instead reports to the UN General
Assembly. Contamination
Many criticisms are linked to issues of UNEP
funding, which is not guaranteed but supplied by Since the industrial age, a major threat to the
entirely voluntary contributions from its member health of human beings and wildlife has been
nations. This issue of disproportionate financing threaded by environmental contaminants. Envi-
has resulted in an unrepresentative distribution ronmental contaminants found in water, air, or
of lobbying power and influence by some nations soil are either human-made or natural. The risk
within the program, which also reduces program associated with exposure to chemicals cannot be
autonomy. quantified or assessed. The risk of chemical expo-
Dissatisfaction with the organization, led sure resulting in some form of injury may have by
primarily by accusations of ineffectuality, led far better results in stored historical data, whereas
to a situation whereby 46 countries supported assessing the risk of chemical exposure with no
and signed a document titled The Paris Call for immediate form of injury has less observed data.
Action. This document advocated the dissolution Risk assessment examines hazard identification,
of the UNEP and its replacement with a new orga- dose-response assessment, exposure assessment,
nization called the United Nations Environmental and risk characterization to characterize the
Organization (UNEO). Signing countries believed nature and magnitude of health risks to humans,
the UNEO, if structured in a fashion similar to animals, and crops from chemical toxicants and
the World Health Organization (WHO), would contaminants. In hazard identification, the nature
372 Environmental Contamination

Inside the Caribbean Petroleum Corporation (CAPECO) explosion perimeter in Cataño, Puerto Rico, a firefighter adjusts respiratory gear,
October 24, 2009. The explosion and fire at CAPECO produced an environmental contamination crisis with a toxic fire, which took
firefighters over two days to extinguish. There were fuel leakages into neighboring waterways, soil contamination, and hazards to public
health. An investigation revealed CAPECO had been cited multiple times for serious environmental violations.

of toxicity of chemicals to human and animals is Who Evaluates the Risks?

determined in terms of its quantity. For instance, If risk assessments provide information on the
exposure to nuclear power causes thyroid cancer. potential risk in health and the environment, risk
The relationship between the amount of exposure management is the action taken based on consid-
and the effect of a toxin is measured by dose- erations made under risk assessment, scientific
response assessment in risk management. Expo- factors like toxicology and statistics, economic
sure assessment measures the amount and length factors to inform managers of the cost of toxicant
of exposure to chemicals from consuming water, risk present in the workplace and benefits of reduc-
eating food, or inhaling polluted air. Any adverse ing it, laws and legal decisions, social factors like
health effects and their potential incidence are community values, land use and zoning, and public
estimated by risk characterization, which mea- values that reflect the society as a whole and their
sures the likelihood of a population’s exposure to attitudes on risk management and assessment.
some given type of chemical. Various federal agencies such as the U.S. Envi-
The environmental risk assessments of contam- ronmental Protection Agency (EPA) are respon-
inants fall into two areas of human health and sible for assessing and managing risks associated
ecology to find how much a chemical is present in with stressors. The EPA’s Office of Air and Radia-
an environment or how much a person or ecologi- tion (OAR) is responsible for air pollution stress-
cal receptor is in contact with or at risk of expo- ors; the Office of Solid Waste and Emergency
sure to the contaminated environment and, more Response for hazardous substance, pollutants,
important, how toxic the chemical is. Chemicals and waste; the Office of Pesticide Programs (OPP)
can be less toxic if the dose is low enough. for pesticides; radiation programs responsible for
 Environmental Contamination 373

radiation including radon; the Office of Pollution characterized as microorganisms, disinfectants,

Prevention and Toxic (OPPT) for human expo- disinfection by-products, inorganic chemicals,
sure, environmental exposure, and toxic sub- organic chemicals, and radionuclides. In the
stances; the U.S. Consumer Product Safety Com- United States, concern has been increasing over
mission (CPSC) for pesticides; and the Food and the outbreak of some of these microorganisms
Drug Administration (FDA) for pharmaceuticals such as cryptosporidiosis, giardiasis, coliform
and vaccines. bacteria, and hepatitis A. Coliform is a bacterium
that lives in soil or vegetation and mostly enters
Human-Made Chemicals the water streams by direct disposal of waste into
Most human-made chemicals are colorless, taste- the streams. A human’s immune system determines
less, and odorless and are hardly detectable. whether the person will get sick or not. Many
Synthetic organic chemicals (SOCs) such as pes- people become immune to these types of bacte-
ticides, herbicides, and insecticides, and volatile ria even if they are found in the drinking water.
organic chemicals like solvents and gasoline, are In case the body is not immune to it, diarrhea or
human-made chemicals found in the environment. gastroenteritis can be experienced. The presence
Because of improper storage, use, or disposal of of coliform bacteria can indicate the contamina-
chemicals, the safety of soil and especially drinking tion of water by other microbes. Coliforms act
water can be of concern. Cleaning up water after as indicators of possible contamination. Giardia
contamination is costly and more difficult than lamblia is another type of waterborne parasite
preventing water from contamination in the first and causes giardiasis. Giardiasis is a disease that
place. Human-made, industrial, and manufactur- causes diarrhea, abdominal cramps, weight loss,
ing chemicals, pesticides, and ammunition wastes and nausea for a week and, in some cases, can
along with grain fumigants, have been detected in also cause chronic infection. Cryptosporidium is
groundwater systems and in soil. Environmental a parasite that causes the disease of cryptosporidi-
contaminants, many of which are human-made osis, which has been seen in the past five years.
chemicals, are found in nature and act as hor- Over 400,000 people were ill with the disease
mones or antihormones and endocrine-disrupting after drinking contaminated water in 1993. The
contaminants (EDCs). As a result of the intro- symptoms can occur within two to 10 days after
duction of EDCs by humans and their activities, the infection; symptoms include headache, diar-
modified reproductive anatomy, altered fertility, rhea, nausea, vomiting, and fever.
and impaired hormone secretion have been seen Other sources of contaminants in drinking water
in wildlife. Studies at the Marine Environmen- are disinfection by-products such as bromate,
tal Research Institute (MERI) show that human- chlorite, and haloacetic acids, which can increase
made toxic chemicals and compounds seen in cars, risk of cancer and nervous system effects with
homes, and schools have been found in Maine har- long-term exposure in adults, infants, and young
bor seals’ bodies. These toxic compounds found in children. Other disinfectant contaminants found
seals’ bodies are among the highest in the world in drinking water are chloramines, which cause
in terms of toxicity. Toxic compounds such as eye and nose irritation, stomach discomfort, and
dioxins, DDTs (dichlorodiphenyltrichloroethane), anemia, and chlorine dioxide, which also affects
mercury, pesticides, and polychlorinated biphe- the nervous system in infants and young adults.
nyls, along with organic pollutants, have been Among the inorganic chemicals, arsenic, anti-
found in the seals’ bodies; many of these toxicants mony, barium, beryllium, cadmium, chromium,
are persistent in terms of entering the food chain copper, fluoride, lead, mercury, nitrite, selenium,
and can be recycled for decades. We are consum- and thallium are sources of contaminants in drink-
ing the same kinds of fish that seals eat, such as ing water that have serious potential health effects
mackerel, flounder, and hake. such as increase in blood cholesterol, decrease in
blood sugar, skin damage, cancer, kidney damage,
Drinking Water Contaminants allergic dermatitis, nerve damage, thyroid prob-
Contamination of water has been a concern to lems, and high blood pressure from long-term
the public for years. Water contaminants can be exposure. Organic chemicals enter the drinking
374 Environmental Contamination

water system either during wastewater treatment, soil inadvertently. The properties of soil can also
leakage from linings of water storage tanks and be contaminated by indirect sources such as rain
distribution lines, discharges from factories, or runoff from roads and buildings, which can intro-
runoff from herbicides used on row crops. duce heavy metals such as mercury and lead. Some
general sources of contamination in soil are paint,
Contaminants in Soil high traffic areas, treated lumber, burning wastes,
Pollution is caused in soil by the presence of manure, coal ash, sewage sludge, petroleum spills,
human-made chemicals as either solid or liquid commercial/industrial site use, and pesticides.
hazardous substances mixed with soil matter. Through these general sources, lead, zinc, PAHs
Contaminants in the soil can hurt plants, animals, (polycyclic aromatic hydrocarbons), arsenic, cop-
and humans and have adverse impacts on their per, dioxins, sulfur, cadmium, benzene, toluene,
health. Animals and humans can ingest, inhale, xylene, heavy metals, and mercury are introduced
or touch contaminated soil or eat plants that are into soil.
already affected by contamination. The main
source of contamination in soils is from indus- Acceptable Levels of Contamination in Soil
trial wastes, underground storage tanks, appli- Certain chemicals naturally exist in soil as com-
cation of pesticides, oil and fuel dumping, leach- ponents of minerals, but the soil contaminants in
ing of waste from landfills, and disposal of coal urban settings exceed the natural level. The evalu-
ash. Large quantities of trace metals from coal ation and cleanup of contaminated soil is based
combustion, ash residues, and wastage of com- on soil screening levels (SSLs), determined by the
mercial products are other sources of contami- EPA. Since there is no single standard that can
nation in soil. A trace metal found in municipal define the acceptable level of contaminants in soil,
sewage sludge can easily contaminate the soil. SSLs are a general guide in directing resources
Municipal sewage embodies an important source for site evaluation and cleanups. Of the indus-
of metal contamination in land. There are health trial, residential, and agricultural use standards,
risk concerns with soil contamination in terms the agricultural standard is the strictest, since the
of direct contact with contaminated soil or any contaminants present in soil have to be at minimal
vapors from the contaminated soil and contami- levels to grow food. Excavation of soil from the
nation of water underlying the contaminated soil. ground with the purpose of treating or disposal,
Human consumption from groundwater aquifers containment of soil in place, and soil treatment in
contaminated by infiltration from contaminated place are three general approaches to cleaning up
soil, inhalation of vaporized soil contaminants, or contaminated soil. In some cases, contaminants
direct contact with soil have health consequences. are flushed out of the soil using water and chemi-
Health consequences from exposure to soil con- cal solvents, or encapsulated by adding materials
tamination can vary depending on the level of to the soil to prevent chemicals from spreading.
exposure, the type of pollutant, and the path-
way of attachment, but any chronic exposure to Contamination in the Air
chromium, petroleum, pesticides, lead, and other The action of environmental contamination with
metals can cause congenital disorders and chronic human-made or natural contaminants is pollu-
health conditions. tion. By introduction of contaminants into an
environment, the ecosystem becomes unstable.
Sources of Soil Contamination The discomfort, disorder, and instability in an
The property of soil varies from place to place environment caused by introduction of contami-
and can be easily influenced by many factors. nants by release of chemicals and particulates
Human activities put the most harmful substances into atmosphere is called air pollution. Pollu-
in the soil. The properties of soil are affected by tion in the air can be odorless and colorless or
past and current land uses. For instance, because can be apparent in the form of smog. The main
of poor storage practices or spillage in gas sta- contributors to pollution are industries. Most of
tions and mechanics’ garages, there are contami- the greenhouse gases are released into the atmo-
nants such as fuel and lubricants that enter the sphere by factories. Many of these gases and the
 Environmental Contamination 375

gases released from burning fossil fuel are harm- and (2) lessening the impact of the crisis by soft-
ful and have significant health and environmen- ening or mitigating them. Although a crisis is a
tal effects. The Big Six air pollutants are carbon low-probability event, it can have a high-damage
dioxide, carbon monoxide, sulfur oxide, nitro- impact; therefore, being aware of the scope of the
gen oxide, hydrocarbons, and particulates. These vastly negative impacts of various crises should be
gases are primary pollutants and can affect the the goal of the environmental crisis manager. As
environment directly. Other gases like nitrogen crisis prevention is a broader concept of pre-crisis
oxide and sulfur are secondary pollutants and can management and can be used as type of control
react with other chemicals like water and become management, the three broad areas where crisis
more harmful to the environment in the form of management can contribute to the prevention of
acid rain in the atmosphere. Pollution can affect any environmental crisis are to (1) proactively
everyone on Earth and is a global crisis. address the underlying systemic causes of a poten-
tial crisis, (2) establish signal mechanisms to detect
Effects of Pollution on Human Health a foreseen crisis, and (3) learn and understand the
Adverse air quality can cause respiratory disease, ongoing basis of any crisis. Since the fundamental
congestion, and cardiovascular disease. Air pol- step of combating environmental crises is to rec-
lution can be a nuisance and can be injurious ognize the warning signs or trends of events and
to human life, animals, and even vegetation. All respond to them properly and promptly, learning
over the world are premature deaths resulting from crisis and preparation are the keys to success.
from air pollution, and studies show that more In dealing with an environmental crisis that
than 50,000 people die in the United States annu- can pose an extreme danger to not only the envi-
ally because of air pollution. Air quality not only ronment but also public health, it is very impor-
affects the health of the environment and the tant for managers to effectively deal with every
health of the community but also has a direct aspect of the crisis and be able to identify audi-
influence on our lifestyle. Therefore, the quality ences who are affected by the event. In planning
of life depends on the pressures on our air and our for crisis management, managers classify the
responses to it. Short-term and long-term expo- potential crisis situations, identify those who
sure to greenhouse gases has diverse health effects would be affected, and minimize damage by test-
on humans. Short-term exposure to carbon mon- ing formulated strategies and tactics for dealing
oxide causes the carrying capacity of oxygen in with potential crises.
the blood to reduce and can cause damage to the
nervous system and the heart. Over time, expo- Rouzbeh Nazari
sure to ozone gas can cause decrease in lung Shayesteh Mahani
function and increase the chances of asthma and Maryam Karimi
other respiratory symptoms. Exposure for a short Reza Khanbilvardi
period of time to nitrogen oxide causes respira- NOAA-CREST/City University of New York
tory illnesses in children; respiratory infection in
adults can result after long-term exposure. Nitro- See Also: Chemical Risk; Deforestation; Electronics
gen dioxide can also cause death in plants and Waste; Environment Programme, UN (UNEP);
damage to crops. These gases are formed when Hazardous Materials; Hazardous Waste Disposal;
fuels are burned by human in large cities. Mining; Ozone Layer Depletion; Petrochemical Risk;
Sewage Spill; Smog.
Possible Approaches for Crisis Managers
Environmental issues are diverse, and different Further Readings
factors or situations can lead to an environmental Agzarian, J. and W. G. Foster. Towards Less
crisis. Therefore, it is very important to call for Confusing Terminology in Endocrine Disrupter
multidimensional approaches in order to com- Research. Hamilton, ON: McMaster University
bat any environmental perturbations. In general, Press, 2004.
there are two ways to approach crises as unfortu- Guillette L. J. and E. A. Guillette. “Environmental
nate events: (1) keeping events from reoccurring Contaminants and Reproductive Abnormalities
376 Epidemics

in Wildlife: Implications for Public Health?” other areas of the world. These outbreaks may
Toxicology and Industrial Health, v.12 (1996). involve any number of diseases, including influ-
McLaughlin, R. A., M. B. Genter, M. G. Cook, enza, severe acute respiratory syndrome (SARS),
and J. P. Zublena. Pollution in Ground Water: malaria, tuberculosis, and smallpox.
Risk Assessment. AG-439-8. Raleigh:
North Carolina Cooperative Extension Service, Origins and Outbreaks
1997. Humankind has documented evidence of disease
Nriagu, Jerome O. and Jozef M. Pacyna. outbreaks occurring throughout the world since
“Quantitative Assessment of Worldwide the development of written records. Hippocrates
Contamination of Air, Water and Soils by Trace documented an outbreak of deadly influenza
Metals.” Nature, v.333 (May 1988). occurring throughout Greece and neighboring
Torres, Mc Nelly and Omaya Sosa Pascual. “Years of countries in 412 b.c.e. An outbreak of leprosy
Negligence Ignite CAPECO Fire.” (November 8, also occurred during this time and has been doc-
2009). http://cpipr.org/inicio/index.php?option umented in both literary and religious works.
=com_content&view=article&id=122:years-of-neg Smallpox affected the New World just as George
ligence-ignite-capeco-fire-&catid=58:actualidad Washington and the Continental army battled
&Itemid=105 (Accessed August 2012). British troops.
Tuner, Allison. H. Urban Agriculture and Soil Both sides suffered tremendous losses from
Contamination: An Introduction to Urban this epidemic. Physicians developed crude meth-
Grading. Louisville, KY: Center for Environmental ods of inoculating both soldiers and the public
Policy and Management, University of Louisville by using variolation. These physicians captured
Press, 2009. matter from the pustule of an infected person
U.S. Environmental Protection Agency. “Basic and placed it beneath the skin of an unaffected
Information.” http://epa.gov/risk/basicinformation person, potentially causing immunity. This also
.htm (Accessed March 2012). served to reduce the size of the outbreak, thereby
potentially saving thousands of lives.
A majority of disease outbreaks remain local-
ized (endemic) or regionalized (epidemic). How-
ever, others can spread globally, which is defined
Epidemics as a pandemic. Disease outbreaks typically follow
a cycle, beginning with infection of a popula-
Epidemics can be defined as disease outbreaks tion, either on a small or large scale, severe ill-
that occur within given geographic areas, such as ness, or eventual death of the host. A host can
communities, villages, states, or territories, that be most any animal, from migratory waterfowl to
spread to other areas. Epidemics can be caused by humans. Viruses often die themselves once they
microorganisms (germs) in the form of bacteria, have run their course. Humans have the ability
viruses, fungi, protozoans, or parasites. to develop immunity to bacteria or virus strains
Comparably, endemics are diseases that occur once they have become infected and survived the
routinely within villages, states, or small regions. illness. Unfortunately, bacteria or viruses have the
For instance, the plague is endemic to the moun- ability to mutate or evolve into new, more deadly
tainous regions of the western United States, strains. Humans typically do not have immunity
and malaria is endemic to the tropical areas of from these new strains, which can potentially lead
the world. Endemic diseases can easily spread to to an epidemic. Examples include the 1918 Span-
other regions by various means. These include ish influenza, which begin as an epidemic and
by travelers, through commerce, or by animals. eventually resulted in over 40 million deaths. Sim-
Additionally, viruses have the ability to mutate ilar epidemics occurred in 1957 and 1968. Most
once they encounter environmental changes or recently, an outbreak of avian influenza (H5N1)
combine with other strains inside a host. and swine influenza (H1N1) occurred in 2009
Epidemics can easily become pandemics if and 2010. Each of these is a variation of influenza
the outbreak of disease affects larger regions or Type A.
 Epidemics 377

Epidemics not only affect individuals from a organizations to develop syndromic surveillance
medical standpoint but can also affect them eco- standards and guidelines. Several outbreak indi-
nomically. Because commerce is totally depen- cators have been developed using these standards
dent on people, the economy can quickly become and guidelines. These indicators include but are
stagnant if people are not purchasing goods and not limited to monitoring individuals for fevers,
services. This can lead to a global recession. dysphasia, respiratory problems, skin lesions,
Moreover, people are needed to sell these goods, and other associated medical problems. Once
operate stores, and provide routine services such the medical signs and symptoms associated with
as fuel and water delivery. a possible outbreak are recognized, medical and
During the 1918 influenza outbreak, manu- scientific teams examine these sick individuals
facturing processes were not as technologically and then confirm their illness using laboratory
advanced as they are today but instead were tests. Government agencies and public health
heavily dependent on human beings. If people officials in the affected area then notify their
were sick, products could not be manufactured. counterparts throughout the world in an effort
In the United States, hundreds of stores, utili- to identify similar outbreaks. At this point, pub-
ties, shops, and public services closed or came lic health officials may officially designate the
to a halt. Workers were ill and unable to report outbreak as an epidemic. However, epidemics
to work; some were simply afraid of becoming can easily become pandemics once the outbreak
infected themselves, so they just stayed home. In affects larger regions or other areas of the world.
some cases, local officials directed that theaters, Because the historical epicenters of the largest dis-
schools, stores, and other public places be closed ease outbreaks have occurred in southeast Asia,
in an attempt to prevent the spread of disease the WHO and its partners have focused much of
to others within the community. This resulted their attention on this region of the world.
in huge economic losses. It was not uncommon
for entire families to perish during the outbreak. Response
Many small businesses never reopened because Upon recognition and confirmation of a disease
there was no one left to manage the business. outbreak, public health officials attempt to vac-
Routine services such as utilities and ice and food cinate the affected community in an effort to
deliveries often stopped for days as trained work- prevent the outbreak from spreading. Moreover,
ers became ill and could not report for work or officials may initiate efforts such as social distanc-
died. Meetings such as church services, commu- ing, school closures, and encouragement of work-
nity events, and fairs were canceled because of from-home strategies. Crisis managers may work
the outbreak. Schools and universities canceled with private-sector partners to initiate specialized
classes because students and faculty either could services such as call-ahead shopping and curbside
not report for classes or refused to attend for fear pickup. Neighboring communities, villages, and
of contracting the flu. Hospitals quickly became towns are monitored for similar illnesses, and
overwhelmed with patients and had to turn them treatment is provided as needed. Public health and
away. Tent hospitals were established in order government officials may monitor travelers for the
to treat the most severe patients. In rural areas signs and symptoms of the outbreak. These efforts
where many could not afford medical care, they may include using thermal imaging cameras to
simply treated family members as best they could detect high fevers or simply observing passengers
and hoped for the best. Funeral homes become so for coughing, runny noses, or signs of malaise.
overwhelmed they had to hold multiple funerals Travelers displaying these signs or symptoms may
each day just to keep up. be detained and quarantined as means of reducing
exposure to others. Travel restrictions may be put
Preparedness Efforts into place in order to contain the outbreak. Pub-
The World Health Organization (WHO) joined lic health officials also notify key stakeholders and
forces with the Centers for Disease Control and other health officials in an effort to identify addi-
Prevention (CDC), the International Society for tional outbreaks. These regionalized and cross-
Disease Surveillance (ISDS), and private health border partnerships among world organizations,
378 Ethnic Cleansing

governments, and public health officials have led

to the reduction and prevention of outbreaks in
Ethnic Cleansing
other countries. During the 2009–10 H1N1/ Although instances of ethnic cleansing since World
H5N1 outbreak, public health leaders in both Asia War II, and especially during the last five decades
and Mexico notified World Health Organization of the 20th century, have often figured promi-
officials whenever they detected a new emerging nently in newspapers and journalistic accounts,
potential disease outbreak. This early warning sys- including infamous cases such as Rwanda, Bos-
tem allowed physicians, crisis managers, govern- nia, Darfur, and the Indian partition, it remains
ment leaders, and scientists to develop a response a controversial subject. In each case, a dominant,
before the outbreak became a pandemic. well-armed group can inflict devastating harm,
expulsion, relocation, and mass murder in an
Doug Brown effort to eliminate the presence of a suspect tar-
Arkansas State University geted group from a territorial area as part of an
overall political campaign to “purify” the land
See Also: Centers for Disease Control and Prevention in dispute. The central issue has been sharply
(CDC); Cholera; Crisis, Definition of; Doctors Without defined during those years by international agree-
Borders; Ebola Virus; HIV/AIDS Epidemic; Infectious ments and efforts by the United Nations to define
Disease; Infestations, Parasite; Influenza; Pandemics; what ethnic cleansing really is.
Poverty; Public Health Surveillance; Refugee and Based on a wide variety of conventional defini-
Forced Migration; Response; Risk Treatment; Severe tions, ethnic cleansing is most often understood
Acute Respiratory Syndrome (SARS); Smallpox; to mean the following:
Tuberculosis; Uncertainty; Vaccinations; World Health
Organization (WHO), UN. • The systematic elimination of an ethnic
group or groups from a region or society,
Further Readings as by deportation, forced emigration, or
Bronwen, E., J. W. Buehler, and K. Moore. “Canadian genocide
and United States Cross-Border Collaboration • A mixture of forced emigration and
for Syndromic Surveillance: Overview and population exchange with elements of
Recommendations From an International Society territorial deportation and targeted killing
for Disease Surveillance.” Advances in Disease • The physical and political expulsion of
Surveillance, v.7/3 (2009). an “undesirable” population from a
Federal Emergency Management Agency (FEMA). given territory because of religious or
“Robert T. Stafford Disaster Relief and Emergency ethnic discrimination; political, strategic,
Assistance Act, as Amended, and Related or ideological considerations; or a
Authorities.” Washington, DC: FEMA, 2007. combination of these factors
Homeland Security Council. National Strategy
for Pandemic Influenza. Washington, DC: U.S. A more formal definition arose in the 1948
Government Printing Office, 2006. Convention for the Prevention and the Punish-
Landesman, L. Y. Public Health Management of ment of the Crime of Genocide. That convention
Disasters. Vol. 1, 2nd ed. Washington, DC: said genocide was any of the following acts com-
American Public Health Association, 2005. mitted with intent to destroy, in whole or in part,
Ryan, J. R. Pandemic Influenza: Emergency Planning a national, ethnic, racial, or religious group, as
and Community Preparedness. Boca Raton, FL: by (1) killing members of the group, (2) causing
CRC Press, 2009. serious bodily or mental harm to members of the
U.S. Department of Homeland Security. “Homeland group, (3) deliberately inflicting on the group con-
Security Presidential Directive 5.” Washington, ditions of life calculated to bring about its physi-
DC: Executive Office of the President, 2002. cal destruction in whole or in part, (4) imposing
World Health Organization (WHO). Combating measures intended to prevent births within the
Emerging Infectious Disease. New Delhi: WHO, group, and (5) forcibly transferring children of
2005. the group to another group.
 Ethnic Cleansing 379

It is important to note that ethnic cleansing transfer” whereas genocide is the “intentional
often includes indiscriminate killing of targeted murder of part or all of a particular ethnic, reli-
ethnic, racial, cultural, or religious groups, but gious, or national group.” The central idea in eth-
such activity by itself does not necessarily elevate nic cleansing is “to get people to move, and the
it to the formal legal definition of genocide. This means used to this end range from the legal to the
is an irritant both to the victims of ethnic cleans- semi-legal.”
ing and to those seeking to punish and indict The 1994 UN special experts’ report on Bos-
those leaders who are responsible for directing or nia referred to “the abhorrent policy of ‘ethnic
authorizing ethnic cleansing. cleansing,’ which is a form of genocide,” as being
The strongest efforts have been aimed at pun- carried on in Bosnia and Herzegovina. This was
ishing those who are responsible for genocide, the specific campaign by Serbs against Bosniak
primarily through individual criminal tribunals Muslims. The report went on to say that ethnic
organized for that specific purpose. Even these cleansing can only be a form of genocide within
endeavors—in Rwanda and the former Yugosla- the meaning of the 1948 Convention, if it cor-
via—have come about only in this decade. Those responds to or falls within one of the categories
responsible for recognized acts of genocide over of acts prohibited by Article II of the Convention:
the last three decades have gone unpunished,
despite demands from survivors and witnesses. Neither the intent, as a matter of policy, to ren-
The United Nations Commission of Experts’ der an area ‘ethnically homogeneous,’ nor the
report on ethnic cleansing in Bosnia issued in operations that may be carried out to imple-
1994 described ethnic cleansing as “the planned ment such policy, can as such be designated as
deliberate removal from a specific territory, per- genocide: the intent that characterizes genocide
sons of a particular ethnic group by external is ‘to destroy, in whole or in part’ a particular
force or intimidation, in order to render that area group, and deportation or displacement of the
ethnically homogenous,” which it based on “the members of a group, even if effected by force,
many reports describing the policy and practices is not necessarily equivalent to destruction of
conducted in the former Yugoslavia.” The com- that group, nor is such destruction an auto-
mission went on to state that, “ethnic cleansing matic consequence of the displacement. This is
has been carried out by means of murder, tor- not to say that acts described as ‘ethnic cleans-
ture, arbitrary arrest and detention, extra-judicial ing’ may never constitute genocide, if they are
executions, rape and sexual assaults, confinement such as to be characterized as, for example,
of civilian population in ghetto areas, forcible ‘deliberately inflicting on the group conditions
removal, displacement and deportation of civilian of life calculated to bring about its physical
population, deliberate military attacks or threats destruction in whole or in part,’ contrary to
of attacks on civilians and civilian areas, and Article II, paragraph (c), of the Convention,
wanton destruction of property. Those practices provided such action is carried out with the
constitute crimes against humanity and can be necessary specific intent … that is to say with a
assimilated to specific war crimes. Furthermore, view to the destruction of the group.
such acts could ultimately also fall within the
meaning of the 1948 Genocide Convention.” Strictly speaking, there is no formal legal defi-
The UN Commission of Experts (established nition of ethnic cleansing yet agreed to by an
pursuant to UN Security Council Resolution international body. However, ethnic cleansing
780) held that the practices associated with eth- in the broad sense—the forcible deportation of
nic cleansing “constitute crimes against humanity a population—is defined by UN agencies as a
and can be assimilated to specific war crimes. Fur- crime against humanity under the statutes of both
thermore ... such acts could also fall within the the International Criminal Court (ICC) and the
meaning of the Genocide Convention.” The UN International Criminal Tribunal for the Former
General Assembly condemned “ethnic cleansing” Yugoslavia. Holding those accountable for direct-
and racial hatred in a 1992 resolution, saying it ing and authorizing ethnic cleansing has met with
is similar to forced deportation or “population limited success.
380 Ethnic Cleansing

Historically, instances of ethnic cleansing can peoples in Darfur Sudan. In a June 21 Wall
be found going back centuries, to at least 700 Street Journal article covering the dissolution of
b.c.e. by various kingdoms, leaders, and conquer- Muammar Gaddafi’s Libya, reporter Sam Dagher
ing groups in biblical times. Most well-recorded described Tawergha as a town inhabited mostly
instances seem to start significantly after 700 by black Libyans, a legacy of its 19th-century
c.e. and move forward, as a mix of historical origins as a transit town in the slave trade. He
accounts take note of this practice without ben- related the comments one of the rebel command-
efit of an agreed definition. For example, while ers from the rebel Misrata brigade as follows:
many would find this instance at variance with
our definition, some could argue that within two Ibrahim al-Halbous, a rebel commander lead-
centuries following the birth of Islam, there was ing the fight near Tawergha, says all remaining
an aggressive and wide-ranging campaign of residents should leave [at] once if his fighters
conquest and systematic elimination of native capture the town. “They should pack up,” Mr.
males to compel their widows to revert to Islam. Halbous said. “Tawergha no longer exists,
Forced conversion by the sword, which arguably only Misrata.”
imposed ruthless and totalitarian requirements on
conquered populations, typically made its victims Here again, the trail of evidence regarding eth-
choose between Islam and death. In a matter of nic cleansing is more anecdotal than factual but
200 years, Iraq, Syria, Palestine, Egypt, and most nevertheless illustrates the continuing dilemma of
of what is now the north African Levant, which anyone who would allege that ethnic cleansing is
had historically been non-Arab, became Arab- actually taking place. The lesson of history is that
speaking Muslim societies. brutal and bloody civil wars, humanitarian crises,
There is ample evidence of Jews being expelled and guerrilla campaigns for decades to come in
from England (1290), France (1306), Hungary the 21st century may include instances of ethnic
(1349–60), Provence (1394 and 1490), Austria cleansing whether they are reported or not. His-
(1421), Lithuania (1445), Cracow (1494), Portu- tory exemplifies this violent trend that reflects a
gal (1497), and numerous German principalities tendency to use this form of lethal leverage as part
at various times. More recently, during the 20th of a calculated political effort to permanently alter
century, other instances of ethnic cleansing noted the landscape, history, and culture of an area.
in history include the following:
Robert McCreight
• The controversy surrounding Turkish George Washington University
efforts to exterminate Armenians in 1915
• Japanese imperial military extermination See Also: Civil War; Failed States; Famine; Foreign
and destruction of native Chinese Policy Crises; Human Trafficking; Immigration;
populations in Harbin during the late 1930s Interstate War; Land Mines; Refugees and Forced
• Croatian plans to purge Croatia of Serbs Migration; Terrorism; Vulnerable Populations; War
during World War II by killing one-third, Crimes.
expelling one-third, and assimilating the rest
• An Indian military campaign in 1947 Further Readings
that caused 6 million Muslims to flee Dagher, Sam. “Ethnic Cleansing, Genocide and the
risks of genocide, relocating to what Tawergha.” Wall Street Journal (June 21, 2012).
became Pakistan and, in turn out of fear Suljagic, Emir. Ethnic Cleansing: Politics, Policy,
of retribution, 5 million Hindus and Sikhs Violence: Serb Ethnic Cleansing Campaign in
fleeing what became Pakistan into India Former Yugoslavia. Baden-Baden: Nomos, 2010.
United Nations Security Council (UNSC). “Final
In 2012, as the infamous Arab Spring unfolded Report of the Commission of Experts Established
in Tunisia, Libya, and Egypt, there were some Pursuant to Security Council Resolution 780
reported instances of ethnic cleansing similar (1992).” S/1994/674–27. New York: UNSC, May
to the kind being waged against dark-skinned 1994.
 Evacuation 381

Evacuation research. It is an obvious pre-crisis strategy for

mitigating the negative consequences associated
Evacuation means to move from a place of dan- with a particular extreme event. Pre-crisis evacua-
ger to a place that is safe. It is conceptualized in tion may also serve to strengthen morale because
multiple ways within the literature. Ideally, evacu- it has the ability to reinforce the beliefs of citizens
ation should involve using the quickest path to that authorities are looking out for their inter-
safety. Evacuations are more common than the ests during a crisis. Post-impact evacuation may
public realizes. Each year, issues such as chemical enable victims to more easily obtain necessities
releases, wildfires, floods, and even snowstorms such as food, water, medication, and shelter.
force the public to evacuate their homes. More- When community evacuation becomes neces-
over, in a heat wave, often vulnerable populations sary, it is common for the order to come from local
are moved from their homes to “cooling stations” officials. Moreover, the order to evacuate is usu-
with the goal of protecting them from brownouts ally accompanied by detailed instructions. These
or air conditioner malfunctions, simply to ensure instructions are updated and repeated by the mass
that they are not adversely affected by the extreme media. In some crises, other warning methods,
temperatures. such as sirens or telephone calls (including what is
Evacuations can be either short term or long known as reverse 911) or text messages, are also
term. Short-term evacuations require leaving used. Agencies at several levels of government
for safety for a short period of time, to enough offer literature and recommendations for evacu-
distance from danger. In the event of such an ation planning. Some of the most common rec-
occurrence, directions from local emergency ommendations in the United States include advice
management officials are provided. Long-term such as keeping adequate gas in a primary vehicle
evacuations may cause individuals to experience for an evacuation. Support is given for this pro-
displacement or the inability to return to their cedure because gas stations may be closed during
homes or communities. an emergency or it may be impossible for gas sta-
Community or individual planning for evacu- tions to distribute gas during a power outage.
ation has become an integral part of crisis and If an individual does not own a car, he/she is
crisis preparedness. Described as crisis relocation, encouraged to make arrangements to facilitate
temporary displacement, or evacuation, much evacuation. Additionally, people are encouraged
planning for possible evacuation in future nuclear to have a disaster supply kit for the event of an
wartime situations has been undertaken in addi- evacuation, sometimes referred to as a bug-out-
tion to planning for natural and human-made bag, 72-hour kit, or grab-bag. Recommendations
disasters. Planning in the literature is sometimes for the contents of a kit include three days of food,
confounded with preparedness and other times water, and clothing. Batteries, radio, first aid sup-
treated as its own construct. Preparedness in plies, tools, medications, currency, and needed
the form of general knowledge and information documents are also suggested components.
should facilitate evacuation by enabling more
appropriate response behaviors. It essentially Evacuation Training and Preparation
refers to the readiness of a political jurisdiction Training and planning for evacuations is gener-
to react to threats from the environment in a way ally recognized as one of the most important ele-
that reduces the negative consequences of impact ments to an effective evacuation and response.
to the health and safety of at-risk individuals. Effective evacuations do not rely only on the
Therefore, preparedness should be treated as dis- knowledge and application of technical exper-
tinct from evacuation planning. Planning and pre- tise or emergency operation procedures and
paredness are similar in their attempt to reduce logistics; they also rely on the nontechnical per-
harm and the ability of both to be undertaken at sonnel involved in maintaining communication
the individual or group level. systems, directions, and structures. Finally, suc-
The importance of evacuation appears obvi- cessful evacuations depend upon a well-informed
ous, given that its advantages are seldom explic- citizenry. Evacuation planning is often limited
itly discussed or enumerated in crisis and disaster and of poor quality. Training and preparation
382 Evacuation

are generally required to improve skills for an emergency response agencies is often necessary to
evacuation. Skills needed for a successful evacu- manage the evacuation.
ation include decision making, communication, Researchers have suggested that the media play
leadership, and coordination. Training results an important role in evacuation coordination.
in more effective and efficient decision mak- First, responders define and portray an event as a
ing, accelerated proficiency, and the develop- crisis by using their perspectives and experiences.
ment of expertise in individuals and teams, all of Media frames are created by journalists and
which are issues particularly crucial in complex, reporters, and these influence subsequent inter-
highly uncertain, critical, and hazardous real-life pretations of the crisis. Moreover, first responders
situations. and managers of first responders rely on media
Training and evacuation preparation tend to coverage for information in order to make deci-
take the form of exercises, drills, informational sions about response strategies, logistics, and
seminars, and public service announcements. operations in the event of an evacuation. They
Such events are usually sponsored by local emer- also depend on the media to inform the larger
gency response teams or regional coordinating public about the evacuation and changes in pro-
units. Involvement of local radio stations can cedures and conditions. During the actual evacu-
provide benefits to the community and is use- ation, radio may be the only broadcast medium
ful to radio station personnel in understanding individuals can receive.
community response. Moreover, without train- Radio stations are expected to aid in the com-
ing, innovation and emergent organization in munication and coordination needs of a commu-
response to a crisis are less likely to occur. Exer- nity during a crisis and at times even go above
cises and drills also allow participants to gauge this expectation. In their mission to serve the
how personnel and equipment will work in a spe- public need, local stations will often replace reg-
cific environment. ular programming with continuous live cover-
The public generally makes risk assessments age of a crisis. Such coverage is likely to include
and decisions to evacuate based on sensory per- accounts from listeners, reports from affected
ception. Thus, one advantage of training and areas, instructions, and statements from public
preparation is when the general public is taken officials. Radio can also be used as a mechanism
off guard or underestimated the risk—even if they for proactively recruiting of volunteers to help in
begin evacuation, their chance of success is strong. evacuations and for reactively assisting in disaster
For some crises that require evacuation, the logistics and relief activities.
risks associated are typically visible and relatively For example, in 1994, Louisville, Kentucky,
well understood, such as natural disasters. Events was hit with record snowfall that shut the city
such as terrorism are typically less understood, down for almost a week. WHAS 840-AM radio
causing individuals to question whether to evacu- made an effort to coordinate local response
ate or shelter-in-place. efforts, such as mobilizing individuals with 4 ×4
vehicles. Another instance occurred when WHAS
Evacuation Coordination and Crisis broadcast a story about a local 3-year-old girl in
The issue of interorganizational coordination is need of a liver transplant. A donor was found in
also associated with the success or failure of an Omaha, Nebraska, but the streets of Louisville
evacuation. Coordination is based largely on pre- were covered with 16 inches of snow and the local
crisis understanding facilitated by planning and airport was closed. After WHAS broadcast the
training. In other words, activities such as exer- story, over 200 people arrived with snow shov-
cises can aid in multi-organizational coordina- els to clear a helicopter landing spot in a church
tion. In a large-scale crisis, coordination of com- parking lot near the home of the young girl. Also,
munication and emergency response is required shortly after the broadcast, volunteers arrived to
because the capacity of individual emergency plow the local runway so the helicopter could
response agencies is limited. Moreover, unantici- land safely at the hospital. On a day when most
pated problems may arise, making response even folks could not get down the block, the young girl
more difficult; thus, coordination among several got to Omaha in time. Radio was a needed and
 Evacuation 383

effective medium for coordinating the evacuation training or exercises may be better prepared
of one person during the storm. to improve disaster coordination. Increasingly
Organizations almost always rely on extensive important to the successful management of disas-
relationships and networks of external groups ters are emergent multiorganizational networks,
and agencies during an evacuation. The issue of or EMONs. EMONs comprise personnel and
evacuation coordination is complex, and organi- resources drawn from governmental, quasi-gov-
zations and agencies face many impediments to ernmental, and private organizations. EMONs
effectively working together during the stress and must deal with unfamiliar personnel, communica-
uncertainty of a crisis. Lack of coordination dur- tion breakdowns, and ambiguity in the emergent
ing an evacuation may be attributed to factors authority structure.
such as misunderstandings among organizations,
failure to fully utilize equipment and personnel, Evacuating Individuals With Special Needs
omission of essential tasks, and overly taxed orga- The National Fire Protection Association (NFPA)
nizations. The novelty of crises and other extreme classifies five general categories of disabilities to
events also makes coordination necessary but consider when making evacuation plans. These
challenging. It has been noted that organizations are mobility impairments, visual impairments,
with experience working together before a crisis hearing impairments, speech impairments, and
experience fewer problems during crises. Thus, cognitive impairments. When making evacua-
organizations working together in evacuation tion plans for these groups, questions to consider
include how will they obtain the notification of
evacuation, how will they find the evacuation
route, and can they evacuate on their own or
will they need assistance? Low-mobility groups,
the elderly, and individuals with disabilities are
some of many groups that are often left out of the
evacuation planning process. Individuals in such
groups may be unable to react quickly or to take
proper protective actions to evacuate and there-
fore may be more likely to experience harm.
The Federal Emergency Management Agency
(FEMA) has attempted to integrate its guidance
to crisis managers on issues related to disabil-
ity and other functional needs in the adoption
of a new model called Functional Need Support
Service (FNSS). This model works well with the
housing of functional needs populations. Spe-
cifically, the model encourages stakeholder par-
ticipation in the planning and implementation
process. The best information available to assist
crisis managers in developing crisis plans that
accommodate functional needs can be found
within the local community itself. Therefore, cri-
sis planning that is more local is seen as more
responsive to local needs.
In order to persuade people to engage in evac-
uation planning, individuals first must be con-
vinced that evacuating will lead them to safety
An injured woman tries to calm herself just before takeoff (response efficacy) and must believe that they
during a U.S. Navy medical evacuation in the aftermath of can take the recommended action (self-efficacy).
Hurricane Felix in Nicaragua, September 7, 2007. This is another barrier to planning for individuals
384 Evacuation

with special needs. The self-efficacy problems measure their capabilities against people their
of the elderly, therefore, revolve around reap- age are less likely to view themselves as declin-
praisals and misappraisals of their capabilities. ing; however, when the elderly populations see
Many physical capacities also decrease with age, evacuation behavior being modeled by only
requiring reappraisals of self-efficacy for activi- younger people, the motivation to engage in
ties in which the mediating biological functions planning decreases. When individuals observe
have been significantly affected. Variability in a model with similar characteristics performing
self-efficacy is in part determined by whom the a task successfully, this experience helps bolster
elderly compare themselves against. Those who their own self-efficacy.

Case Study: Evacuation During the 2003 E2 Nightclub Disaster in Chicago, Illinois

At the time of the crisis, Epitome restaurant was minors. Overall, 11 building code complaints
located at 2347 South Michigan Avenue in Chicago. were issued against the owners of E2 and Epitome
On the second floor of the restaurant is the E2 restaurant—the most serious dealt with structural
nightclub. In the early morning hours of February, issues with roof trusses and the construction of
17, 2003, a crowd of over 1,000 patrons was VIP rooms on those trusses. After the complaints
asphyxiated by mace that a security guard working were brought to court on July 19, 2002, only one
for E2 nightclub had sprayed in attempts to break violation was granted, which resulted in a court
up an altercation. As the crowd began running order not to occupy the second floor. However,
toward the only exit available, hundreds of people E2 management did not comply and continued to
were caught in a 6-foot-high human stampede. throw parties in the nightclub. Also, the Chicago
Twenty-one people lost their lives due to trampling. Police Department was never notified of the order,
A major factor that contributed to the stampede even though it made frequent visits to the nightclub
was the construction of the E2 nightclub. The E2 after the court order was enforced.
is located at the south entrance of the Epitome The Chicago liquor commission voiced unclear
restaurant. However, there is only one main regulations that governed liquor licenses, which
staircase leading up to the club. Between the also contributed to the onset of the crisis. La
staircase and the entrance to the club is a narrow Mirage Studio Ltd. d.b.a. Epitome E2 (the
corridor. Once inside the nightclub, there are operating name for the Epitome restaurant and the
additional staircases leading to VIP boxes, but the E2 nightclub) needed two liquor licenses to sell
only way to exit the boxes is to enter the assembly alcohol in both locations. The liquor commission
area of E2. In other words, there is no stairway did not clearly indicate, however, that because
leading from the VIP boxes to the ground floor exit. E2 and Epitome were considered two separate
Building inspections conducted six months prior to facilities, they needed two separate liquor licenses.
the tragedy had maintained an order not to occupy Also, the operators of La Mirage Studio did not
the E2 nightclub. However, this mandatory order request clarification as to the scale of the liquor
did not deter E2’s management from throwing license regulations. Therefore, E2 continued to
events. Also, no occupancy placard was enforced serve liquor even though Epitome was the only
for the nightclub because E2’s operators informed facility displaying a liquor license. This persistent
the Department of Buildings that the nightclub was lack of responsibility of the operators of E2 and
not open for business. Chicago’s agencies resulted in one of the worst
A significant number of complaints were also tragedies Chicago has ever seen. Thus, lack of
filed against E2 in the years prior to the stampede. evacuation planning, evacuation routes, and
Most of these were violations regarded building knowledge, coupled with repeat system failures,
codes, liquor license violations, and serving to created an easily preventable crisis.
 Evacuation 385

Other Types of Evacuations when overcrowding is part of the culture. Thus,

Communities are not the only level of analysis managing large numbers of crowds has become
by which evacuations occur; planned evacua- an extremely complex endeavor. Crisis manage-
tions exist for airplanes, boats, public venues, and ment literature has attempted to tackle these
buildings, often called small-scale evacuations. aforementioned problems by focusing on two
Evacuation procedures are covered on all com- parallel approaches to disaster management: con-
mercial U.S. airline flights. Additionally, shelter- tingency-based and strategic-based approaches to
in-place, or horizontal evacuation, is also well evacuations.
represented in the literature. This type of evacu- The contingency-based approach is concerned
ation is a short-term strategy for protection from with reactive modes to dealing with crisis events,
a risk. The strategy is not new but did gain more such as evacuations and/or media and medical
public attention during discussion of the pros- responses. This approach is more technical in
pect of a “dirty bomb” or other related chemical, nature, focusing on nonhuman elements that may
radiological, and biological emergencies. Shelter- enhance safety in the case of mass evacuation. In
in-place means selecting a small interior room large sports arenas, for example, crisis manage-
with no or few windows and taking refuge there. ment consultants provide technical information
Shelter-in-place can even be applied to individuals such as passageway and corridor widths that can
in a vehicle. In such a situation, individuals are withstand large crowds of people. Also, provid-
instructed to turn off their automobile engine and ing businesses such as nightclubs with maximum
close windows and vents. If possible, they should capacity occupancy placards and proper liquor
seal the vents with duct tape and listen to the distribution can help ensure crowd safety. These
radio regularly for emergency instructions. scholars and practitioners are typically concerned
After the first bombing of the World Trade with the cost and control aspects of crisis man-
Center in 1993, evacuation planning and practice agement. The strategic-based approach to disas-
efforts in the center increased. The building evac- ter management examines crisis as a prevent-
uation that took place in the World Trade Center able activity, one that works to instill change in
on September 11, 2001, was for the most part the organizing mind-set. This approach is more
considered successful. It was estimated that on the organic in nature and focuses on communica-
day of the attacks, the number of individuals in tions, cultural change, and reconfiguration. The
the towers was between 10,000 and 15,000. The assumption of this approach is that any taken-
success of the evacuation has in large part been for-granted beliefs about the notions of safety
attributed to the enhancements and evacuation and crowd control can and should be replaced
drills that followed the 1993 World Trade Center with new and innovative strategies, thus ridding
bombing. These enhancements included increased any technical or regulatory behavior. However,
evacuation drills, adding battery-powered lights evacuations are not always planned or initiated
and glow-in-the-dark paint in the stairwells, the by crowd safety control practitioners. As is evi-
appointment and training of floor marshals to dent in much scholarly and documented research,
facilitate the evacuation process, and redesigned human stampeding is an inertia that forestalls any
emergency plans. possible safety measures.

Crowd Safety and Survival Human Stampedes

In the last century, there have been numer- Public spaces bring a large and diverse number
ous accounts of human disasters resulting from of people together. Whether it is a city block, a
unforeseen conditions such as building fires, tram- musical performance, or a parade, people gather
pling, stampeding, and suffocation. With no ave- in tight-knit spaces. Such diversity in crowds can
nue of escape, humans experience extreme panic, be a rewarding and celebratory experience. Peo-
which results in terrible injuries and death by ple gather to bring in the New Year or to support
human hands. Academic scholarship has shown a presidential candidate. However, crowds also
that concert halls, sports arenas, assemblies, sta- gather to protest or express their own interests
diums, and nightclubs are prone to accidents with anger and outrage. When considering the
386 Exercises

latter, evacuating can be a tricky and often danger- Lindell, M. K., J. Lu, and C. S. Prater. “Household
ous experience. Individuals who gather in public Decision-Making and Evacuation in Response
spaces are often strangers with their own values, to Hurricane Lili.” Natural Hazards Review, v.6
beliefs, and interests at heart. From a biologi- (2005).
cal standpoint, these personal interests activate Manion, P. and I. J. Golden. “Vertical Evacuation
a survival response, often without concern for Drill of an Intensive Care Unit: Design,
others. The reaction for one’s own survival also Implementation, and Evaluation.” Disaster
supersedes any plans for evacuation safety. As a Management and Response, v.2/1 (2004).
result, people experience high levels of anxiety, Perry, R. W. and M. K. Lindell. “Preparedness
panic, and irrational behavior. When such panic for Emergency Response: Guidelines for the
ensues, individuals’ attention to escape routes Emergency Planning Process.” Disasters, v.27
such as side exits is typically minimized. Numer- (2003).
ous accounts of human stampedes can make these
notions more concrete.
In 2000 alone, there were over 12 major crowd
disasters documented in venues such as stadiums,
nightclubs, holy places, and camps. Also, since the Exercises
early 20th century, the United Kingdom has doc-
umented countless numbers of football stadium A crisis is recognized as an abnormal situation
disasters. Each crowd gathering resulted in major that is beyond the scope of everyday activities
injuries and even death of patrons. Tear gas, over- and that might threaten the operation, safety, and
sold stadiums, overexcited fans, and overcrowd- reputation of an organization. In order to pre-
ing were among the many instigators of evacua- pare for, respond to, and recover from modern
tion disasters. Such panic situations result in the crises, organizations should establish both crisis
death of people who are trampled and crushed management and business continuity plans. Once
by other individuals. Panic stampedes are also these plans have been written, exercises should be
documented as one of the most tragic collective used to test the effectiveness of the entire cycle
behaviors. One particular human stampede that of the crisis and business continuity management
occurred in the United States is examined on page processes. Exercises can be used to ensure that
384 for further clarification. staff are aware of and understand the existence of
plans and are familiar with the proposed arrange-
Tabatha L. Roberts ments. Exercises can be used to rehearse, test,
Western Michigan University revise, and improve the plans.
Patric R. Spence
University of Kentucky Definition
Exercises have been widely used in complex and
See Also: Chaos Theory; Coordination; Crisis diverse disciplines, for example, hunting and fight-
Simulations; Earthquakes; Emergency Alert Systems; ing skills, airplane performance simulations, and
Hazard Mitigation; High Reliability Organization current classroom exercises for school students.
Theory; Safety Policies; Training. Canada, Australia, and the United States tend to
use drills, while European countries refer to them
Further Readings as simulations. Exercises can be defined as one
Burke, J. A., P. R. Spence, and K. A. Lachlan. of the training methods that represent a selected
“Crisis Preparation, Media Use, and Information feature of a real and dynamic situation, replicat-
Seeking During Hurricane Ike: Lessons Learned ing it within a risk-free environment within which
for Emergency Communication.” Journal of trainees are placed to cope with particular chal-
Emergency Management, v.8 (2010). lenges that improve learning outcomes.
Drabek, T. E. “Disaster Evacuations.” Cornell Hotel The United Kingdom (UK) Cabinet Office
and Restaurant Administration Quarterly, v.41/4 describes an exercise as the simulation of an emer-
(2000). gency that is used to “validate plans (validation);
 Exercises 387

to develop staff competencies and to give them Decision makers normally have two types of
practice in carrying out their roles in the plans responsibilities: routine and nonroutine matters.
(training); and to test well-established procedures During a normal situation, the exercise partici-
(testing).” Ideally, those involved in the exercises pants carry out their routine daily tasks; however,
should be trained beforehand. At the same time, it is during abnormal situations that they will be
the U.S. Federal Emergency Management Agency expected to confront challenges problematically.
(FEMA) also defines an exercise as “an activity During unexpected emergency events or abnormal
designed to promote preparations for emergency situations, decision makers will be expected to
situations in order to test operations, policies, confront many challenges, including (1) ill-struc-
plans, procedures or equipment, or to demon- tured problems; (2) uncertain dynamic environ-
strate the capability to respond to a crisis.” In any ments; (3) shifting, ill-defined, or competing goals;
case, the aim of exercises is to use more frequent, (4) action/feedback loops; (5) time stress; (6) high
constant, and broad variety types of training stakes; (7) multiple players; and (8) organizational
methods to improve and retain staff knowledge goals and norms. These problems prevent decision
and skills that are related to preparing for and makers from communicating and disseminating
responding to accidental or crisis situations. decisions, and they create difficulties coordinating
The UK Home Office categorizes exercises into with other agencies. They require flexible, adap-
four types: (1) discussion-based seminar and/or sce- tive, and effective individuals and teams with the
narios, (2) tabletop (multidiscipline, single-agency, appropriate skills and attributes in order to pro-
and management-level role-play), (3) control post, vide a timely and coordinated response and to
and (4) live exercises (small-scale-single-agency to manage the wider impacts of the emergency. As
test one component or full-scale-multi-agency to a consequence, exercises normally focus on the
test the whole response to an incident). The FEMA development of these nonroutine skills.
further divides exercises into drills, functions, and
full-scale. There is also a trend to include infor- Trend of Modern Crisis Exercises
mation technology (IT)-based exercises in the As a result of the increasing frequency and magni-
discussion. tude of natural and human-made disasters, there
has been increasing demand for modern large-
Skills to Be Trained During an Exercise scale crisis exercises to be held, aiming to train for
An exercise is a useful tool to provide repeated multiagency communication and coordination
learning by individuals, teams, and organizations skills. These exercises have three distinct charac-
involved in a crisis event for how to prevent or teristics: the involvement of more participants,
deal with disruptive situations. Exercises also blurred objectives, and vague ownership.
provide a platform for participants to develop a First, these large-scale exercises normally
more detailed understanding of decision criteria, involve large numbers of participants. These par-
decision-making processes, organizational cul- ticipants are also normally drawn from different
tures, formal and informal communication struc- agencies and organizations. In the European Union
tures, multiagency response mechanisms, and (EU), there is a trend to conduct cross-boundary
associated strategic issues. From a pedagogical exercises where participants from several states
perspective, exercises address adult learners’ pref- are involved. For example, in 2008, Hungary
erence for active and experience-centered learning hosted a cross-border emergency response exer-
and opportunities for more inductive or guided- cise that included nine EU countries plus Croa-
discovery learning approaches with flexibility for tia (EU-HUROMEX 2008) and highlighted the
the incorporation of error-based learning that importance of communication and coordination
must be otherwise avoided in real crisis events. between nations.
Training for crisis is unique in its need to simulate Second, because these participants are from dif-
high levels of nonroutine, uncertain, and complex ferent agencies, organizations and states, they each
problem solving needing urgent action and intri- have their own exercise control posts or control
cate patterns of intra- and interagency decision and command centers. For example, the scenario
making and communications. of Flood Ex was set to be the equivalent of the
388 Exercises

1953 tidal flood in the UK and the Netherlands. to which the materials used in an exercise are
The exercise included field and control post simula- equivalent to the reality. Process fidelity refers to
tions. The field exercise took place in several loca- the degree to which the operations and interac-
tions in Amstelmeer, the northern part of North tions correspond to real-world situations. Con-
Holland, while the control post exercise was based text fidelity indicates the degree to which the sim-
in the participants’ crisis centers. The limitation of ulated scenario is similar to the reality.
exercises of this type is that normally participants There are controversies as to how much reality
from different control posts are not able to meet should be represented in an exercise to facilitate
each other during the exercise. This reduces the learning outcomes. Traditionally, it is believed
nature and complexity of a disastrous event, which that the higher the reality an exercise presents, the
is the key to training individual responses. higher the learning that occurs. It is also argued
Third, as the exercise becomes so extensive, the that high psychological fidelity could increase
ownership becomes vague. It is easy for a modern learning outcomes, if it is not possible to estab-
large-scale exercise to attract many relevant agen- lish context fidelity. However, recent scholars
cies to engage with, from local to national levels, believe that a real-world scenario is not necessary
and such an exercise could easily involve hundreds for learning, as higher fidelity might reduce the
of participants. For example, the UK national skill acquisition for participants, in particular for
flood exercise Triton 2004 involved about 1,000 those beginners in crisis response skills. Higher
participants from more than 60 different organi- reality can be dangerous and stressful, and learn-
zations, and more than 10,000 people took part ers might be overstimulated. Consequently, it is
in the exercise Watermark 2011. Although each suggested that low-fidelity exercises could facili-
participant unit/organization was provided with a tate learning nontechnical skills.
generic scenario, they could create their objectives
depending on their needs. What made the own- Evaluation
ership become vague was that most of the agen- Because one of the challenges of current crisis
cies participated in the exercise at the last minute; exercises is to set up clear objectives, especially
each control post designed its own injects and in strategic exercises where more abstract and
conducted different types of exercises in accor- complex tasks are involved, it is difficult to deter-
dance with its perceived requirements. mine the internal validity—in other words, learn-
ing the outcomes or evaluation criteria—of an
The Challenges of Crisis Exercises exercise. First, the roles and responsibilities of the
It is widely recognized that the challenges of emer- organization involved in responding to a disas-
gency response exercises include limited training ter could be varied because of the nature of the
time available and inadequate funds. They also crisis; consequently, the missions and tasks that
require large numbers of personnel, for example, are assigned to an organization would be differ-
exercise planners, participants, observers, and ent. Second, crises are low-probability events and
training technologists. As a result, it is difficult to do not occur sufficiently frequently to generalize
conduct frequent exercises. From a pedagogical a set of measurements to evaluate the effective-
perspective, several challenges when arranging cri- ness of the practice. Lastly, although there are sets
sis exercises can be summarized, including (1) fidel- of evaluation methods for operational levels, it is
ity and realism, (2) evaluation, (3) retention issues, difficult to determine the measurement of skills
(4) generalization issues, (5) progressive training, required at the strategic levels, such as coordina-
and (6) increasing flexibility. tion and communication.

Fidelity and Realism Retention and Generalization Issues

Fidelity refers to the degree to which the scenario To retain the knowledge and skills gained in an
of the exercise represents the reality; in other exercise until the next training or crisis occurs is
words, it is the realism of the scenario. Fidelity another challenge. Because full-scale exercises are
examines the contents, processes, and context of very expensive and involve many personnel, they
an exercise. Content fidelity considers the degree do not happen frequently. Because the probability
 Exercises 389

of a major incident taking place is comparatively limitations of traditional crisis exercises and to
low, not all skills learned in a training exercise increase the efficacy of learning activities while
session are likely to be used straightaway—some improving learning outcomes. These tools can
of them may never be needed. be categorized as nonimmersive or immersive in
The fourth challenge is to apply what has been character. Nonimmersive tools, for example, may
learned from a scenario to different types of inci- include text-based Web tools, which create a simu-
dents or disasters. Exercises in emergency services lated environment for participants to act in a safe
are normally scenario based. However, these sce- and controlled scenario. Other tools include the
narios do not necessarily reflect what is happen- use of computer modeling, interactive Web sites,
ing in real life. How the individual generalizes the and online discussion rooms to support decision
skills learned in the exercise and applies them to making. These provide players with a real-time-
different scenarios and real-life situations is also a based environment. Although this may not be as
major challenge. immersive as in 3D modeling of an environment,
J. K. Ford and A. M. Schmidt propose that it can nonetheless allow players to exchange their
guided discovery learning, error-based learning, feedback and reflections. In contrast, immersive
and metacognitive instruction can help build computer-based simulations could represent com-
those adaptive capabilities that are required in an plex workplace dynamics. They also represent the
emergency response. Their proposal stresses the complex psychological, social, and political factors
importance and usefulness of individual learning, in the multiple-agency communication and coor-
but it ignores the element of multiagency coordi- dination areas. In order to evaluate the players’
nation and communication. performance, strictly controlled environments are
normally used in these computer-based training
Progressive Training exercises, which might limit the degree to which
A training program for an individual should be true fidelity can be demonstrated in the simulations.
planned and should be progressive. Professional More recently, new virtual world and games
experts normally use their existing knowledge to technologies allow for greater immersion within
understand new skills. Based on this knowledge, 3D environments via avatars that represent the
they are expected to learn from simple to complex individual in the 3D environment. This is opening
skills through a series of exercises. If exercises do up the potential for training exercises and scenar-
not have a consistent training method or format, ios that can be enacted with distributed learner
they do not have the characteristics for gradual groups, with scope for more dynamic scenario
progression. editing and therefore greater potential for creat-
ing dynamic and interactive virtual exercises.
Flexible Delivery Strategy
W. G. Green suggests that alternatives should be Yung-Fang Chen
provided to increase flexibility in delivery strat- Coventry University
egies. First, he recommends that training taking
place in an office environment or at home should See Also: BS 25999; Business Continuity Planning;
be taken into consideration; hence, the use of Crisis Simulations; Disaster Drills; Training.
the Internet can be a good option. Second, self-
directed learning should be added onto exercises. Further Readings
Third, exercises should be conducted both by Borodizicz. E. Risk, Crisis and Security Management.
fixed schedule and for individuals to participate Chichester, UK: John Wiley & Sons, 2005.
in their own time. By allowing participants to Cabinet Office. “The Exercise Planners Guide.”
control their own learning, the skills gained from (1998). http://webarchive.nationalarchives.gov.uk
the exercises will last longer. /+/http://www.cabinetoffice.gov.uk/ukresilience/
preparedness/exercises/plannersguide.aspx
The Use of Virtual Worlds (Accessed May 2012).
Researchers have attempted to use different tech- Federal Emergency Management Agency (FEMA).
nological tools and applications to avoid the “Exercise Design: Independent Study No. IS139,
390 Exercises

Emergency Management Institute.” Washington, McCreight, R. An Introduction to Emergency

DC: FEMA, 2003. Exercise Design and Evaluation. Plymouth, UK:
Ford, J. K. and A. M. Schmidt. “Emergency Response Government Institutes, 2011.
Training: Strategies for Enhancing Real-World Orasanu, J. and T. Connolly. “The Reinvention of
Performance.” Journal of Hazardous Materials, Decision Making. In Decision Making in Action:
v.75/2–3 (2000). Models and Methods, G. Klein, J. Orasanu, R.
Green, W. G. Exercise Alternatives for Training Calderwood, and C. E. Zsambok, eds. Norwood,
Emergency Management Command Center Staffs. NJ: Ablex Publishing, 1993.
Boca Raton, FL: Universal Publishers, 2000. Perry, R. W. “Disaster Exercise Outcomes for
Jamieson, I., A. Miller, and A. G. Watts. Mirrors of Professional Emergency Personnel and Citizen
Work: Work Simulations in Schools. New York: Volunteers.” Journal of Contingencies and Crisis
Falmer Press, 1988. Management, v.12/2 (2004).
 F
Failed States Failed States and Crisis Management
A combination of factors rather than a single
The identification of a nation as a failed state factor leads to the determination of whether a
centers on that state’s inability to provide citizens nation is considered a failed state. These factors
with a safe and effective environment as well as are based on analysis of either a state’s resources
its inability to operate within the international or the functionality of its central government and
community. Social, economic, and political fac- associated state institutions. The factors consid-
tors shape the determination of a nation as a ered as components of a failed state are often
failed state. Failed states are also generally unable either conditions that can lead to crisis or crisis
to provide effective internal crisis management conditions in themselves. There is also a strong
and often are the recipients of international cri- correlation between the factors that cause states
sis management as well as economic development to fail and the factors that lead to poor crisis
aid. International aid that operates in support of a management planning and response, leaving citi-
failed state’s central government helps strengthen zens of failed states vulnerable to crises and their
internal crisis management development as well short- and long-term impacts.
as economic, political, and social development in Social factors commonly found in failed states
both the short and long terms. include demographic pressures such as high pop-
Although the term failed state has no mutu- ulation densities, a lack of sufficient resources to
ally agreed upon definition, the definition devel- provide for the population, and widespread or
oped by the think tank Fund for Peace is the most long-standing conflicts among ethnic, religious,
widely accepted among the international commu- or other groups. Social injustice or repression is
nity. Since 2005, the Fund for Peace has coordi- also commonly present. Results can include high
nated with the magazine Foreign Policy to publish crime rates, high infant mortality rates, reduced
an annual Failed States Index, ranking the world’s educational access and attainment, poor health
failed and vulnerable states based on its calculation care, and reduced life spans. Long-term human
of social, economic, and political criteria. Critics flight and notable expatriate communities may
of the generally accepted categorization of failed result as those with the means to immigrate leave
states argue that its basis lies in a failed state’s the country for better opportunities elsewhere.
comparison to mostly Western developed coun- Those left behind are rendered more vulnerable
tries as well as the label’s negative connotations. to crisis.

391
392 Failed States

Economic conditions commonly found in failed resulting in the involvement of the international
states are characterized by uneven economic devel- aid community.
opment resulting in large gaps between economic,
racial, or ethnic groups in areas such as employ- International Aid
ment and class status. Steep sudden or long-term Failed states are often the targets of international
economic decline may precipitate economic crises concern and aid mobilization, with an emphasis on
that further weaken central government, or the the alleviation of poverty and other sources of dis-
central government may be plagued by corrup- tress, restoration of sustainable order and peace,
tion fueled by resource abundance. Black mar- and economic revival or development. The interna-
kets or hidden economies based on illegal activi- tional community also becomes involved because
ties such as drug or diamond smuggling, human of the potential international repercussions of cri-
trafficking, or counterfeit goods may thrive. The ses within failed states. A lack of clear, centralized
economy is also particularly vulnerable to global objectives and strategies; a lack of effective aid
economic crises. allocation; and neglect of the need to construct and
Common political characteristics of failed actively involve state and local government organi-
states include lack of legitimate government, zations can plague international crisis aid.
ineffective state institutions, lack of govern- Effectively rebuilding failed states and manag-
ment transparency or accountability, widespread ing crises within them requires long-term inter-
government corruption, and lack of or severely national assistance in terms of both resources
limited national participation within the inter- and personnel. Traditionally, more long-term
national community. Symptoms of political dys- international development aid has been directed
function are unwieldy government bureaucracy; toward developing nations with stronger central
lack of or uneven legal enforcement; widespread governments that will effectively manage such
loss of public confidence in government; loss of aid and help ensure that it reaches its intended
territorial control; military intervention within target populations. Failed states have histori-
the political arena; widespread human and other cally received more short-term aid in response
rights violations; the institutionalized disenfran- to highly publicized large-scale crises such as
chisement of racial, ethnic, religious, or other terrorist attacks, refugee crises, massacres, or
groups; the distribution of political benefits to the natural disasters. This aid then drops off precipi-
elite; and lack of or poor public services. tously once the immediate crisis has passed from
The social, economic, and political character- the news.
istics of failed states often create or exacerbate Leading international agencies involved in cri-
crisis situations and increase the vulnerability of sis management include the United Nations, the
their populations to crisis impacts from natural World Bank, and the International Red Cross. A
or technological disasters, environmental haz- variety of local, national, and international gov-
ards, or conflicts. The formation of large popu- ernment agencies and nongovernmental organi-
lations of refugees and displaced people, refugee zations (NGOs) are also involved. The United
camps with untenable living conditions, conflicts Nations Millennium Development Goals and the
over scarce or unequally allocated resources or Paris 2005 and Accra 2008 conferences are key
infrastructure, famine, disease pandemics, inter- international agreements pertaining to interna-
national or national border and land owner- tional aid effectiveness. Poverty reduction and
ship conflicts, and genocide are crises commonly economic development are the centerpieces of
engendered within failed states. these agreements. Common forms of interna-
The characteristics of failed states also con- tional crisis management aid are the cancellation
tribute significantly to these states’ inability to of outstanding national debts; the provision of
effectively develop crisis management plans and emergency relief supplies, personnel, or technical
to effectively respond to the crises themselves equipment; and crisis management planning and
through the relief, recovery, and rebuilding phases. recovery assistance.
Failed states are often unable to provide effective Lack of an effective central government and
strategic crisis management planning or response, the presence of multiple crisis relief and recovery
 Failover 393

organizations often results in numerous difficul- of future local- and state-level crisis management
ties that plague international aid management. planning as well as crisis mitigation and response.
The absence of centralized management over-
sight, effective leadership, or intergovernmental Marcella Bush Trevino
or agency coordination, coupled with the presence Barry University
of multiple administrations, is one of the most
critical of these problems. The international aid See Also: Brain Drain; Foreign Policy Crises;
community lacks a single administration respon- Peacekeeping; Vulnerability; Vulnerable Populations.
sible for establishing central objectives and coor-
dinating and providing oversight for aid efforts. Further Readings
International crisis management efforts can also Acemoglu, Daron and James A. Robinson. Why
be hampered by inadequate training or shortages Nations Fail. New York: Crown, 2012.
of qualified personnel, high turnover rates, lack of Collier, Paul. The Bottom Billion: Why the Poorest
sufficient local knowledge, environmental safety Countries Are Failing and What Can Be Done
or personal security issues, and waning long-term About It. New York: Oxford University Press, 2007.
commitment of donors and resources. Ghani, Ashraf and Clare Lockhart. Fixing Failed
Often, aid organizations establish their own States: A Framework for Rebuilding a Fractured
political administrations that operate in addition World. New York: Oxford University Press, 2008.
to existing or developing state institutions. A pro- Gilpin, Dawn R. and Priscilla J. Murphy. Crisis
visional administration sanctioned by the United Management in a Complex World. New York:
Nations or other international relief agency may Oxford University Press, 2008.
also be present. When international aid organi- Kleppich, Jurgen-Michael. Failed Help? International
zations operate independently from, rather than Assistance and Crisis Management in “Failed
in support of, state administrations, those state States” on the Example of Somalia. Saarbrücken,
administrations can be further weakened and less Germany: AV Akademikerverlag, 2012.
able to respond effectively to present and future North Atlantic Treaty Organization (NATO).
crises. New state governments determined by “Managing Crisis.” NATO Review (Winter 2002).
internationally observed democratic general elec- http://www.nato.int/docu/review/pdf/i4_en_review
tions do not always result in the effective state .pdf (Accessed September 2012).
government control and resolution of conflict Rothberg, Robert I. Why States Fail: Causes and
needed for effective crisis management. Local Consequences. Princeton, NJ: Princeton University
militias, mafias, guerrilla movements, or other Press, 2004.
armed groups often arise in the face of a weak
or failed central government. Unequal and incon-
sistent resource allocation, poorly managed and
inconsistent relief efforts, and relief and recov-
ery efforts that do not align with the most urgent Failover
national needs can also result, especially within
the short term. During times of a realized crisis, business opera-
One of the first goals is the assurance of the tions may find themselves in a position where they
safety of the failed state’s population. Although must execute a failover scenario. At that time, a
the intervention of foreign forces often provides failover can occur from a technical standpoint,
short-term governmental agency and security meaning systems, certain servers, or complete data
forces, the development of effective long-term centers need to move to a secondary or backup
local and state government mechanisms and setup, or from a geographical and/or personnel
national security forces is vital for long-term standpoint, meaning operations must be moved
security. A failure to develop local institutional to an alternate local or international location,
capacities can threaten long-term future stability depending on the circumstances of the crisis,
and sustainability. Long-term state governance availability of critical operations personnel, and
and national security will aid the development its level of severity. Many business leaders today
394 Failover

view failover plans as a critical component for the into play. HA works by linking several machines
future viability of a business not only to continue together so that the failure of one computer brings
key operations but also to sustain themselves after another online—the users see no difference. The
the incident is over and the recovery stage begins. applications run on the servers, but the data are
It is unfortunate that many businesses have ceased stored on the network, thus adding more protec-
to exist for no other reason than they did not form tion to the environment. When any single server
robust failover plans for their information technol- fails, users are redirected to other servers while the
ogy (IT) infrastructure, nor for their personnel and failed server is repaired or replaced and brought
physical locations, and a real crisis did come their back online. In any event, a technical failover,
way with no way to recover from it. from single system failure to complete data center
shutdowns, can take place with minimal impact.
Failover From a Technical Perspective
For many businesses and government agencies Physical Site Failover and Personnel Elements
today, a complete system failure is considered a The most common viewpoint of a failover is from
high-impact disaster, so IT departments or con- a technical perspective, with servers, networks,
tracted partners are turning to solid preparations phone systems, and data centers. But there are
and updated technology to ensure that during additional nontechnical elements in regard to the
times of crisis, systems appear to continue to be availability of a physical site or workplace, as
operational, even if there are immediate failures well as in the event of suddenly having a severely
in a data center environment. reduced staff, or no staff at all, to continue opera-
Traditionally, a computer server breakdown tional capability at that workplace. Site and per-
used to mean widespread panic and a scramble sonnel failover strategies and responses come in
to find backup tapes and a spare server to restore many shapes and forms, and they all depend on
information. Inevitably, this meant the opera- whether the crisis is isolated to a single site or
tions of the business would be interrupted, people multiple sites in a campus environment, or if the
would become frustrated over not having access, crisis is a regional one widespread across an area
and even a loss of data could occur. Recovering that affects multiple businesses and/or govern-
from a backup could take hours; even planned ment operations, and also reverberates a negative
maintenance can take the server down during effect on personal life safety at home.
business hours, leaving teams unable to work. But Site failover can consist of several options, with
with more advanced technology available, mov- plans in place for an alternate worksite location(s)
ing from one system to another has become rea- so that the operation has a single or multiple set of
sonably automatic, and in cases where an entire locations that meet the requirements to continue
data center failure occurs, a redundant data cen- working in the event that the main location is no
ter is ready to ensure that interruptions are very longer accessible. Other site failover strategies can
minimal in nature or not even detectable to the include a mobile worksite, which is a specialized
average system user at an organization. set of custom-designed mobile trailers equipped
Some ways of providing technical failover are with all of the necessary infrastructure, such as
either with a fault-tolerant machine with dupli- workstations, kitchen facilities, restrooms, print-
cate hardware or with a high-availability (HA) ers, faxes, Internet access, and other office-related
architecture. The duplicate hardware in a redun- supplies. In all cases, certain considerations must
dant architecture works as a “copy” of the main be made with respect to physical security mecha-
system, so in the event that the main system nisms, heating and cooling, adequate power sup-
does fail, the redundant machine takes over and ply, personal needs of the staff, and access to per-
becomes primary until repairs are made to the tinent information and documents.
primary server. Some larger corporations, or ones Sometimes a regional disaster, such as a flood,
that host extremely sensitive data, have sought hurricane, pandemic, or earthquake, can affect an
additional layers of security and assurance that a area to the point where alternate work locations
system failure will not stop operational capabil- are not a viable solution, and the staff is affected
ity, and this is where the HA architecture comes in a way that they are not available to report for
 Failover 395

work. In this instance, a site and personnel failover to the public or the overall financial impact of
can take place. Some companies and government having the business operation halted for a period
agencies have available secondary workforce of time. Investments today in the overall plan-
capabilities located in different regions nation- ning, available physical site and technical infra-
ally, or internationally, where a trained workforce structure, cross-training of personnel, and testing
can address critical-only functions as additional of all capabilities range broadly in the private
workload until such time when the regular work- business and government sectors, with careful
force can return and the functions can then be considerations made to balance the efforts and
failed back. This takes careful planning to ensure costs of readiness.
proper system access, function knowledge via
cross-training of personnel, and identifying which Plans for Strengthening Business Resiliency
functions are critical and must continue. There is much discussion today in regard to failover
and how that relates to a more resilient business
Failover Activation Considerations or government operation. Failover, though one of
As plans are put in place to have a significantly many aspects of overall resiliency, is considered
strong failover capability, one must consider how a key element in the assurance that a business or
to activate that capability, at what level it is to government agency can continue functioning dur-
be activated and the overall process of invoking ing and after a crisis, and many business continu-
a failover strategy. There is a very fine line that ity and emergency managers are striving to inte-
must be drawn with respect to the timing of invok- grate failover processes into the overall readiness
ing a failover at the right time, or there could be strategy as one of their main goals.
impacts to the business or government operation To accomplish this goal, many companies and
if the failover is invoked too slowly or beyond its government agencies are developing all-encom-
proper threshold. A premature activation of a site passing, cross-functional programs to maintain
or personnel failover can be very costly, bring con- continuous business operations and access to crit-
fusion and potential panic internally, create undue ical business data, while managing and predicting
media exposure, and affect overall reputation and costs to achieve and maintain a highly ready state.
professionalism as viewed by the public eye. The ability to blend solutions to accommodate
Technical failover, on the other hand, is a fairly the most critical business processes and applica-
black-and-white scenario, especially since modern tions during a failover scenario is a trademark of
technology causes a server failover to invoke the a resilient company.
process to the available other servers automati- Because business strategy is the formed road-
cally and notifies IT teams via system messaging map for achieving its goals, failover strategy must
or network device monitoring alarms. But when a also be integrated into the overall business culture
complete data center needs to fail over to a second- to ensure that it works in harmony with the goals
ary, backup, or disaster recovery center, this does of the business and not be intrusive, but rather be
require careful planning and execution to ensure viewed as productive. One of the main targets of
minimal data loss and downtime, and that the failover planning is that it is such a strong part
secondary data center has all capabilities up and of overall preparedness that the actions within
running in a timely manner. IT departments today it are systematic, rather than impulsive or even
dedicate a tremendous amount of time to this area, frantic. As with any strategy, it must be under a
and most exercise their capability on an annual form of governance to be monitored, enforced,
basis to ensure staff and capability readiness. and reviewed on a regular basis.
From a cost perspective, site and personnel Three best practice points will differentiate a
failovers are expensive in nature, mostly due to good failover plan to a resilient culture-driven
the cost of logistics that stem from moving a com- operation: exercise and test, awareness and
plete business or government operation from one education, and communications. All technical
facility to another in a very short period of time, and business mitigation solutions must be vali-
sometimes as quickly as within a single business dated and tested. Exercise strategy helps protect
day, depending on how critical the functions are the organization’s investment because without
396 Famine

periodic exercising, the effectiveness of the plan See Also: Alternate Site, Corporate; Backup Facility;
can quickly erode. Plans should be exercised Backup Media; Backup Strategy; Buildings; Business
regularly, commensurate with their importance Continuity Management; Business Continuity
to the company, and at least annually. Different Planning; Business Resumption Planning; Critical
types of exercises can be employed to ensure all Applications; Critical Business Functions; Data
facets of the plan and the solution are validated Mirroring; Data Recovery; Disaster Recovery;
with respect to system and site failover. These Emergency Management, Principles of; Incident
can include tabletop or walk-through discussions Management; Operational Plans; Resiliency; Risk
for plan execution, or simulation through active Assessment; Sustainability.
participation to enable the process or technology
external to the production environment, includ- Further Readings
ing full failover by switching from the production Blyth, Michael. Business Continuity Management:
environment and operating from an alternate site. Building an Effective Incident Management Plan.
Education and training of personnel in special, Hoboken, NJ: John Wiley & Sons, 2009.
critical, and multiple roles plays a significant part Hiles, Andrew. The Definitive Handbook of Business
in the success of the failover plan execution and Continuity Management. 3rd ed. Hoboken, NJ:
may influence the time required to execute tasks. John Wiley & Sons, 2010.
An awareness and education strategy helps ensure Roebuck, Kevin. Failover. Brisbane, Australia:
all employees are aware of the plan in general, not Emereo, 2011.
just those who participate in a failover regularly.
Pandemic preparedness is a good example of
using awareness programs to educate personnel
on simple techniques to maintain their health and
the health of their family members to mitigate the Famine
risk of high employee absenteeism predicted dur-
ing a major flu outbreak, which would invoke the Crisis management of famine is best understood
personnel failover plan. within a wider context than merely focusing on
Communicating during a crisis is probably the the final event called “famine.” An appreciation
single most import aspect of a failover strategy. of this subject also requires some insight into
The key is maintaining current, accurate com- decision-making processes and structures and
munication lists for both internal and external interactions within a particular context such as
contacts, written scripts for internal and external region, nation, or locality. Indeed, studies have
communications, and company fact sheets, and indicated that famine is often a product of mul-
ensuring employees are versed in public relations, tiple failures at various levels of governance or
legal response, and insurance. The communica- society. Indeed, doing justice to this discussion
tion plan should include contingencies for the requires an exploration of a series of issues that
loss or major degradation of standard access for lead to the point in time when catastrophic events
both voice and data networks to ensure that mes- descend into a crisis.
sages are being received during a failover situa-
tion. Reliance on the Internet and intranets can Are Famine Crises Unavoidable?
be affected, so contingencies that include out-of- A large body of evidence has indicated that fam-
region service providers still prevail in some cases. ine as a crisis principally results from poor pol-
Having failover plans in place, exercising and icy, decision making, and planning. Interestingly,
testing them, and overall readiness through educa- when famine strikes a region, the media portrayal
tion and communication contribute greatly to the of the crisis tends to be strikingly dramatic, as
overall resilience strategy and can bring a sense of though the causes of a famine are entirely unfore-
comfort, assurance, and strength in times of crisis. seen. Because appeals for donations tend to be
extremely urgent and often accompanied by
Michael Tedrow heightened sensitivities, any appearance of critical
Independent Scholar and sometimes perfectly rational voices probing
 Famine 397

In July 2011, 40-year-old Halima Bare attempts to find shade in Elado village in the Wajir District of northern Kenya, one of the
regions hardest hit by ongoing drought. Halima walked 31 miles with her seven children to Elado after the drought killed most of their
livestock. In Elado, they have one meal a day, which she shares with her children, taking the remnants. By July, 12 million people in east
Africa—Somalia, Ethiopia, and Kenya—were struggling to find food or drink following the worst drought in 60 years.

questions into causation of the crisis are often sufficiently utilized and harnessed for national
silenced and dismissed. Yet there are facts about strategic crisis and emergency management plan-
famine and crisis management that have been ning. Opportunities brought about by technologi-
learned through history, research, and experience cal advances have, in a significant number of cases
that justify such critical perspectives and can offer in the developing world, not been matched with
valuable reflection and lessons for the future. corresponding national crisis management strate-
Preparedness is an important aspect to effec- gies and mechanisms. A good example to illus-
tive crisis management in regard to famine. In trate this lack of preparedness can be found in, for
the aftermath of satellite technologies and indeed example, the case of Ethiopia where, despite the
following, for example, Landsat missions since availability of historical crisis data and a pattern
the 1970s and others like them, there have been of recurring famines, the country is chronically
advances in the understanding of drought, for underprepared for famine crisis management. Yet
example, and famine in general. There has also Ethiopia has, over at least two millennia, gathered
been a marked increase in the type and quality of a wealth of information relating to famine crisis.
information and historical data that can be uti- The story and history of Ethiopia is punctuated
lized as a baseline for planning within the man- with droughts and famines. Thus, it would seem
agement of crisis systems. Unfortunately, such perfectly plausible to suggest that against this his-
invaluable information seems not to have been tory, both locals and the government in Ethiopia
398 Famine

would be familiar with the risks and vulnerabili- are strained to their limit, they will show signs
ties facing them. Indeed, during the intervening of tear and wear and general collapse by being
time between the 16th and the 20th centuries, ineffective in serving the people. A trained crisis
two notorious famines or droughts struck Ethio- manager, management team, government author-
pia, leading to the coining of the words kifuken ity, and community can in many cases identify a
and kwachine and these words being added to the point where the strain between traditional coping
Ethiopian vocabulary. The use of the two words mechanisms gives way to famine. Prior to famine
conveys within the Ethiopian tradition a sense of taking a foothold, affected people will go through
extreme notoriety of the crisis. stages of utilizing a range of personal resources
Studies of droughts and famine crises have led they might have, including utilizing their social
to espousing particular approaches to farming networks, selling some animals, selling nones-
and subsistence agriculture, in particular. Spo- sential items, and, in the later stages of the crisis
radic efforts by nongovernmental organizations selling essential items. When personal alterna-
(NGOs) and agencies have led to institutional tives and resources are exhausted and possible
learning whereby some farming practices are safety nets are not readily available, the migra-
being advocated over others as alternatives for tion to seek other sources of livelihood, in urban
traditional ones. In parts of Ethiopia, for exam- areas for example, begins. Before this time, effec-
ple, some subsistence farmers have traditionally tive and trained crisis teams should have acted at
kept large farm animals such as cattle. But as cri- multiple levels, supported by existing crisis man-
sis becomes a recurrent event, there is a growing agement plans, monitoring of markets, coherent
acceptance that land carrying capacity (the extent transport and health infrastructure, and the nec-
to which land can be exploited without adversely essary technical know-how to monitor and evalu-
affecting it) for large animals is under extreme ate the prevailing situation before it develops into
pressure during droughts, so new practices are an emergency.
emerging. Faced with dwindling animal feeds dur-
ing droughts, subsistence farmers rearing shoats Decision Making, Policy, and Famine
(smaller farm animals) will need comparatively Poorly configured crisis management mecha-
smaller amounts of feed to manage than they nisms—or lack of them—can adversely contribute
would for larger animals. toward the escalation of a famine crisis. Between
1845 and 1851, one of the worst famines in the
Training as a Crisis Management Strategy history of Ireland claimed the lives of approxi-
Training and resource development is another mately 1.5 million people. The escalation of this
important aspect for managing a famine crisis. crisis and subsequent famine has been attributed
Understanding crisis alone is insufficient unless to the British colonial powers and indifference
the right resources are made available at strategic, in designing effective and timely crisis plans and
operational, and community levels to minimize actions for dealing with the situation. Potato blight
the worst excesses of a crisis. Effective manage- affected yields, which dwindled for three consecu-
ment for famine must entail engaging in a con- tive years in Ireland. Famine followed, and lack of
tinual process of scanning the “horizon of the cri- food meant that people were extremely weak and
sis-prone regions” and developing the knowledge unable to even accept some jobs that were eventu-
and skills for dealing with potential and prevalent ally offered as alternative sources of livelihood for
risks. Crisis in the context of famine is perhaps famine-affected people. Nearly a hundred years
analogous to signs and symptoms of an under- later, a similar situation repeated itself in Bangla-
lying illness that too often only a trained crisis desh in 1943. The Gulf of Bengal had been known
management team and community can assess, as “the rice bowl of India.” During the period of
then take timely remedial action. Locals, particu- World War II, a severe cyclone hit the country at
larly in famine crisis–prone areas, will normally a time when farming activities in the country had
or traditionally have some form of crisis coping been severely affected by the war. Instead of man-
mechanisms and strategies. However, when these aging the crisis effectively, Britain continued to
traditional strategies and coping mechanisms export food out of Bengal, just as had it been done
 Famine 399

about 100 years earlier in Ireland. Of course, in Marketing Corporation (ADMARC), a Malawi
the case of Bengal it must be stated that the coin- government institution, had historically played a
cidence of events, the cyclone, and World War II key role in buying excess grain harvest from local
contributed to the poor crisis management. people, who are mostly subsistence farmers, and
selling it back to the people at affordable prices
Global Institutions when food was scarce. Although the food cri-
In addition to the above, global institutions sis was aggravated in part by flooding that was
occupy a very critical role where their influence immediately followed by drought, the IMF and
and efforts are appropriately channeled. It cannot World Bank have been widely criticized through
be disputed, for instance, how the efforts of orga- claims that the institutions exerted pressure on
nizations such as the Food and Agricultural Orga- the Malawi government in relation to the Struc-
nization (FAO) and the World Food Programme tural Adjustment Programme (SAP) debt repay-
can help mitigate and respond to crisis. Similarly, ments and liberalization and the government use
economic institutions such as the World Bank and of food reserves. This significantly contributed to
the International Monetary Fund (IMF) can make the food shortages in Malawi in 2002. It would
a positive contribution. However, in certain cases seem that the famine in Malawi could have been
some critics have argued that some decisions by averted by informed decision-making-founded
global institutions have proven ineffective in crisis research both vertically and horizontally, under-
management. In 2002, for example, Malawi (one standing thoroughly the relationships between
of the poorest countries in the world) experienced different structures and processes. Knowledge
one of the most critical food crises that the coun- and information gaps and communication ineffi-
try had ever faced. The World Food Programme ciencies at both international and national levels
was extremely effective in responding to the cri- and inability to build capacities and robust crisis
sis. However, the case of the Malawi famine raises management structures and governance can ren-
many issues for crisis management. Despite spo- der a crisis unmanageable.
radic food shortages, recent history indicates that Perhaps most important, national institutions
Malawi had largely averted extreme food short- need to be confident of support from vertical
ages and was relatively food sufficient. Prior to powers by international institutions in apprecia-
2002, and apart from the famine of 1949, Malawi tion of national contexts and the help required by
had not seriously faced extreme food shortages. states to have effective crisis management plans,
Since gaining independence from Britain in 1964, robust communication processes, and informa-
the country continued on its course to strengthen tion systems that are managed by trained staff
its focus on food security. This commitment to and volunteers.
agriculture and food security was underlined by
the importance and high standing attributed to Martin Nthakomwa
the Ministry of Agriculture within the Malawi Coventry University
government cabinet. Despite Malawi’s imbal-
anced acreage of land allocated to tobacco farm- See Also: Carrying Capacity; Drought; Food
ing over food crops, there was sufficient evidence Security; Global Food Crisis; Refugees and Forced
to underline Malawi’s commitment to food secu- Migration.
rity and self-sufficiency. Food security approaches
were actively pursued by the Malawi government Further Readings
prior to the food shortages of 2002, and this strat- AMREF. “Wajir: Bearing the Brunt of the Drought in
egy also included providing government subsidies Northern Kenya.” (July 29, 2011). http://www
to subsistence farmers for agricultural inputs. .amref.org/news/wajir--bearing-the-brunt-of-the
In further strengthening its food security, a few -drought-in-northern-kenya (Accessed August
years earlier the government of Malawi had also 2012).
built grain banks (reserves) and stocked them to Cribb, Julian. The Coming Famine: The Global Food
act as a safety net in the event of severe food cri- Crisis and What We Can Do to Avoid It. Berkeley:
sis. Indeed, the Agricultural Development and University of California, 2010.
400 Federal Bureau of Investigation (FBI)

Food and Agriculture Organization of the United agents, 21,886 of them were support personnel
Nations. http://www.fao.org (Accessed June 2012). (professional staff), such as intelligence analysts,
Mortimore, Michael. Adapting to Drought: Farmers, scientists, information technology specialists, lan-
Famines and Desertification in West Africa. guage specialists, and other professional support
Cambridge: Cambridge University Press, 2009. personnel. The FBI special agents make arrests,
Oxfam Education. “Dealing With Disasters carry firearms, and serve warrants.
Assembly.” http://www.oxfam.org.uk/education
/resources/dealing_disasters/files/assembly_intro Investigation and Intelligence
duction.pdf (Accessed August 2012). The agency is an operational (mainly investiga-
tion) enforcement agency as well as an intelli-
gence agency. The FBI has two primary missions:
investigation and intelligence. Its particular mis-
sion is to fight against terrorism and foreign intel-
Federal Bureau of ligence. The FBI collects, shares, and analyzes
intelligence to back its own and also its partners’
Investigation (FBI) investigations.
The FBI investigates and prevents interna-
The Federal Bureau of Investigation (FBI) is one of tional and domestic terrorist activities. The FBI
the main actors that respond to crisis situations in is the lead federal law enforcement organiza-
the United States. Hence, it is important to know tion to investigate cases relevant to weapons of
its organization, mission, tasks, and operations. mass destruction, including nuclear weapons and
The FBI is a federal law enforcement agency. It is radiological, chemical, or biological agents. Crisis
one of many federal organizations tasked with law managers outside law enforcement may request
enforcement. The FBI was founded as the Bureau the assistance of the FBI. For example, the FBI
of Investigation in 1908 by executive order of Pres- Weapons of Mass Destruction Countermeasures
ident Theodore Roosevelt. Its name was changed Unit (WMDCU) has exercises on weapons of
in 1935. The head of the FBI is the director, who is mass destruction (WMD). Those exercises meet
appointed by the president and confirmed by the the specific needs of crisis managers, who may ask
Senate. The FBI director is appointed for a maxi- for the assistance of the FBI on WMD. In addi-
mum of 10 years and answers to the attorney gen- tion, the FBI Crisis Management Unit (CMU)
eral. Congress oversees the FBI’s budget appropri- provides comprehensive crisis management train-
ations, programs, and chosen investigations. The ing to federal, state, and local agencies. The CMU
director of national intelligence oversees the FBI’s also conducts research in the field of crisis man-
intelligence activities. agement, particularly information techniques and
The FBI headquarters is in Washington, D.C. new crisis management procedures.
The FBI has 56 field offices that are located in Terrorism-related incidents such as money
major cities of the United States. Furthermore, the laundering, violence at airports, and assaults
FBI has smaller FBI field agencies in various cit- against U.S. officials are also investigated by the
ies and towns nationwide. The smaller FBI field FBI. Although bombing incidents are under the
agencies are called resident agencies, and there jurisdiction of the Bureau of Alcohol, Tobacco,
are roughly 380 resident agencies in the country. Firearms and Explosives (ATF), the FBI conducts
Moreover, FBI international offices exist in U.S. collaborative investigations with the ATF. In drug
embassies throughout the world. The FBI interna- trafficking incidents, the FBI conducts investiga-
tional offices are called legal attachés, and there tions together with the Drug Enforcement Admin-
are more than 60 legal attachés (liaison offices) in istration (DEA). While prosecuting drug traffick-
the world. ing cases, the assets of the criminal enterprise are
Special agents for the FBI are trained at the FBI seized in order to eradicate the whole criminal
Academy in Quantico, Virginia, for 20 weeks. The organization.
FBI had a total of 35,664 personnel as of Febru- Private sectors help facilitate the FBI’s work
ary 2012. Although 13,778 of them were special in tracking down terrorists and criminal and the
 Federal Bureau of Investigation (FBI) 401

FBI works with private-sector organizations to enforcement agencies. The FBI National Academy
prevent physical and electronic attacks and intru- provides training to mid-level international, local,
sions. The Domestic Security Alliance Council and state police officers. It is believed that this
(DSAC) was created as a partnership between the training program increases cooperation between
private sector and the FBI to enhance the effec- local law enforcement agencies and the FBI. The
tiveness of information exchange. InfraGard, FBI special agents sometimes work together with
another partnership in which private organiza- officers of state, local, and other law enforcement
tions share intelligence and information such as agencies on task forces created to fight terrorism,
expertise and strategies with the FBI, has more narcotics, organized crime, gangs, kidnapping,
than 30,000 members from the private sector. FBI bank robberies, and motor vehicle theft.
agents who work for the InfraGard program con- The agency also works through federal pros-
tribute invaluable information and news such as ecutors. FBI special agents take an individual
case studies, threat alerts and warnings, overall arrested by the FBI into custody until the first
threat assessments, and vulnerabilities. court appearance. The arrestee is photographed
Federal law authorizes the FBI to investigate and fingerprinted, and his/her voluntary state-
all federal crimes that are not in the investiga- ment is taken while in custody. The FBI takes
tive jurisdiction of another federal law enforce- intelligence on a confidential basis from the infor-
ment agency. The FBI investigates major and mants who are not FBI employees. Informants
complex criminal incidents that any local and may be paid compensation.
state law enforcement agency may not deal with The FBI Critical Incident Response Group
alone. The FBI investigates major crimes such (CIRG) gives prompt expert assistance to cases in
as cyber crime, public corruption, violations of a crisis, such as crisis management, the abduction
civil rights (such as hate crimes or human traf- or mysterious disappearance of children, hostage
ficking), organized crime, white-collar crime, negotiation, special weapons and tactics, and
violent crimes (such as bank robbery, art theft, criminal investigative analysis. The CIRG also
and crimes against children), and major thefts. supports FBI undercover personnel’s appraisal,
Two hundred violation categories of federal law selection, and training processes.
allocate a duty to the FBI to investigate the crim- The FBI keeps statistics on criminal incidents
inal cases. committed in the United States. The Uniform
The FBI assists federal, state, local, and inter- Crime Reporting (UCR) program was created by
national law enforcement agencies. For instance, the FBI to collect information on crimes reported
the FBI supports other law enforcement orga- to law enforcement organizations. The main
nizations by providing various services such as crime categories are forcible rape, murder, rob-
laboratory examinations, fingerprint identifica- bery, burglary, aggravated assault, arson, larceny-
tion, and police training. Scientific examinations theft, motor vehicle theft, and hate crimes.
of evidence are conducted by the FBI laboratory
for all federal, state, and local law enforcement Sinan Ulkemen
agencies in the United States at no cost. The FBI University of North Texas
shares identification and criminal history infor-
mation with federal, state, and local law enforce- See Also: Cyber Crime; Hostage Taking and
ment organizations. If a person is wanted by a Negotiation; Terrorism; Weapons Trafficking.
local police department for committing a crime,
the wanted person’s name and identifying infor- Further Readings
mation are also entered into the computerized Federal Bureau of Investigation. http://www.fbi.gov
database (National Crime Information Center), (Accessed April 2012).
which is accessible to all law enforcement orga- Federal Bureau of Investigation (FBI). “The FBI: A
nizations throughout the United States; his or her Centennial History 1908–2008.” http://www.fbi
fugitive status will be seen by any law enforce- .gov/about-us/history/a-centennial-history/the-fbi
ment agency during an inquiry. The FBI trains -a-centennial-history-1908–2008 (Accessed April
some qualified officers from state and local law 2012).
402 Federal Emergency Management Agency (FEMA)

Reebel, Patrick A. Federal Bureau of Investigation: communications equipment used in relief efforts
Current Issues and Background. Huntington, NY: for a major flood can and should also be used in
Nova Science Publishers, 2002. responses to a domestic terrorist attack. Although
Ricciuti, Edward R. Federal Bureau of Investigation. the specific issues that need to be address in pre-
New York: Chelsea House Publishers, 2011. paredness or response to different disasters may
Walker, Samuel and Charles M. Katz. The Police in vary, basic needs and approaches like good com-
America: An Introduction. New York: McGraw- munication are universal and should be applied to
Hill, 2005. all disaster responses.
Although the term FEMA is generally used to
refer to federal-level government response, the
agency is also organized to account for and assist
with preparedness and response efforts at the state,
Federal Emergency tribal, and local levels. Through FEMA’s encour-
agement, training, and planning for communi-
Management Agency cation and cooperation across agencies in these
(FEMA) different levels of government, as well as among
nongovernmental and private organizations, cri-
The Federal Emergency Management Agency sis managers are ready to offer assistance to other
(FEMA) is an agency of the U.S. government areas as needed and to accept help when their own
responsible for disaster mitigation, preparedness, areas are affected by disasters of any type.
relief, and recovery. FEMA describes its role as
consisting of a variety of different components: Four Stages of Disaster
providing service to disaster victims, integrated Disasters have four phases in FEMA’s approach:
preparedness, operational planning and prepared- mitigation, preparedness, response, and recovery.
ness, incident management, disaster logistics, Mitigation efforts are those steps taken to reduce
hazard mitigation, emergency communications, the effects a disaster will have on an area or the
public disaster communications, and continu- likelihood that a hazard will ever hit an area at
ity programs. An independent agency beginning all, for example, the construction of levees to
in 1979, FEMA became part of the then newly reduce the chance of a flood affecting an area or
formed Department of Homeland Security (DHS) to reduce the amount of water that would enter
in 2003. Several documents and pieces of legisla- a space during a flood. Preparedness efforts are
tion cover how FEMA is organized and operates, those efforts made to actively prepare for an
including the Robert T. Stafford Disaster Relief upcoming disaster, for example, predicting a haz-
and Emergency Assistance Act (Stafford Act, an ard and where it will strike, issuing evacuation
amendment to the Disaster Relief Act of 1974), orders, and opening shelters. Response efforts
the Homeland Security Act of 2002, and the Post- occur during and just after a disaster, for example,
Katrina Emergency Management Reform Act emergency rescues and the distribution of food
(PKEMRA or the Post-Katrina Act). and water. Finally, recovery efforts are long-term
FEMA follows an all-hazards approach, focus- efforts to rebuild after a disaster in an attempt to
ing on preparedness and response to all types of return things to as normal a situation as possible,
hazards, including natural, human-made, and for example, the reconstruction of schools and
attack. Natural hazards are naturally occurring businesses or the repaving of damaged roads. All
events, such as tornadoes, that may threaten a of these are steps that crisis managers should be
population. Human-made hazards are events involved in, according to FEMA’s own literature
like chemical or oil spills. Attack hazards include and training manuals.
events such as terrorist attacks. FEMA is organized FEMA relies on response at different levels of
to respond to any of these types of disasters at any government. Residents of the impacted area are
time. Efforts to mitigate, prepare for, or respond their own first line of responders, and FEMA’s
to each of these types of disasters can often be organization begins with the idea that these indi-
used during other types of disasters. For example, viduals and families have a certain amount of basic
 Federal Emergency Management Agency (FEMA) 403

Case Study: FEMA and Crisis Management in Hurricane Katrina

Focusing specifically on the Federal Emergency Miami and killed at least six people. When Katrina
Management Agency’s (FEMA) role in crisis finished crossing Florida, it hit the warmer waters
management, the following case study of Hurricane of the Gulf of Mexico and began to grow in size and
Katrina (hereafter “Katrina”) examines the storm’s strength. As the storm approached the Louisiana and
effects on U.S. states. It does not address the Mississippi Gulf Coast, the number of delays and
storm’s effects on the Bahamas. To narrow this problems with evacuation efforts quickly mounted.
discussion further, this case study looks primarily FEMA did have evacuation guidelines in place, but
at the situation in New Orleans and does not deal crisis management efforts ultimately failed, as these
with FEMA’s role in other affected areas like Florida, guidelines do not seem to have been followed at the
Alabama, and Mississippi. Problems emerged with local level by leaders like Mayor Ray Nagin. This was
FEMA’s crisis management and response to Katrina. further complicated by the fact that when evacuation
Some of the effects of such problems were made orders were implemented, not all residents did or
public with extensive media coverage of the events could evacuate. Not enough transportation was
in New Orleans following the storm’s landfall. organized to evacuate vulnerable residents who
Accusations of problems in FEMA’s response efforts wanted to leave the city (particularly the poor, racial
in all four phases of a disaster emerged from media, and ethnic minorities, and the elderly), leaving them
academic, expert, and public circles. Understanding to shelter-in-place or to make their way to shelters of
both what went wrong and what worked in prior last resort. Local and other government leaders and
disasters and examples of crisis management allows crisis managers do not seem to have been prepared
managers to be better prepared for future crises. to take vulnerable populations into account and to
FEMA’s mitigation phase of disasters includes deal with their special needs, such as the lack of
efforts to protect areas and populations from transportation or funds to evacuate.
potential hazards. The threat of a hurricane hitting
New Orleans was nothing new to crisis managers. Problems Mount
For years, problems had been developing with the The storm made landfall on the Louisiana and
levee system that below-sea-level New Orleans Mississippi coastline on August 29. It was during
relied on for protection and had been discussed by and immediately after the storm, the response
various experts. More specifically related to FEMA, phase, that many of the widely publicized problems
these mitigation efforts also included training for with FEMA’s crisis management surfaced. Federal
the scenario of a significant hurricane hitting New assistance was seen by many as slow to respond.
Orleans. The development of the Hurricane Pam While some responders were on the ground in the
training exercises (also known as the Southeast affected areas soon after the storm, distributing
Louisiana Catastrophic Hurricane Plan) was a what aid they could, problems in crisis management
success for crisis managers in FEMA’s mitigation quickly emerged. Not enough resources were on
efforts. However, the implementation of the hand for distribution, with the amounts of ice,
exercise and steps taken to improve mitigation after water, and food seen as necessary in planning for
the exercise were less successful at various levels such an event with exercises like Hurricane Pam
of government. This lack of preparation based on far higher than what had actually made it to staging
such mitigation efforts made them largely a failure, areas. This lack of resources was complicated by
setting the stage for future problems. public and media discussion of which resources
should be available, where they were or should be
Local Problems Thwart FEMA’s Efforts distributed, and who was eligible to receive them.
Without fully realized mitigation efforts, problems Communication problems emerged at and
quickly emerged in the preparedness phase. Katrina between different levels of government as people
struck Florida as a Category 1 storm on August who needed to make important decisions did not
26, 2005. The storm made landfall just north of (Continued)
404 Federal Emergency Management Agency (FEMA)

(Continued) needed at all phases of Hurricane Katrina response

always have the information they needed to do so. in New Orleans, and in other areas, for effective
And there was a lack of resources, mostly vehicles crisis management. Crisis managers must be aware
like buses, to evacuate the residents who had ridden of potential problems such as a lack of response by
out the storm in the city and its emergency shelters local leaders and unprepared vulnerable populations
(many of whom were part of vulnerable populations). in order to be able to effectively manage crises and
Better resources and communication were clearly help residents who need assistance.

resources to initiate response efforts themselves. and how FEMA should address these issues. The
Next is the local level of emergency response, aftermath of such review post-Katrina was a new
wherein cities and counties have their own emer- public law, the Post-Katrina Emergency Manage-
gency response and management systems in place ment Reform Act, in 2006. The Post-Katrina Act
to aid citizens. Tribes and states are, in turn, in directed FEMA to create a National Prepared-
charge of response when local governments are ness System for response to all types of disasters,
unable to provide enough resources or manpower including natural, human-made, and attack.
to deal with a disaster. At these lower levels of gov- The Post-Katrina Act follows on a history of
ernment, agencies and officials generally cooperate FEMA’s efforts to encourage cooperation and
with other nearby governments and arrange for coordination among various levels of govern-
assistance in times of emergency as needed. Such ment, nongovernmental organizations, and the
agreements are usually made well in advance of private sector. Such cooperation and coordina-
crises. Finally, there is the federal level of response, tion are critical to effective crisis management.
which is used when lower levels of government Without cooperation and coordination in com-
cannot manage a crisis on their own. Crisis man- munication, resource distribution, planning, and
agers at each level should know their area, poten- other critical disaster mitigation, preparedness,
tial hazards that may affect it, and how they need response, and recovery efforts, crisis management
to interact with and ask for assistance from other does not work to the greatest benefit of everyone
governments they have prearranged agreements affected by disasters.
with or from higher levels of government.
Following the terrorist attacks of September 11, Jennifer Trivedi
2001, FEMA became part of the newly formed University of Iowa
Department of Homeland Security in 2003. This
marked a general shift in the government about See Also: Cabinet Office, UK; Department of
the focus of crisis management. Instead of focusing Homeland Security (DHS); Emergency Management
primarily on disaster response, much of the gov- Agencies, City and County; Stafford Act; State
ernment’s focus turned to terrorism preparedness. Emergency Management Agencies.
Over the years, FEMA has been criticized
at several points for failed crisis management Further Readings
efforts. In 1992, FEMA faced significant criticism Brinkley, Douglas. The Great Deluge: Hurricane
for its response to Hurricane Andrew. The agency Katrina, New Orleans, and the Mississippi Gulf
also was widely blamed for the significant prob- Coast. New York: William Morrow, 2006.
lems in disaster planning, emergency response, Burns, Linda A. FEMA (Federal Emergency
and crisis management that were made public by Management Agency): An Organization in the
nearly 24-hour news coverage during and after Crosshairs. New York: Novinka Books, 2007.
Hurricane Katrina in 2005. Following each such Cooper, Christopher and Robert Block. Disaster:
occurrence, government officials and agencies ini- Hurricane Katrina and the Failure of Homeland
tiated reviews to determine what had gone wrong Security. New York: Times Books, 2006.
 Financial Risk Management in Higher Education 405

Federal Emergency Management Agency (FEMA). education institutions. Instead, however, these
“FEMA: Prepared. Responsive. Committed.” exercises tend to stem from sudden or unexpected
FEMA B-635. Washington, DC: FEMA, 2008. needs to consider significant changes to the bud-
Federal Emergency Management Agency. “Guide for get and financial plan. The changes driving an
All-Hazard Emergency Operations Planning.” SLG increased focus on financial risk management are
101. http://www.fema.gov/pdf/plan/slg101.pdf usually higher level and strategic in nature, and
(Accessed March 2012). may have goals such as growth and institutional
Olejarski, A. M. and J. L. Garnett. “Coping With development (as in the case study), a refocus on
Katrina: Assessing Crisis Management Behaviours the organizational mission, and/or the mitigation
in the Big One.” Journal of Contingencies and or avoidance of major obstacles or issues facing
Crisis Management, v.18/1 (2010). the institution. The driving motivation aside,
U.S. Government Accountability Office (GAO). once financial risk management is made a prior-
“Emergency Preparedness: FEMA Faces ity for a higher education institution, the facili-
Challenges Integrating Community Preparedness tating processes and tools (technology) should be
Programs Into Its Strategic Approach.” Report (1) designed in a comprehensive manner, (2) built
to Congressional Requesters. GAO-10-19. to allow for dynamic modeling across multiple
Washington, DC: GAO, 2010. fiscal years, (3) flexible enough to adapt to a wide
range of ideas and potential modifications to cur-
rent financial plans, and (4) fully integrated with
current financial plans so that potential changes
in key financial metrics can be modeled.
Financial Risk Management Once the processes and tools for financial risk
management are put in place and the modeling
in Higher Education is performed, the results of the exercise must be
effectively summarized and appropriately com-
Why would a rational person decide to take on municated. Although elements of the approach to
a mortgage for a home that she or he cannot the summarization and reporting of results may
afford? Why would a rational decision maker vary greatly by institution, there are a few key
from a reputable financial institution provide a tenets that every institution should maintain. First,
mortgage to that person knowing that she or he graphics should be used to summarize the results.
cannot afford it? As demonstrated throughout the This is particularly helpful when dealing with
recent real estate boom in the United States, as large and complex financial data sets. Second, the
well as through the research of various behavioral results should show the potential financial impacts
economists, rational people make irrational deci- over a long-term period of time (preferably 10 or
sions, and oftentimes these decisions are based on more fiscal years), and third, the potential impacts
incomplete information. No person or institution should be compared against the current (baseline)
is immune to this tendency. Consequently, it is financial plan and external benchmarks over that
absolutely essential for both individuals and insti- same period of time. In terms of communicating
tutions ( that is, groups of individuals) to develop the results to the board and senior management
strong and scalable practices for managing finan- of the institution, the chief financial officer (CFO)
cial risk ( that is, the possibility of downturns that should coordinate and develop the communica-
could potentially lead to financial insolvency). In tion strategy with the executive leadership of the
the case of higher education, financial risk man- institution (for example, the president, executive
agement plays a key role in helping guide the deci- vice president, and provost).
sions of college and university leaders to ensure
the continued viability and positive societal con- Looking Ahead
tributions of their institutions. In the case study, the university’s integrated and
In an ideal world, financial risk management comprehensive approach to the financial risk
would be standardized and incorporated into reg- management exercise provided coherent and
ular budgeting and planning processes of higher empirical analysis to help guide leadership to
406 Financial Risk Management in Higher Education

Case Study: Financial Risk Management at a Large Private University

Recently, at a private university on the east should be on three key metrics: (1) liquidity
coast of the United States, large in size and well (defined as the university’s cash on hand and short-
established, university leadership and the board term investments that could be liquidated in 30
of trustees endeavored to perform a large-scale days or less), (2) debt (defined as the university’s
financial risk management exercise to strengthen long-term outstanding debt), and (3) leverage
and further develop this area as a cornerstone to (defined as the ratio of expendable financial
its comprehensive risk management practices. resources to debt). The impacts that the plan would
The university, for the most part, had emerged have on these three metrics would, as the CFO
from the financial crisis of 2008 without many explained, be key determinants of the university’s
lasting negative financial impacts. At this tuition- ongoing financial health. When taken together, the
driven institution, applications and enrollments metrics capture fluctuations in net income flows,
continued to rise, along with the academic quality demonstrate the institution’s ability to pay its
of the student body. Recognizing this as a unique debts, and project forward changes in assets and
opportunity and environment for growth, the liabilities. Consequently, these metrics also weigh
university’s top leaders and the board quickly heavily in assessments performed by the major
moved forward to develop a comprehensive debt-rating agencies.
strategic plan to accelerate growth in key areas
and disciplines. As the planning process evolved, Stress Tests and Mitigation Strategies
the university’s office of budget and financial Considering the heightened economic risks in the
planning was tasked with gathering, organizing, current environment in which the leaders of the
and projecting all of the foreseeable financial university were planning for future growth, various
impacts of the forward-looking, 20-year strategic “stress tests” were developed to dynamically
plan. The plan, which included both physical and demonstrate the financial impacts that might result
operational (programmatic) investments, needed to from minor, moderate, or severe financial stresses
be integrated with the university’s existing financial on the university. Using the same three metrics
plan. This meant that every potential financial for evaluation of the strategic plan (liquidity, debt,
impact needed to flow through the university’s and leverage), the office of budget and financial
existing 10-year financial model in order to show planning worked with the CFO to develop an
the incremental impact of any combination of the assortment of “stresses” (for example, reductions
strategic decisions being made. in planned revenue growth and greater-than-
planned increases in various categories of expense).
Method The same methodology for modeling the potential
A fairly simple, Microsoft Excel–based financial impacts of the strategic plan was employed for
model was built to (1) list each of the strategic testing these stresses. This enabled the planning
decisions being weighed, along with its estimated team to demonstrate the impacts of items from the
annual financial impact, (2) allow selection of any strategic plan alongside the impacts of the stresses.
combination of those decisions (line items), and In addition to modeling the impacts of the
(3) aggregate the net impact of those selections strategic plan and the stresses, mitigation
on some of the university’s key financial metrics. strategies were also identified, and their positive
Considering the key financial information provided financial impacts were estimated and made
by the balance sheet, the statement of activities available for selection in the model. Mitigation
(income statement), and the statement of cash strategies included items such as reductions
flows in the university’s consolidated financial in various categories of controllable expenses,
statements, the CFO for the university advised the increases in controllable revenues, and asset sales,
president, the board, and other senior university as well as “off ramps” and “on ramps” to the
leaders that the focus for evaluation of the plan strategic plan. The “off ramps” and “on ramps”
 LIQUIDITY: Days
Financial Riskcash on hand and short-term
Management in Higherinvestments
Education 407
250
LIQUIDITY: Days cash on hand and short-term investments xx
xx
xx
250 xx
xx
200 x x xx
to the strategic plan included LIQUIDITY: Days cash on hand and short-term investments xx
xx
xx
x xx xx
reductions and eliminations of 250 x xxxx
xxxxxxx xxx
xxxxx xxxxxxx
xx
xx
xx
xx
200 xxxx
x x x
xx
x x x
xxxx
certain strategic plan items, as 150 xxxx
xx
xx
x xx
x xx
well as new potential revenues xxxx
xxxx
xxxxxxx xxx
xxxxx xxxxxxx
xx
xx
xx
xx
200 xxxx
x x x x
x x x
that could be captured to offset 150
100
xxxx xx
xx

x xx
the increases in allocations of 2011 2012 2013
xxxx
2014 2015
xxxxxxxxx xxxxxxx
x xxxxx
2016
xxx
xx 2017 2018 2019 2020
xxxx
xxxx
financial resources required by 150
100 xxx x x x

the strategic plan investments. 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020

100
Results and Communication 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020
Through the use of these three DEBT: Outstanding long-term debt
line graphs, the planners were 40
able to show how the key DEBT: Outstanding long-term debt
financial metrics (liquidity, 35
40
Millionsin Millions

xxxx xxx x
x xxx x xxxx xx
xx x
xx
debt, and leverage) would shift DEBT: Outstanding long-term debt
xxxx xx x xx
x x

30
35 xx
over time (over the course of 40 xx
xx
x
xxxx xxx x
x xxx x xxxx xx
MillionsinDollars

x
x x xx
x xxxxxx
10–20 years) depending on x
x
xxxx xx x xx
x xx
20
30 x
x
xx
x
the selections chosen from the 35
x
x
x
xx xxxx xxx x
Dollars in Dollars

x xx x x xxx x xxxx xx
x
xxx xxx x x x x xx
strategic plan items, stresses, x xxx x
x x xx
x
20 x xxxx xx x xx
and mitigations. Results were 30 2011 2012 x
x
x
2013 2014 2015xx
x
2016 2017 2018 2019 2020
x
x xx
xxx xxx x xx
summarized in a presentation 20 x
x
x xx x x x x x

20 x
that outlined the approaches 2011 2012
x
x
x
x2013 2014 2015 2016 2017 2018 2019 2020
x
taken, the processes used, and xxx xxx x

20
the logic behind the decisions 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020
made to arrive at the desired LEVERAGE: Ratio of expendable financial resources to direct debt
3.00x
results. The executive vice
president and the CFO then LEVERAGE: Ratio of expendable financial resources to direct debtx x
2.50x
3.00x xx
presented the findings to x x x xxxxx
xxx
xx
x x x x
xx
certain key and active members xx
LEVERAGE: Ratio of expendable financial resources to direct debt
xx x
2.00x
2.50x xx xx
of the board of trustees’ 3.00x x x x
xx
xx
x x xxx xx x
x
x x x x x xxx
xxx
xx x xx x
x xxxx
finance committee. After 1.50x
2.00x
xxx
xxx xx
xx xx xxx xx
x
xx
xx
xx
x
2.50x x xx
incorporating their feedback x xxx
xxxxx
xx x
x
x
xx
x x x xxx
xx
xx
x x x xx x x x
xxx xxxx
and recommendations, a final 1.00x
1.50x xxx
xx
xx xx xxx xx
x
xx
xx
2.00x 2011 2012 2013 2014 2015 xx
2016
x 2017 2018 2019 2020
document was presented by x
xxx xx x
x
xx
xxx xx x
xxx
the president and CFO to the 1.00x
1.50x xxx
x x xx
xx xx xxx xx
x
x

2011 2012 2013 2014 2015 2016 2017 2018 2019 2020
full finance committee, and June 2012 Baseline
then ultimately to the full board 1.00x Baseline Including Stresses and Strategic Plan Changes
of trustees during the annual 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020

budget cycle. xxxxxx Restarted Baseline After Mitigation

make rational and informed decisions about the long-term plans. As the strategic plan is imple-
future of the institution. It will be equally, if not mented and operationalized, and as the university
more, important for the university to continue experiences financial fluctuations anticipated by
analyzing its current financial health and risks the stresses and mitigations, it is essential to con-
based on the same metrics (liquidity, debt, and tinue to monitor the key financial metrics to allow
leverage) used for the evaluation of the short- and decision makers to recommend corrective actions
408 Fink’s Crisis Life Cycle

and changes in course to continue to best guide

the university to achieve its goals.
Fink’s Crisis Life Cycle
In the broader spectrum, the economic and Steven Fink’s model charts the life span of a crisis,
political climate in the United States continues documenting in sequential stages distinct commu-
to create an environment in which not-for-profit nication constraints and demands faced by orga-
higher education institutions must look beyond nizations. Thus, the model has predictive power
their intrinsic values and begin to extrinsically that aids in both crisis response and crisis plan-
prove their worth to the public. From this flows an ning. The model is also widely applied by crisis
increased focus on transparency and accuracy of communication scholars.
financial data and stewardship. Thus, it is critical,
now more than ever, for higher education lead- Business-Oriented Focus
ers to comprehensively evaluate and effectively Although fitting for other crisis types, Fink devel-
manage the myriad financial risks associated with oped his model specifically from a “business-ori-
maintaining current operations and planning for ented point of view.” From this perspective, orga-
the future of their institutions. Proactive and con- nizations are in a potential crisis situation when
sistent measuring and testing of the financial health the event is doing the following:
of higher education institutions, for both the short
and long term, is essential to the continued success • Escalating in intensity
and value proposition of such enterprises. • Falling under close media or government
Although the focus of this article is on financial scrutiny
risk management at higher education institutions, • Interfering with the normal operations of
the author acknowledges that effective enterprise business
risk management must encompass the manage- • Jeopardizing the positive public image
ment of other types of risk as well, such as opera- presently enjoyed by the company or its
tional, regulatory, and reputational. Financial officers
risk management should accompany and be inte- • Damaging a company’s bottom line in any
grated with the management of these and other way
types of risks.
Fink sees crises as “turning points” or crucial
Justin Fusaro moments for organizations where the situation is
New York University either going to improve or escalate in severity. If
recognized and resolved, events never mature into
See Also: Auditing; Budget Crisis; Business Impact full-blown crises. If, however, problems escalate
Analysis; Debt Crisis; Decision Making Under Stress; into a crisis, the event follows Fink’s four stages.
Risk Analysis; Risk Assessment; Strategic Plans.
Disease Analogy
Further Readings Using an analogy of human illness, Fink estab-
Cassidy, Dale, et al. Developing a Strategy to Manage lishes four sequential stages in “the anatomy of a
Enterprise-Wide Risk in Higher Education. crisis.” As with any crisis stage model, time is an
Washington, DC: NACUBO, 2001. imprecise variable. Fink’s four stages can unravel
KPMG, Prager Sealy & Co. LLC, and Attain. in a brief amount of time, or years can pass before
“Strategic Financial Analysis for Higher Education: all four stages are manifest. If an event has truly
Identifying, Measuring & Reporting Financial reached the crisis level, however, all four stages
Risks.” 7th ed. New York: KPMG, 2010. must occur.
Massy, William, F. “Capital Structure and Risk
Management.” Higher Education Finance Forum 1. Prodromal stage crisis stage: Prodromes are
(2008). symptoms in the human body that, if recognized
Tufano, Peter. “Managing Risk in Higher Education.” and treated early, can prevent a serious disease
In Forum Futures 2011. Washington, DC: from developing in a patient. Likewise, prodromes
American Council on Education, 2011. in organizations are signs of serious risks that, if
 Fink’s Crisis Life Cycle 409

unrecognized or unattended, will escalate into clean.” Investigations by relevant government

crises. Some prodromes are recognized, but no agencies, audits, exposés by the media, lawsuits,
action is taken. This failure to respond may result and extended public relations campaigns designed
from excessive bureaucratic structure or unethical with hope of repairing the organization’s image
behavior. For example, Fink explains that officials typically appear in the chronic stage. Because
received warnings of potential problems at the the acute stage is past, those participating in the
Three Mile Island nuclear power plant more than chronic stage have the luxury of time. Investiga-
a year before the near meltdown at the facility. An tions can go on for years, making the chronic
investigation revealed a decision-making structure stage the longest in Fink’s four-stage model.
that impeded the facility’s ability to respond expe- Internally, the chronic stage is where organiza-
diently. In contrast, Peanut Butter Corporation of tions learn from the crisis. A meticulous analysis
America received a clear warning that its peanut of what the organization did right and what it did
paste, an ingredient sold to many companies, was wrong enables the organization to fortify itself
contaminated with salmonella bacteria. Yet the against future crises. Those organizations that
organization shipped the product, contaminating rush through this self-assessment process are more
hundreds of products and infecting thousands of likely to experience similar crises in the future.
consumers. Finally, prodromes may be so subtle
that they are nearly undetectable. Such warning 4. Crisis resolution stage: Continuing with his
signs are typically recognized retrospectively dur- illness analogy, Fink declares that the resolution
ing the chronic phase of the crisis that is discussed stage occurs when “the patient is well and whole
in stage three. again.” Once a prodrome is identified, a crisis
manager’s goal is to reach the crisis resolution
2. Acute stage crisis stage: Fink characterizes stage as quickly as possible. Each misstep taken by
the acute stage of the crisis as “the point of no the organization during the crisis, either intention-
return.” By this point, some damage has already ally or unintentionally, prolongs the other stages
occurred. The question then becomes how much of the crisis. In fact, the burden of the crisis is so
worse will the situation get before conditions overwhelming for some organizations that they
improve? Observers often mistakenly assume the are dissolved before ever achieving resolution.
acute stage is the entire crisis. For example, when
an airplane crashes, the crash itself and the imme- Application
diate response constitute the acute phase. Yet, Fink’s model has been applied to a wide variety of
the crash itself is only the beginning of an intense crises over the past three decades. Scholars typi-
investigation by regulatory agencies and complex cally use Fink’s stages to characterize the progress
legal challenges. organizations have made or failed to make toward
The acute stage is typically the shortest dura- resolution. For example, the model was used to
tion of Fink’s four stages. A plane crash, for examine the troubling response of the Roman
example, typically has an acute phase of sev- Catholic clergy to accusations of sex abuse, ques-
eral hours. Some acute phases are much longer. tionable responses to prodromes in the coal indus-
For example, conditions continued to intensify try, the September 11, 2001, terrorist attacks, and
for days after the levees were breached in New the SARS outbreak. Scholars have also used the
Orleans. The Deepwater Horizon oil spill in the model to structure their theoretical analyses of
Gulf created an acute phase for BP that lingered cultural issues in crisis communication, general
for weeks. Despite the uncharacteristically long preparedness strategies, and building collabora-
acute stages for these two crises, they were, by tive relationships in crisis planning. These diverse
comparison, much shorter than the other phases applications testify to the model’s durability and
of the two crises. flexibility in contributing to our understanding of
crises and effective crisis communication.
3. Chronic stage crisis stage: Using a vivid met-
aphor, Fink describes the chronic stage as the Timothy L. Sellnow
period during which the “carcass gets picked University of Kentucky
410 Fires

See Also: Crisis Communications; Crisis, Definition at the Iroquois Theater (1903), Triangle Shirtwaist
of; Public Image; Public Relations; Response. Factory (1911), and Coconut Grove Night Club
(1942). Crisis management has thus evolved over
Further Readings the centuries, typically through experience and
Fink, S. Crisis Management: Planning for the past crises, yet there is more that can be done to
Inevitable. New York: American Management prevent and mitigate these events from becoming
Association, 1986. large crises.
Fink, S. Crisis Management: Planning for the
Inevitable. 2nd ed. New York: American Planning and Mitigation
Management Association, 2002. An important component to crisis management is
Millner, A. G., S. R. Veil, and T. L. Sellnow. “Proxy planning in advance. This includes developing fire
Communication in Crisis Response.” Public strategies and fire prevention plans. Fire strate-
Relations Review, v.37 (2011). gies can be developed in accordance with build-
ing and fire codes, which should be developed,
implemented, and enforced by country, regional,
and local jurisdictions. Codes typically address
various fire and life safety mitigation measures
Fires including egress, compartmentation, detection/
alarm and suppression systems, firefighting equip-
Over the centuries, fires have induced significant ment, and protection of the structure, among
impacts on lives, property, cultural heritage, our other requirements.
environment, and continuity of operations of Codes need to address all types of buildings
affected businesses, whether a result of human and occupancies, so their requirements can at
or natural causes. The magnitude of these events times be generic and not tailored to specific build-
and the way these crises have been managed has ings or an owner’s specific needs (e.g., addressing
evolved over the years. Centuries ago, for instance, unique hazards, protecting vulnerable collections,
fires could develop, spread, and consume large or preserving historic artifacts and buildings).
portions of cities (e.g., the great fires of Rome Performance-based, risk-informed codes in
[64 b.c.e.], London [1666], and Chicago [1871]). recent years have made significant progress
These fires each destroyed large sections of their in helping fill this gap. These help provide an
respective cities. Natural disasters have also led approach to address specific objectives, goals, and
to large fires and extensive damage. This includes hazards through risk assessments that result in
fires following earthquakes (e.g., 1906 San Fran- the development of more tailored and integrated
cisco or 1995 Kobe), where fires caused rela- mitigation and prevention measures to help man-
tively as much damage as the earthquakes them- age crises and keep disasters from occurring.
selves. Devastating fires have also been initiated
by humans. This includes during war. This has Crisis Management Training for a Fire
resulted in considerable damage, including during The concepts of creating awareness throughout a
World War II (e.g., Dresden, Tokyo, and London). community and fire safety education for the pub-
Whether resulting from an accident or human- lic can help limit an event from escalating into
made, these “urban” fires once grew to immense a significant crisis. Awareness and crisis man-
proportions. To manage these crises better, build- agement training can have significant returns on
ing and fire codes over the last century have helped investment in reducing the magnitude of the cri-
reduce these citywide conflagrations, and fires have sis. A few key areas are as follows.
been contained typically to the building of origin. Emergency evacuation training of occupants
However, during this period, there were numerous is important. These efforts help familiarize occu-
large life-loss fires that led to significant changes pants with methods for detection of an incident,
to building codes, laws, and ordinances to further notification and communication methods dur-
address the need for additional life safety–related ing crises, locations of exits, evacuation routes,
measures. These disasters have included the fires discharge areas, and gathering points outside
 Fires 411

Explosions and fires erupt at the Barton Solvents facility in Valley Center, Kansas, July 17, 2007. The incident led to the destruction of
the facility, projectile damage offsite, and the evacuation of 6,000 residents. Firefighters used a combination of foam and water to
fight the massive blaze. The U.S. Chemical Safety Board, which found the most likely cause to be a static spark that ignited the air–
vapor mixture inside a filling tank, released a case study and educational safety video depicting the sequence of events.

buildings. This training helps also to familiarize It is also important to have the appropriate
occupants with various evacuation strategies, as type of equipment for emergency responders
there may be a need to move only some of the onsite and in the appropriate locations for easy
occupants immediately in the vicinity of the fire access. This equipment needs to be appropriately
first and not congest the exit routes, then evacuate inspected, tested, and maintained so that it is
others. Alternately, occupants may be required to available during an event.
relocate rather than totally evacuate, as in a high-
rise fire for occupants on upper levels. Crisis Management and Emergency Response
Emergency team drills can have a significant Time is critical in managing a crisis. For a fire, it is
impact in familiarizing all with types of events important to detect a fire as early as possible and
that may occur and actions that need to be taken. to notify appropriate personnel, including build-
This includes drills for occupants, fire wardens, ing management, the crisis management team,
and local emergency responders. These drills help occupants, and emergency responders. Getting the
familiarize the local responders with access to the emergency responders not only to the site as soon
site, locating the fire command center within the as possible but access around the building, into
building, planning access to upper floors, loca- the building, and to the upper levels (e.g., stairs,
tions of exit stairways, and other factors critical to elevators) reduces the overall response time to
their success in carrying out their duties. help evacuate occupants and to begin managing
412 Floods

the incident before it has a chance to grow and International Code Council. 2012 International
develop further (e.g., contain, control, extinguish). Building Code. Washington, DC: ICC, 2012.
Setting up Incident Command Centers, com- Marrion, C. “Disaster Management Planning.” http://
municating effectively with occupants and other www.marrionconsulting.com (Accessed April 2012).
emergency response teams, establishing staging Marrion, C. “Fire/Life Safety and Disaster
areas for equipment, and allowing search and Management.” http://www.marrionconsulting.com
rescue operations to be conducted are all critical (Accessed April 2012).
components in the early minutes of responding Marrion, Christopher and R. L. P. Custer. “Fire
to a disaster that are important to the successful Events.” In Extreme Event Mitigation in Buildings:
management of a crisis involving fire. Analysis and Design, Brian J. Meacham and
Once the fire has been suppressed, the emer- Matthew A. Johann. Quincy, MA: National Fire
gency responders can begin to undertake salvage Protection Association, 2006.
efforts to help ensure the fire is out and all occu- National Fire Protection Association. NFPA 101—
pants are accounted for. During this period, it Life Safety Code. Quincy, MA: NFPA, 2009.
is important to have appropriate professionals Society of Fire Protection Engineers and National
available to undertake immediate damage assess- Fire Protection Association. The SFPE Engineering
ments to the site and building(s) as to its struc- Guide to Performance-Based Fire Protection
tural soundness, as well as the overall environ- Analysis and Design of Buildings. 2nd ed. Quincy,
ment within the building and whether it is safe to MA: SFPE/National Fire Protection Association,
conduct further salvage efforts or if there is a need 2007.
for decontamination. Further assessment regard- Tubbs, Jeffrey S. and Brian J. Meacham. Egress
ing damage to contents and business operations Design Solutions: A Guide to Evacuation and
can be made as well. Crowd Management Planning. Hoboken, NJ: John
Wiley & Sons, 2007.
Recovery From a Fire Event U.S. Chemical Safety Board. “CSB Issues Final Report
Following a fire-related crisis, it is important that on Barton Solvents Explosion, Calls on OSHA
a crisis management plan be in place that details and Trade Associations to Improve Material
the recovery and restoration efforts. This should Safety Data Sheets for Nonconductive Flammable
include plans for further detailed damage assess- Liquids; Safety Video With Animation Released.”
ments, implementation of business continuity (June 26, 2008). http://www.csb.gov/newsroom
plans, public relations–related activities to keep /detail.aspx?nid=36 (Accessed August 2012).
the press and public informed of critical informa-
tion as well as appropriate management of pub-
lic perception, and conducting restoration plans
so that one can return to operations as soon as
possible from a fire event. These are all critical to Floods
properly manage fire-related crises.
A flood is an overflow of water onto landscape or
Christopher E. Marrion urban settings that are usually dry. Floods are gen-
Independent Scholar erally categorized by the physical source and prop-
erties of the excess water (e.g., river, lake, ocean,
See Also: Emergency Responders; Incident Response; or debris flow), but the causes, effects, and dynam-
Response Team; Risk Analysis; Wildfire. ics also provide further criteria for flood charac-
terization (e.g., storm surge or tsunami flooding,
Further Readings dam break, urban flooding, or flash floods).
Custer, R. L. P. and Christopher E. Marrion. “Design The significant impact that inundations have on
to Manage Fire and Its Impact.” In Extreme Event the territory, their always higher intensity and fre-
Mitigation in Buildings: Analysis and Design. quency, and their impact in economic and social
Quincy, MA: National Fire Protection Association, terms pose floods as one of the major threats from
2006. the international to the local scale. As a result,
 Floods 413

crisis management must necessarily and carefully and coastal areas have always been the subject of
consider floods and develop specific preparedness, recurrent inundations with overland river flows
prevention, mitigation, monitoring, response, and that in ancient times had also been the source of
emergency plans to limit their devastating effects. beneficial (fertilizing) effects, as in the well-known
case of the Nile River flooding. Nevertheless, in
Flood Categories, Causes, and Effects modern times, urbanization and the increasing
Flood types are mainly associated with the natu- human activity and presence are contributing to
ral feature and the physical process (dynamics) an increase of the negative impact of floods, and
that originate the inundation phenomenon. the sustainable development of the territory can-
In particular, riverine and coastal floods are not avoid considering the maximum inundation
determined, respectively, by the excess water flow extent and dynamics as major factors affecting
derived from fluvial channels and by the ocean urban expansion and land use plans. Thus, even if
surge that may occur, respectively, under severe the adverse impact of floods cannot be neglected,
hydrologic (e.g., rainfall) and climatic (e.g., strong significant mitigation may be achieved by effec-
winds, tropical cyclones) conditions. Those dif- tive flood risk management that should include
ferent and diverse factors may also combine, as in a preparedness, prevention, mitigation, monitor-
the case of estuarine floods, where the ocean and ing, response, and emergency plan.
fluvial waters interact. Floods may be indirectly Preparedness means that people living in flood-
caused by another hazard, as in the case of a sub- prone areas are properly informed and prepared on
marine earthquake (tsunami) or the collapse of a how to behave in case of flood. A prevention plan
water retention structure (e.g., levee, dam). aims to mitigate the effects of floods by decreas-
A different categorization method pertains to ing the presence of construction and people within
the analysis of the flood dynamics that is mainly potentially inundated areas, not only by imple-
based on the duration and speed of the event, menting evacuation plans, but also by promoting
with slow floods usually driven by heavy rains sustainable urban and rural development practices.
and/or snowmelt on mid-large rivers and fast In order to implement efficient evacuation and
(flash) floods caused by convective precipitation urban/land development plans, it is necessary to
(e.g., thunderstorm) in small river basins. The develop flood monitoring/warning and flood zon-
concentration of sediments that propagate with ing projects. These nonstructural flood protection
the flood wave is another factor, with mud and measures of people displacement and constrained
debris flows that mainly characterize alluvial fans urban development are generally implemented by
and mountain areas. advanced flood modeling and mapping studies
The passage of the flood through the territory that are able to forecast flood events in real time
has often devastating direct effects connected to and to identify the extension and intensity associ-
the physical damages to human properties (e.g., ated with a predefined design flood scenario. Flood
roads, bridges, buildings, agricultural fields, and simulations are also used for designing structural
industries) and casualties but also significant measures for flood impact mitigation by means of
indirect effects such as business interruptions, dams, levees, seawalls, and any other structures
the evacuation of affected people, water-driven able to intercept, convey, or store flood waters and
diseases, and other hygienic issues. The negative prevent them from flowing through vulnerable
environmental, economic, and social effects of areas. Whereas flood preparedness, prevention,
floods are often temporary, but they may also last and monitoring are active (pre-event) measures,
for months if an effective crisis management plan flood response and emergency response represent
hasn’t been developed and preliminarily imple- the reactive actions that civil protection managers
mented for tackling this natural disaster in both use during the event and the post-event phase to
the pre-event and post-event period. guide people to recover and reestablish the pre-
flood conditions on the territory.
Flood Crisis Management
Floods are natural (extreme) events that cannot Fernando Nardi
be avoided in most cases. Low-lying river valleys University for Foreigners of Perugia
414 Food and Agriculture Organization of the United Nations (FAO)

See Also: Dams, Levees, and Seawalls; Early Warning as situations singly or in combination trigger
Systems; Federal Emergency Management Agency events that threaten to grow into food crises. As
(FEMA); Preparedness; Prevention. the world population has grown to over 7 billion,
the organization at the center of food security has
Further Readings repeatedly faced challenges for managing crisis in
European Commission. “Communication From the areas of food security and agriculture. How
the Commission to the Council, the European the world manages to negotiate crisis, prepares
Parliament, the European Economic and Social for and responds to food crisis becomes increas-
Committee and the Committee of the Regions— ingly imperative, as the world expects the Food
Flood Risk Management—Flood Prevention, and Agriculture Organization to take the lead,
Protection and Mitigation.” EC Communication, with its Latin motto Fiat panis, meaning, “let
n.472 (2004). there be bread.”
European Commission. “Directive 2007/60/EC of
the European Parliament and of the Council of 23 Crisis Breeds Crisis
October 2007 on the Assessment and Management Political and social instability have often been
of Flood Risks.” L288/27. Official Journal of the closely linked to food insecurity. Well-founded or
European Union (2007). imagined fears regarding food insecurity can lead
Federal Emergency Management Agency. “National to social instability at regional, national, or local
Flood Insurance Program NFIP.” http://www.fema levels. Following fires in one of world’s leading
.gov/about/programs/nfip/index.shtm (Accessed wheat-producing areas in central Russia in 2010,
April 2012). coupled with adverse weather patterns impact-
Federal Emergency Management Agency. “Numerical ing food exports from Australia, food prices
Models Meeting the Minimum Requirement of skyrocketed. As a consequence, unrest erupted
NFIP.” http://www.fema.gov/plan/prevent/fhm/en in some parts of the world, including protests
_hydra.shtm (Accessed April 2012). against bread price rises in Maputo, the capi-
Jha, Abhas K., et al. Cities and Flooding: A Guide to tal of Mozambique, from where it was reported
Integrated Urban Flood Risk Management for the that about 280 people were injured as a result of
21st Century. Washington, DC: World Bank, 2012. unrest. Around the world in 2007, food shortages
were some of the most severe in a generation,
leading to riots from Mexico to Bangladesh and
the collapse of governments in some parts of the
world. The FAO was key, or at least seen to be
Food and Agriculture key, when dealing with the crisis of food security
from its headquarters in Rome. The opportunity
Organization of the United and challenge of influencing decision making and
Nations (FAO) international and national policy, as well as deal-
ing with a range of complex interactions and trig-
The Food and Agriculture Organization (FAO), a gers of food insecurity, was critical.
specialized agency within the United Nations for
international efforts on food security, was formed International Markets
in 1945. Despite criticisms from some quarters One challenge that the Food and Agriculture
during the FAO’s history, it can be argued that the Organization faced relates to how it could deal
agency has been central in defining the direction with food production that had historically been
of agricultural production and food security and organized around local and national levels. Small-
seeking avenues for managing food crises world- scale agricultural production based on local needs
wide. Since the formation of the Food and Agri- and subsistence farming was the norm in many
culture Organization, there has been a plethora countries, and self-sufficiency was promoted
of challenges that have threatened or had direct at a local level. However, globalization, partly
impact on food security and agricultural produc- defined as the harmonization of social, economic,
tion. Thus, the focus on FAO is unlikely to shift and cultural practices, has over time impacted
 Food and Agriculture Organization of the United Nations (FAO) 415

localized agricultural practices in favor of mass result of human activities, stripping the ground of
crop production. Mass crop production practices its vegetation cover, the growing use of fossil fuels
have generally been welcomed by proponents of because of the increase in less environmentally
globalization, free trade, and mass production, friendly industries and car use, and the increase in
who argue that small-scale and localized agricul- methane gas from farm animals and the clearing of
tural production practices had failed to meet the forests for agriculture using fires.
changing needs of modern consumers. Although there has been less than unanimous
Furthermore, proponents of free market prin- consensus among scientists about the verac-
ciples have argued that the availability of food is ity of claims of human activities’ impact on
likely to increase through mass production and global warming, there have been some concerted
free trade. There is indeed some evidence with efforts to formulate policies and make decisions
regard to the benefits of globalization and liber- to reduce carbon emissions. There has been
alized agricultural markets. Critics of liberaliza- an increasing interest in developing renewable
tion and globalization do, however, argue that energy sources instead of fossil fuels. Given the
these benefits have been overemphasized and are large volume of vehicles on Earth, vast pieces of
fraught with difficulties. Sensitivity to specula- land have been turned into growing crops such
tion in international food markets and food price as sugarcane with the aim of producing etha-
increases have been cited as major shortcomings nol. These efforts to mitigate disasters brought
of globalized food systems and markets. Indeed, about by global warming have paradoxically
speculations on international food markets and been blamed for growing food security threats
responses by grain-exporting states have included and crises. As biofuel crop production increases
the banning of cereal exports, resulting in cata- in acreage, food security has been said to be
strophic effects on food-importing countries. Fol- threatened by decreases in food crops, resulting
lowing the 2007 food crisis, the FAO launched in reduced annual food outputs. Indeed, this dis-
its Initiative on Soaring Food Prices to help small cussion is also about land use.
farmers boost their output and thereby earn more
income. Along with the European Union, the FAO Land Use and Population
signed an initial aid agreement of about US$140 Another challenge facing the FAO is that food
million to assist small-scale farmers who had been insecurity and resultant crisis are increasingly
adversely affected by rising food prices. being attributed to the increase in world popu-
Under the Special Programme for Food Security, lation as the most likely trigger. Surprisingly,
the FAO engaged in the ambitious goal of halving little effort has been made at both international
the number of the hungry in the world by 2015 as and national levels to address this issue, perhaps
part of the Millennium Development Goals. because of cultural sensitivities in some develop-
ing countries and declining populations in some
Global Warming developed countries. It has been argued that
Despite such efforts, the FAO is faced with a much the world population is outstripping the rate at
wider debate relating to global warming, which as a which the planet can be sustainable. Population
phenomenon has been advanced by some scientists issues and family planning have tended to be sen-
to be probably one of the greatest threats that the sitive issues, and thus very little motivation has
planet has ever faced. Its projected impacts relate been shown either by states or by international
to a rise in global temperature that might trigger institutions to discuss them. Rapid deforestation,
erratic weather conditions. There are claims and the clearing of land that had previously been left
counterclaims about its impacts on agricultural untouched, has become commonplace as people
production. Its effects have been identified as rang- seek to increase farm produce in order to sustain
ing from the melting of glaciers to desertification their families. Thomas Malthus’s Essay on the
to lowering of groundwater levels. Erratic weather Principle of Population, published in 1798, regis-
conditions have been attributed to the increas- tered some of these concerns relating to the effect
ing destruction of the ozone layer because of the of population increase and its tendency to over-
level of carbon released into the atmosphere as a whelm food production.
416 Food and Agriculture Organization of the United Nations (FAO)

The debate with regard to the increasing world management under the Farmer Field Schools with
population has opened a host of claims for solu- support from countries has widely been acknowl-
tions. Some have argued that scientific and tech- edged as a success.
nological advancement mean that the world can It is important to understand the man-
care for its growing populations through inno- dates of these three key agencies, which have
vation. These claims suggest that biotechnology, related though somewhat distinct mandates
including the development of genetically modified that are complementary in many ways. This
food, has the potential to address the problem is also evident in the level of cooperation they
of increasing populations, not through increased have increasingly pursued. The FAO is the lead
farmland but through increased yields. Thus, agency for technical expertise in food security,
hybrid and modified varieties have been promoted fisheries, agriculture, forestry, and rural develop-
to address this need. Indeed, scientific innovations ment. IFAD’s mandate is unique when consid-
have meant that the mass production of fish in ering the range of roles played by international
farms has become increasingly possible. Further- financial institutions. Central to IFAD’s mandate
more, scientists have argued that if the world is is to fund rural development projects aimed at
indeed warming up, leading to an increase in drier improving the nutritional levels and living condi-
soils, innovation may help in developing new crop tions for the poorest populations. The mandate
strains that can withstand reduced soil water con- for the WFP is that it is the leading emergency
tent and higher temperatures. food aid agency of the United Nations. The WFP
Despite evidence that points to some benefi- also assists with building structural assets and is
cial scientific innovations, critics of population involved in the promotion of self-reliance among
increases have argued that the solutions do not poor communities.
lie in increasing production of farm produce but In 1994, the Emergency Prevention System
rather in decreasing the population. Similarly, for Transboundary Animal Plant Pests Diseases
fears have been raised about genetically modified focused on the control of diseases, including foot-
varieties of fish escaping and cross-breeding with and-mouth disease. As early as 1952, the FAO
wild varieties of fish. Thus, the increase in geneti- organized an international forum, the Interna-
cally modified crops has largely been fiercely tional Plant Convention, aimed at coordinating
opposed in parts of Europe and the developing technical assistance with regard to pest outbreaks
world. This is, however, not the only problem, for and maintaining a catalogue of pests. The Alli-
increasing need for both food and economic prog- ance Against Hunger and Malnutrition is an ini-
ress brings with it other challenges. tiative developed by the FAO to address hunger
and malnutrition, whereby local, international,
Crisis Management and regional institutions are connected to share
The FAO, despite considerable criticisms, has strategies for combating hunger.
arguably been active in meeting some of its
objectives, including mitigation, preparedness, Information systems and crisis: Robust crisis
response, and recovery, through a range of means, management systems, whether at the national or
as discussed below. international level, require effective communica-
tion and information management. The Food and
Partnerships and crisis management: Effective Agriculture Organization established the Global
crisis management requires compliance through Information and Early Warning System (GIEWS)
cooperation and standardized approaches to to monitor world food supply and demand. This
emergencies. The FAO has forged partnerships is a useful tool, as early warning (of impending
with a range of stakeholders in food, includ- emergencies) furnishes the international commu-
ing the World Food Programme (WFP) and the nity with invaluable and timely information. The
International Fund for Agricultural Development United Nations organization also has its database,
(IFAD). It has often worked closely with the Euro- the FAOSAT, which covers statistics on agricul-
pean Union on issues relating to farmers and food ture, fisheries, forestry, land use, and population,
security. The training of farmers in integrated pest among other areas.
 Food Security 417

Training and capacity building: Training and Growing cross-border trade does not present only
capacity building are critical to crisis manage- opportunities but also increased supply chain
ment. The FAO has been very effective in some risks. Disruption to supply chains, market specu-
cases, including training farmers. Global partner- lation, and food safety problems demand interna-
ship initiatives for plant breeding and capacity tional agricultural solutions.
building are critical to crisis management. They In the end, this discussion relates to the need for
create a network of critical stakeholders with a states and bilateral and international institutions
view to increasing capacity building for plant to formulate coherent and integrated solutions
breeding. This is a mechanism to minimize the aimed at disaster mitigation while being equally
occurrence of crisis, including volatile food prices. responsive to immediate human food needs.
Thus, this demands formulating resilient national
Conclusion and international institutions facing agricultural
Despite criticisms of the FAO, a few critical fac- production.
tors have been established in relation to chal-
lenges of food and agriculture production: that Martin Nthakomwa
food security is critical to social stability, that Coventry University
global markets and food chains impact the food
needs of the population, that human activities are See Also: Carrying Capacity; Climate Change
adversely affecting the environment and in turn Adaptation; Commodity Shortages; Drought; Famine;
affecting agricultural production, that technologi- Food Security; Global Food Crisis; Global Warming;
cal advancement has some possible roles to play Overpopulation; Poverty; Vulnerable Populations.
in food and agricultural production, and ulti-
mately, that there is a growing need to strike a Further Readings
balance between economic needs and sustainable Dow, Kirsten and Thomas E. Downing. The Atlas of
development. Climate Change. London: Earthscan, 2006.
Effective management demands effective sys- Food and Agriculture Organization. http://www.fao
tems not only within FAO management and .org (Accessed June 2012).
operations but nationally, regionally, and inter- Maye, Damian, Lewis Holloway, and Moya Kneafsey,
nationally. Yet the food industry faces a complex eds. Alternative Food Geographies. Amsterdam:
system of interactions in terms of food markets, Elsevier, 2007.
speculations, and anti–genetically modified crops Millstone, Eric and Tim Lang. The Atlas of Food.
sentiments of those motivated into the market by London: Earthscan, 2008.
gains and climate change. Thus, crisis in the FAO World Food Programme. http://www.wfp.org
seems to demand a much wider understanding of (Accessed June 2012).
interests within the food industry and beyond.
Ultimately, this discussion relates to the resilience
of agricultural systems that can be enhanced by
responsible policies at national and international
levels. Food crisis is not confined within national Food Security
borders.
Most disasters are not confined to simplistic Worldwide food security means that there is
national borders. For instance, global warming enough food in the global supply and that all peo-
does not confine itself to national borders. Simi- ple always have access to nutritious and afford-
larly, epidemics, including mad cow, foot-and- able foods. A food-secure individual has access
mouth, and Newcastle animal diseases, cannot to enough food items, nutritionally and prefer-
realistically be confined within national borders. entially, to lead a healthy lifestyle. Food-secure
Global agricultural production problems call households are those in which all members are
for local, national, regional, and international assured consistent access to food items that meet
global solutions. International food markets have dietary requirements. The notion of food secu-
assumed an increasing role in food supply systems. rity is conceptualized as adequate food provision
418 Food Security

through culturally acceptable methods. In other historical example of how a government inten-
words, people are not forced to obtain food tionally created food insecurity (and genocide).
through violence or stealing, rely on emergency Government malevolence and reticence are odi-
food resources, or employ other nonsustainable ous causes for food insecurity.
reactions to food insecurity. Lack of food security Diminished accessibility to nutritious foods
is an ongoing crisis, and organizations around the occurs because of social inequality or economic,
world endeavor to end growing trends of food political, and agricultural changes. For instance,
insecurity. problems with dwindling harvests affect already-
The notion of food security is often misunder- struggling regions, leading to large-scale food
stood to mean food safety. Food safety initiatives insecurity for those who can’t purchase imported
deal with the hygienic handling of food in order (expensive) foods. Other examples of diminished
to prevent foodborne illnesses. Resources like the access include declines in fish stocks or climate
National Center for Food Protection and Defense changes that make farming or animal husbandry
(NCFPD) focus on food safety. The NCFPD difficult.
extends our understanding of and strategies for Natural disasters can weaken people’s abil-
food protection through programs like modeling, ity to access sustaining foods. Tsunamis, floods,
education, and research in risk communication. droughts, fires, earthquakes, and landslides are just
Although food safety is not an accurate synonym some of the ways nature creates voids in the global
for food security, this improper meaning is com- food supply. When foods become unavailable,
monly used. people’s access to necessary food is threatened.
Lack of education and apathy about nutri-
Food Insecurity tional foods is another key reason for global food
To better understand food security, food insecu- insecurity. In other words, one surprising cause of
rity must be explored. Globally, people struggle food insecurity is dietary choices. Individuals and
to obtain adequate food for nourishment. Inabil- households can consume a large quantity of food
ity to consume sustaining food occurs for a vari- and still be food insecure, meaning the food items
ety of reasons: poverty, war-induced famine, selected are of poor nutritional quality. Consump-
diminished accessibility, disease, limited harvests, tion of junk foods, high-sugar items (e.g., sodas,
droughts, decreased food supply, and ignorance pastries), and other unhealthy food choices can
about wholesome food choices. Some individuals, lead to food insecurity.
households, and regions are more vulnerable to This does not address all of the reasons individ-
food insecurity because of social, political, eco- uals and households remain food insecure. Poor
nomic, or environmental circumstances. budgeting skills, transportation issues, inabil-
Poverty is a leading cause of food insecu- ity to self-farm, hefty bills, regional water defi-
rity—both malnourishment and chronic hunger. cits, delayed welfare payments, the need to send
Impoverished individuals and households lack money home to struggling relatives, and land deg-
the necessary resources to purchase foods. Buy- radation are just some of the many reasons house-
ing nutrient-rich food items like meat and milk holds struggle to establish food security.
is often more expensive than purchasing grains
or starch foods. Thus, impoverished households Food Insecurity: A Crisis
struggle to gain regular access to nutritious foods, As discussed above, food insecurity occurs for
correlating poverty with food insecurity. many reasons. Food insecurity is a growing global
Wars, warlords, and government damage to crisis because of its far-reaching implications in
their own nations are other causes of food inse- social, government, agricultural, and political sys-
curity. Reports of unjust political regimes using tems. Some accept food insecurity as a normalcy
war to gain compliance from citizens arise from when in fact it’s a colossal crisis, impacting the
around the world—tales of warlords intercepting well-being of countless individuals.
United Nations (UN) supplies in war-torn coun- Furthermore, new crises can create or extend
tries and intentionally starving cultural groups existing food vulnerabilities. For example, the
into submission. Joseph Stalin’s Holodomor is a decision to become a migrant worker not only
 Foreign Policy Crises 419

separates family members, but also leads to Conceptualizing the Linkages, Food Security:
reduced security in terms of daily meals and Concepts and Measurement.” http://www.fao.org
income for the family members (often children) /docrep/005/y4671e/y4671e06.htm (Accessed
left behind. Another example includes HIV/AIDS- February 2012).
infected persons. Prevalence of AIDS is an ongo- National Center for Food Protection and Defense.
ing crisis because it is life threatening and reduces “Research.” http://www.ncfpd.umn.edu (Accessed
many households to poverty and food insecu- November 2009).
rity by (1) inhibiting a previously healthy family Science Magazine. “Special Online Collection: Food
member from earning income, (2) shifting fam- Security.” Audio interview. http://www.sciencemag
ily resources to HIV/AIDS medications instead .org/ site/special/foodsecurity (Accessed March
of food for the household, and (3) causing food- 2010).
earning family members to allocate time to care
for the HIV/AIDS patient. Migrant workers and
the HIV/AIDS pandemic are just two examples of
how a compounding crisis disrupts food security
or intensifies existing food insecurity. Foreign Policy Crises
Global Goal: Food Security for All The study of foreign policy crises has been
Any individual, government, nonprofit organiza- seen as playing an influential role in the devel-
tion, or policy maker wishing to effectively take opment of a wider set of theories around crisis
on food insecurity must first understand it and management. In particular, the literature dealing
then pinpoint vulnerable populations. In 2009, with such crises was important in shaping early
the Food and Agriculture Organization of the attempts at defining crisis; this work on foreign
United Nations convened the World Summit on policy crises served to influence subsequent work
Food Security in order to discuss and problem- in other disciplines. At their core, foreign policy
solve for the growing threat of food insecurity. crises are seen to occur where the potential out-
This conference, UN partnerships, and goals comes of the policy are at odds with the aims and
like “Feeding the World in 2050” are powerful goals of the state in a highly stressful and time-
resources for systematically achieving global food limited setting. There have been several seminal
security. Problems such as poverty, worldwide studies that have looked at foreign policy crises,
population growth, political hostilities, and other including the Munich Appeasement, by P. M.
compounding issues all cause and interact to cre- Kennedy (1976) and J. L. Richardson (1988); the
ate patterns of food insecurity. Responsible indi- Cuban Missile Crisis, by G. T. Allison in 1969
viduals, organizations, and governments are join- and T. J. McKeown in 2001; and the wars in Iraq
ing the strategic fight toward global food security, and Afghanistan, by D. Byman in 2008 and C.
a goal worth considering and attaining. Kaufmann in 2004. Much of this attention has
focused on the performance of key decision mak-
Alyssa Grace Millner ers. Foreign policy crises have also taken on a
King College new dimension with the increasing effects of glo-
balization, which generates challenges for gov-
See Also: Climate Change Adaptation; Drought; ernments as they try to regulate and control the
Famine; Floods; Multiple Disaster Problem; Poverty. actions of powerful multinational corporations.
The 2008 banking crisis illustrated the intercon-
Further Readings nected nature of the banking industry and the
Food and Agriculture Organization of the United difficulties associated with regulating it, and the
Nations. “Feeding the World in 2050.” ftp://ftp issue of regulation remains controversial. The
.fao.org/docrep/fao/meeting/018/k6021e.pdf continuing problems surrounding the euro have
(Accessed February 2012). also generated challenges around foreign poli-
Food and Agriculture Organization of the United cies as governments, both within and outside the
Nations. “Trade Reforms and Food Security: eurozone, have tried to deal with the demands of
420 Foreign Policy Crises

the crisis. Against this background, the notion of the decision-making process places them both as
a foreign policy crisis can be seen to have moved potential causal agents in the development of for-
away from its traditional setting to incorporate eign policy (and by implication, the crisis, should
a wider set of contexts in which such crises can it occur) and as key individuals in any response
occur. to the crisis as it occurs. David Mervin notes in
The scale and diversity of these crises make a his Journal of American Studies article, “Presi-
full discussion of their implications here impos- dents, Precedents, and the Use of Military Force”
sible and, as a consequence, this article focuses (1998): “When it comes to the making of foreign
on three particular aspects of research in the area policy, and particularly when crises of national
of crisis management that have developed from security arise, the president, it seems, is inevitably,
foreign policy crisis research. These are the per- the main player, the senior partner.” This issue of
formance of crisis decision teams, the role of the centrality of key decision makers was also evi-
latent and active error in the decision-making dent in the Cuban Missile Crisis and the debates
process, and the impact of unintended conse- that followed.
quences (emergence) arising from policy making.
It is recognized that such a selective approach can The Role of Error in Decision Making
be problematic, and the aim here is to point to The role of leaders within the decision-making
links into the wider theory of crisis management process leads into the second aspect of foreign
relating to these three elements, each of which can policy crises that is important here, namely, the
now be considered in more detail. role of latent and active errors. Issues of decision
making within foreign policy crises have their ori-
Performance of Crisis Decision Teams gins in a number of celebrated studies. One of the
The potential consequences associated with for- key works was carried out by B. W. Tuchman into
eign policy crises have led to a focus on the qual- the origins of World War I, describing the pro-
ity of decision making within those groups who cesses by which decisions taken by world leaders
manage such events and the manner in which generated a momentum that moved countries into
they cope with the stress associated with such conflict. Tuchman’s account of the early months
conflicts. One of the seminal studies of crisis team of the conflict highlights the manner in which
performance was carried out and published in errors in decision making were able to expose the
1982 and 1989 by Irving Janis, who developed inherent vulnerabilities within the political envi-
his groupthink concept based on a study of deci- ronment prevailing at the time. In more current
sion making within the Cuban Missile Crisis and terms, error was embedded in the system, and
other related events. The concept has also been this latent error was exposed by the trigger event
applied to other crises including the Munich of the assassination of Archduke Ferdinand. The
appeasement, by S. G. Walker and G. L. Watson subsequent chain of events was akin to Charles
in 1989; Vietnam and the Bay of Pigs, by R. M. Perrow’s later notion of a system that is “tightly
Kramer in 1998; and various others involving for- coupled” and “interactively complex.” Tuchman’s
eign policy–related problems, by F. Bynander in work has a wider significance, as it was deemed to
1998, J. K. Esser in 1998, and T. Forsberg and C. be influential for President John F. Kennedy, who
Pursiainen in 2006. These studies have generated had read the book prior to the Cuban crisis.
a focus on research that has looked at the role The issue of latent and active errors also emerged
of government leaders within this process and in the aftermath of the second Iraq War concern-
the impact that individual psychology or health ing the issue of weapons of mass destruction and
might have on their decision-making capabili- the possible predispositions of government leaders
ties. David Owen’s research in 2006 and 2009, in for regime change in Iraq. The role of the media
particular, raised the issue of how senior politi- as a means of framing the issues and shaping pub-
cians can be impaired as a function of medical or lic opinion around the legitimacy of the conflict
drug-related ailments and how this might impact was also an important part of the strategy. In the
decision making both in the buildup to and dur- United Kingdom, the notion of “spin” was seen
ing crises. The centrality of these leaders within in the media as a key issue in the aftermath of the
 Foreign Policy Crises 421

war and formed a considerable part of the critique transatlantic airlines. This process, often referred
of Tony Blair’s decision making. to as “blowback,” can be seen as the unintended
More critical analysis by Christoph Bluth consequences associated with emergence in com-
(2004) and James Humphreys (2005) has sug- plex multilevel policy decisions. The process also
gested that this analysis was more measured than relates to that of “error cost,” according to David
many would believe to be the case. Intelligence Collingridge (1984 and 1992) and the manner in
failures have also been seen to lie at the heart of which policy makers use science and evidence in
the inability to foresee and forestall the attacks on the decision-making process. In the areas of for-
9/11. The notion of error cost can be seen as an eign policy, especially for those problems where
important aspect of foreign policy crises and one intelligence gathering and analysis are key con-
that has relevance to other forms of decision-mak- tributors to the decision-making process, the
ing failure. The reluctance or inability of leaders potential for emergent conditions arising out of
to see the problems in their strategies is an issue those decisions can be seen to be high.
that transcends international politics, although it
has been seen to be an important element in the Conclusion
wars in Vietnam and Iraq and also relates to the This brief discussion of foreign policy crises has
ways in which multidisciplinary and multifunc- sought to highlight three issues that relate to the
tional teams make decisions and the psychology wider literature on crisis management. This dis-
of strategic rigidity. cussion has not been inclusive and has left out
issues that some might consider as essential com-
The Impact of Unintended Consequences ponents of any such discussion. This criticism is
The final area of consideration in this brief discus- accepted and is an inevitable consequence of the
sion of foreign policy crises concerns the emer- constrained nature of an encyclopedia discussion.
gence of unintended consequences arising out of This brief discussion here should be seen as an
such decisions. These consequences can be seen entry point into debates around foreign policy
to relate both to the performance of crisis man- crises that are both extensive and multilayered in
agement teams and to the nature of error in the terms of their complexity.
decision-making process. Given that many policy
decisions have implications and effects that are Denis Fischbacher-Smith
not apparent for many years, these unintended University of Glasgow
consequences could be seen as an inevitable con-
sequence of foreign policy. For example, the move See Also: Cabinet Office, UK; Groupthink; Interstate
in Europe to a single monetary policy without an War; Terrorism; War Crimes; Weapons Trafficking.
overarching political structure could be seen as a
precursor to the current crisis involving the euro. Further Readings
Emergent properties can be seen to emerge from Allison, G. T. “Conceptual Models and the Cuban
problems where the interaction of elements within Missile Crisis.” The American Political Science
the problem space generate issues that have con- Review, v.63/3 (1969).
sequences that were either not foreseen or were Bluth, Christoph. “The British Road to War:
not seen as credible in terms of likely risks at the Blair, Bush and the Decision to Invade Iraq.”
time the decision was made. Within the context International Affairs, v.80/5 (2004).
of foreign policy crises, perhaps the most obvi- Byman, D. “An Autopsy of the Iraq Debacle: Policy
ous example is the role of the wars in Iraq and Failure or Bridge Too Far?” Security Studies, v.17/4
Afghanistan in generating motivations for jihad- (2008).
ists to fight against Western occupying powers. Bynander, F. “The 1982 Swedish Hårsfjärden
This has also been seen as an issue motivating Submarine Incident.” Cooperation and Conflict,
what have become known as home-grown terror- v.33/4 (1998).
ists, a problem that has been seen as especially Collingridge, David. Technology in the Policy
important in the United Kingdom following the Process: The Control of Nuclear Power. London:
attacks in London and the thwarted attacks on Francis Pinter, 1984.
422 Fraud

Collingridge, David. The Management of Scale:

Big Organizations, Big Decisions, Big Mistakes.
Fraud
London: Routledge, 1992. Fraud is an action of intentional misrepresenta-
Collingridge, David and C. Reeve. Science Speaks tion, committed when a criminal or civil defen-
to Power: The Role of Experts in Policy-Making. dant makes a misrepresentation of material fact;
London: Francis Pinter, 1986. with intentional or reckless state of mind; with
Esser, J. K. “Alive and Well After 25 Years: A Review intent to induce reliance; causing justifiable reli-
of Groupthink Research.” Organizational Behavior ance; that results in damages to the state or a
and Human Decision Processes, v.73/2–3 (1998). private plaintiff. Action for fraud can be brought
Forsberg, T. and C. Pursiainen. “Crisis Decision- criminally or civilly by the state or civilly by a
Making in Finland.” Cooperation and Conflict, private plaintiff, in tort or contract, or in other
v.41/3 (2006). specialized instances of fraud, such as in connec-
Humphreys, J. “The Iraq Dossier and the Meaning of tion with the purchase and sale of securities under
Spin.” Parliamentary Affairs, v.58/1 (2005). Rule 10(b)(5) of the Securities Act of 1933; in
Janis, I. L. Crucial Decisions: Leadership in connection with the solicitation of proxies under
Policymaking and Crisis Management. New York: Rule 14(a)(9) of the Securities Exchange Act of
Free Press, 1989. 1934; or in various actions for insurance, identity,
Janis, I. L. Groupthink: Psychological Studies of and other financial frauds. Where fraud is alleged,
Policy Decisions and Fiascos. 2nd ed. Boston: it must be pled with particularity, such that gen-
Houghton Mifflin, 1982. eral allegations of fraud, without sufficient facts,
Kaufmann, C. “Threat Inflation and the Failure of the will not survive a motion to dismiss.
Marketplace of Ideas: The Selling of the Iraq War.”
International Security, v.29/1 (2004). Proving Fraud
Kennedy, P. M. “The Tradition of Appeasement in Though easy to allege, proving fraud is challeng-
British Foreign Policy, 1865–1939.” Review of ing, as it requires proving underlying elements that
International Studies, v.2/3 (1976). support a claim for fraud. First, a party alleging
Mervin, David. “Presidents, Precedents, and the Use fraud must prove the representation amounted to
of Military Force.” Journal of American Studies, a misrepresentation of material fact. A represen-
v.32/3 (1998). tation is a misrepresentation when it asserts that
Owen, David. “Hubris and Nemesis in Heads of something is a particular way when the defendant
Government.” Journal of the Royal Society of knows it is not. This can be evidenced by specific
Medicine, v.99/11 (2006). actions to mislead, to cover up the truth, or to
Owen, David. In Sickness and in Power: Illness in impede the ability to discover the truth; through a
Heads of Government During the Last 100 Years. failure to disclose where the law recognizes a duty
London: Methuen, 2009. to disclose; or through a partial disclosure that is
Owen, David and J. Davidson. “Hubris Syndrome: misleading. A misrepresentation is material when
An Acquired Personality Disorder? A Study of U.S. a reasonably prudent person would consider it
Presidents and UK Prime Ministers Over the Last important when making a decision or where the
100 Years.” Brain, v.132/5 (2009). defendant has reason to know that this particular
Perrow, Charles. Normal Accidents. New York: Basic plaintiff would consider it important when mak-
Books, 1984. ing a decision. A material misrepresentation con-
Richardson, J. L. “New Perspectives on Appeasement: cerns a matter of fact when it is not opinion and
Some Implications for International Relations.” it can be proven as true or false through use of
World Politics, v.40/3 (1988). objective facts.
Tuchman, B. W. The Guns of August. New York: Second, a party alleging fraud must prove the
Ballantine Books, 1962. misrepresentation was intentionally or recklessly
Walker, S. G. and G. L. Watson. “Groupthink and made. A misrepresentation is intentionally made
Integrative Complexity in British Foreign Policy- when it is communicated for the purpose of deceiv-
Making: The Munich Case.” Cooperation and ing, and is recklessly made when it is communi-
Conflict, v.24/3 (1989). cated with reckless disregard for its truth or falsity.
 Fraud 423

Third, a party alleging fraud must prove the consist of damages attributable to and flowing
misrepresentation was committed with intent to from the misrepresentation, provided they are
induce the plaintiff’s reliance. Intent to induce not too attenuated to preclude recovery. Puni-
reliance is shown through direct misrepresenta- tive damages are also recoverable in an action
tion of facts that support an inference of intent to for fraud but are generally limited to egregious
defraud or through indirect evidence of intent to instances that shock the conscience. Where a
defraud, where the plaintiff is within the expected party prevails on the elements of fraud, there is
affected class of persons expected to rely on the criminal or civil liability, unless the defendant can
misrepresentation at the time it was made. defeat it for procedure or raise an appropriate
Fourth, a party alleging fraud must prove they affirmative defense.
relied on the misrepresentation, and that reli- Where a party alleges fraud, it must be pled
ance was justifiable under the circumstances. with particularity in the pleadings, or the defen-
Where facts would put reasonably prudent per- dant will defeat it for lack of sufficient facts.
sons on notice that they are being deceived, the When brought without sufficient facts, the defen-
law imposes a duty to investigate before relying. dant will motion for dismissal under Rule 9(b) of
Where facts do not exist, the plaintiff may rely on the Federal Rules of Civil Procedure, or under the
an apparently reliable statement without incur- state counterpart where applicable. To survive a
ring a duty to investigate. In proving that reli- challenge under Rule 9(b), a pleading must state
ance on the misrepresentation was justified, the with particularity the circumstances amounting
plaintiff must show that a reasonably prudent to fraud, raising sufficient facts to show that a
person in the same or similar situation would case for fraud exists. The defendant will also raise
have relied. Where the defendant preys on known evidentiary challenges through pretrial motions
vulnerabilities, the requirement may not apply. to dismiss and/or through evidentiary objections
Where the plaintiff is a professional or possesses in open court, in an effort to undermine the ele-
special knowledge or experience applicable to the ments of the claim.
subject matter being misrepresented, justifiable When the plaintiff prevails on procedural and
reliance will be judged from the perspective of evidentiary matters, the defendant may plead the
a reasonably prudent professional with the same plaintiff’s assumption of the risk as an affirmative
or similar qualifications. Additionally, where the defense to liability for fraud. In raising assump-
defendant possesses knowledge unavailable to tion of the risk, the defendant invokes a theory
the plaintiff, where certain relationships of trust that recovery is precluded, based on the plaintiff’s
apply; where the defendant has special expertise, subjective appreciation of the risk and volun-
or where the defendant has an interest in the tary assumption of it. Where successfully raised,
transaction under claim of independent author- assumption of the risk is a complete defense to
ity, the law provides certain presumptions to aid recovery, even where the plaintiff prevails on the
in proving justifiable reliance. elements of fraud.
Fifth, parties alleging fraud must prove they
suffered damages as a result of misrepresentation Crisis Management and Vulnerability to Fraud
by the defendant. Recoverable damages include In the crisis management context, the complex-
pure economic loss, damages that flow from the ity of response and recovery operations makes
sequence of events set in motion by the misrep- efforts especially vulnerable to fraud by claim-
resentation, and punitive damages. Recovery ants, responders, and administering officers alike.
for pure economic loss consists of either out-of- Because of competing interests in expediting
pocket expenses, determined by subtracting the response and recovery efforts and mitigating the
value received from the value parted with, or the extent and impact of fraud, the inevitable clash
benefit of the bargain, determined by subtracting of expediting disaster assistance and using com-
the value received from what was promised. The prehensive checks to curtail vulnerability to fraud
jurisdiction will determine the appropriate theory makes response and recovery ideally suited to
for pure economic loss. Recovery for damages fraud. The effect is best seen in numerous accounts
that naturally flow from the misrepresentation of fraud by claimants seeking disaster assistance,
424 Fraud

responders purporting to provide disaster assis- need. Additionally, the risk of fraud can be sub-
tance, and administrators diverting funds to per- stantially mitigated by aggressive prosecution for
sonal interests. When left unchecked in the absence fraud, both individually and collectively, on the
of systematic checks to identify fraud, unwarranted heels of response and recovery. Although claims
assistance will be paid, funds will be lost, and the for civil recovery for fraud may be unsuccessful
efficiency of response and recovery will suffer. because of the reality that funds paid are often
Given vulnerability to fraud in response and funds spent, criminal prosecution for fraud can
recovery, vulnerability can be mitigated by build- be the most effective deterrent of frauds to come.
ing in systematic checks to identify and address In the absence of systematic checks to iden-
fraud in all aspects of mitigation, preparedness, tify, protect against, and prosecute fraudulent
response, and recovery. By routing claims through claims, fraud can significantly increase the cost
independent auditors, utilizing comprehensive and complexity of response and recovery. The
supervision of disaster assistance requests, and federal response to Hurricane Katrina, which was
building accountability into the payment and use plagued by rampant fraud in claims for disaster
of funds paid and materials provided, the risk of assistance through the Federal Emergency Man-
fraud can be substantially mitigated in pursuit of agement Agency (FEMA), is especially illustra-
effective response and recovery. The preparedness tive. However, by building systematic checks into
phase is uniquely suited for building antifraud place to identify fraud, protect against it, and
measures into response and recovery ahead of prosecute claims on the heels of loss, vulnerability

A survivor of Hurricane Irene in Lambertville, New Jersey, appears hesitant to speak to Patricia Selby (right), a Federal Emergency
Management Agency community relations specialist visiting her home on September 15, 2011, because homeowners are especially
vulnerable to fraud in areas struck by disasters. The inevitable tension between expediting recovery efforts and ensuring the legitimate use
of resources makes response and recovery ideally suited to fraud, such as false disaster claims, unauthorized responders, and stolen funds.
 Freshwater Demands and Shortages 425

to fraud can be substantially reduced in pursuit of and irrigation, constitutes approximately 22,300
more effective response and recovery. cubic miles, approximately 0.007 percent of total
water. Studies have shown that the oceans, seas,
Jeffrey Shaun Majors lakes, and rivers provide nearly 90 percent of the
Pepperdine University School of Law moisture in our atmosphere via evaporation, with
the remaining 10 percent contributed by plant
See Also: Bankruptcy, Corporate; Bureaucracy; transpiration. One estimate of the volume of
Business Impact Analysis; Cyber Crime; Debt water in the atmosphere at any one time is about
Crisis; Department of Homeland Security (DHS); 3,100 cubic miles.
Information Asymmetry; Information Vacuums; There is a constant amount of freshwater
Insurance; Legal Liability; Losses, Quantitative available, unevenly distributed across the planet
Versus Qualitative; Product Tampering; Recovery; (Table 1). Natural changes in the Earth’s surface
Reputational Risk; Resource Management; Sabotage; through history have dramatically changed the
Structural Secrecy; Whistle Blowers. climate system many times, favoring water avail-
ability for some places more than others. In the
Further Readings present, Brazil, Canada, and Russia are the coun-
Kutz, G. D. “Expedited Assistance for Victims of tries with the highest water availability and thus
Hurricane Katrina and Rita: FEMA’s Control water security. The largest known aquifer in the
Weaknesses Exposed the Government to Significant world, Guarani Aquifer, sits underneath Brazil,
Fraud and Abuse.” Washington, DC: Government Paraguay, Uruguay, and Argentina. The Gua-
Accountability Office, 2006. rani Aquifer coincides with the largest rainforest
Lipton, E. “Study Finds Huge Fraud in Wake of in the world, the Amazon forest, which experi-
Hurricanes.” New York Times (June 14, 2008). enced heavy deforestation between 1990 and
Wolfe, D. T. and D. R. Hermanson. “The Fraud 2004. Such practices alter the land cover charac-
Diamond: Considering the Four Elements of teristics, generating excessive runoff that erodes
Fraud.” CPA Journal (December 2004). the soil surface, and substitute natural nutrient-
replenishing processes with chemical fertilizers
that damage the land and threaten the underlying
water body’s integrity and capacity.
The Earth’s climate system is intrinsically
Freshwater Demands related to the hydrological cycle; in fact, they
are one and the same. Light from the sun travels
and Shortages through space until it reaches Earth; the atmo-
sphere scatters or absorbs a portion of the energy
Water covers about 70 percent of Earth’s sur- and the rest makes it to the surface, then gets
face, and its interaction with the radiation from absorbed or reflected in different ratios depending
the sun is a major driver of climate events and on the surface properties. Oceans, which cover
the hydrological cycle, which continually recycles approximately 70 percent of the Earth’s surface,
freshwater through evapotranspiration, conden- absorb more radiation than land but have a faster
sation, and precipitation. Roughly 332,500,000 heat exchange rate. The differences in reflectiv-
cubic miles of water are present in the oceans, ity and energy-exchange properties of the land,
land surface, and atmosphere—an amount that, ocean, and atmosphere create a potential differ-
for all practical purposes, can be considered con- ence that drives convective currents that stir the
stant. Of the total amount of water on Earth, only atmosphere and create winds that move clouds
about 2.5 percent is freshwater. Generally charac- full of freshwater, naturally desalinated through
terized by having low concentration of dissolved evaporation with the energy absorbed by the
salts and other total dissolved solids, freshwater oceans from the sun, inland, and when the right
is a naturally occurring resource and manifests on conditions are met, clouds pour out their content
the Earth’s surface. Rivers and lakes, the major in the form of precipitation or snow. Snow piles
source of humans’ daily water for consumption up, storing freshwater in the form of glaciers,
426 Freshwater Demands and Shortages

predominantly on high-latitude lands and ele- estimated in millions per year. Likewise, biodi-
vated peaks. Rainwater falls on the surface and versity is being threatened. Estimates suggest that
is absorbed by the soil, creating underground 10,000–20,000 freshwater species are extinct or
streams through porous strata. After complete at risk and more than half of the world’s wetlands
saturation of the soil, water flows through the have disappeared.
surface and accumulates in depressions, forming
surface water bodies like lakes and ponds. Plants Meeting Demand
and animals benefit greatly from surface water In general, agriculture consumes most of the
bodies being such natural storage features—this available water, followed by the industrial and
is where most of their freshwater is withdrawn. domestic sectors. It is estimated that 69 percent
Water flows slowly carve channels that connect of worldwide water use is for irrigation, with
inland water bodies to the ocean, closing the cycle 15 to 35 percent of irrigation withdrawals being
where it began. unsustainable. It takes around 792 gallons (3,000
Technological advances in the 20th century liters) of water, converted from liquid to vapor,
were possible thanks to the burning of fossil to produce enough food to satisfy one person’s
fuels. Coal, natural gas, and petroleum are what daily dietary need. Automated irrigation systems
remain of decomposed organic matter from mil- provide the water that crops need to grow. Excess
lions of years ago, trapped between layers of water mixes with the chemicals used and perco-
soil at high pressures. When released from deep lates through the ground, contaminating under-
within the ground and burned, they produce ground bodies of water and drying the soil. Even-
energy, carbon dioxide, and water vapor. Energy tually, soil erosion decreases productivity until
is used to power most everyday tools and appli- agriculture is no longer feasible.
ances, lights cities at night, and enables transpor- Water consumption by the industrial sector is
tation, mass manufacturing, and construction of estimated to be around 22 percent worldwide.
infrastructure. The major issues with the com- All industrial processes require water at some
bustion of fossil fuels lie in carbon dioxide emis- point for production of goods, cooling pro-
sions, which, scientists all over the world agree, cesses, and sanitation purposes. Major industrial
are unquestionably changing the chemistry of users include power plants, which use water for
the planet’s atmosphere. The effect of a changing cooling; refineries, which use water in chemical
atmosphere composition alters the Earth’s energy processes; and manufacturing plants, which use
budget and climate system. Changes in the cli- water as a solvent. For example, the construc-
mate system manifest themselves in local weather tion industry requires extensive use of clean water
generally as geographical and seasonal displace- when building concrete structures. Concrete is a
ment in the normal local climate. Droughts for mixture of cement, aggregate, and water mixed
regularly wet regions, shrinkage of mountain together in different ratios, depending on desired
glaciers, an increased melting rate in Greenland resistance properties of the element bearing the
and polar ice caps, stronger hurricanes off sea- load. Impurities in water used, especially organic
son, and a staggering number of species in danger material, can affect negatively the resistance of
of extinction are evidence of a dramatic change the element. Water withdrawal can be very high
with the potential to threaten human life. for certain industries, but consumption is gener-
Limited availability of freshwater, increasing ally much lower than that of agriculture.
population growth and industrialization, exces- It is estimated that 8 percent of worldwide
sive pollution from anthropogenic emissions, and water use is for household purposes. These include
poor management of water resources and land drinking water, bathing, cooking, sanitation, and
use of watersheds has created a world freshwater gardening. Basic household water requirements
crisis. In 2002, 1.1 billion people had no access to have been estimated at around 13 gallons per per-
safe water supplies and 2.4 billion had no sewer son per day, excluding water for gardens.
or sanitation facilities. The total population of To meet demand, governments around the
the world in 2002 was 6.2 billion. Human deaths world had subsidized approximately 45,000 dams
associated with lack of clean drinking water are over 15 meters high by 2010. Dams are massive
 Freshwater Demands and Shortages 427

Table 1 Total renewable freshwater supply by country

Maximum annual Minimum annual

renewable water renewable water
Region resources (km3/yr.) Country resources (km3/yr.) Country Total (km3/yr.)
Africa 1,283 Congo, Democratic .03 Cape Verde, 5,580
Republic (formerly Djibouti
Zaire)
North and Central 3,300 Canada 0.02 St. Kitts and 7,621
America Nevis
South America 8,233 Brazil 122.00 Suriname 17,140
Asia 2,838 Indonesia 0.02 Kuwait 14,710
Europe 389 Norway 0.07 Malta 2,943
Former Soviet 4,498 Russia 7.80 Armenia 5,577
Union
Oceania 801 Papua New Guinea 28.55 Fiji 1,607

Source: U.S. Environmental Protection Agency

hydraulic structures located at a narrow down- building huge infrastructure to control water
stream exit out of a watershed. They are used to becomes highly economically feasible.
control the flow of water through a river or stream
and to create large artificial reservoirs to provide Associated Shortages
water for irrigation and human consumption and The total quantity of water into any surface water
to avoid flooding of cropland and human settle- system at any given time and the proportion of
ments. Another benefit of dams is the capability water lost are dependent on many factors, such as
to produce low-emission hydropower. Hoover precipitation within its watershed; storage capac-
Dam, constructed in Nevada between 1931 and ity in lakes, wetlands, and artificial reservoirs;
1936 during the Great Depression, blocks the the permeability of the soil beneath these storage
Colorado River and is capable of producing 4.2 bodies; the runoff characteristics of the land in
billion KWh of electricity to supply Nevada and the watershed; the timing of the precipitation; and
California. Unfortunately, dams also effectively local evaporation rates. Because of human inter-
destroy the surrounding ecosystem and regional vention, the world’s supply of freshwater, thought
water distribution. Low flow velocities in the res- to be a renewable resource, is steadily decreasing.
ervoir are generally regarded as negligible for all Pollution and mismanagement of resources faster
practical reasons and are related to low dissolved than the natural cycle can replenish them have
oxygen levels in the still water. Decreasing oxygen forced some ecosystems to change drastically.
levels in water reduce life expectancy of aquatic The Aral Sea is an example of one of the
organisms, affecting the food chain. world’s worst environmental disasters. Located
Water demand already exceeds supply in many within the former Soviet Union, the Aral Sea was
parts of the world, and as the population contin- the fourth-largest lake on the planet, covering an
ues to rise, so does the water demand. Changes in area of approximately 26,300 square miles. From
water demand are intrinsically related to freshwa- the 1960s, the rivers that fed the Aral Sea were
ter availability, population density, and economic diverted by Soviet irrigation projects, mainly to
power. Freshwater is viewed as a commodity in produce cotton. Reduced water input to the
many parts of the planet. Because of failure to system gradually shrank the lake, changing the
account for environmental impacts effectively, local microclimate and increasing temperatures
428 Freshwater Demands and Shortages

Table 2 Number of dams by region because of flexible environmental law. Sources for
Continent/country Number of dams contamination may be thermal, chemical, or bio-
logical, altering the water’s composition, causing
Africa 1,269
an adverse effect on nearby ecosystems and intro-
Europe 4,277 ducing harmful pollutants into the food chain. To
South America 979 prevent such degradation of water bodies, mainly
Central/Eastern Europe 1,203 individual countries regulate water. In addition,
international sets of rules have been proposed to
North/Central America and the 8,010
Caribbean
safeguard this precious resource. The Helsinki
Rules on the Uses of the Waters of International
Asia and the Middle East 31,340 Rivers and the Hague Declaration on Water Secu-
Oceania 577 rity in the 21st Century are examples of such
Earth 47,655 international regulations.
Water law is controversial in some parts of the
world where a growing population faces increas-
ing competition over a limited natural supply.
Disputes over control of freshwater supply have
and evaporation rates. As a result, the Aral Sea taken place in many countries around the globe,
divided into two separate lakes, north and south. many escalating to violence and bloodshed. One
In 2005, the south lake was surveyed, and its area of the most notorious water wars in history took
was calculated at 1,350 square miles. The north place in the state of California. As Los Angeles
side area measured 1,270 square miles in 2008. grew in the late 1800s, it started to outgrow its
Other than the environmental cost of losing 90 water supply. The city decided to outsource its
percent of the lake’s surface area, transportation water demand to Owens Lake, 223 miles away
routes were lost and economic debacle followed. in eastern California. A couple of years after the
Although a dam was built and completed in 2005 construction of the aqueduct, the lake’s water
and water levels have risen 79 feet, in reference to level lowered and started making agriculture dif-
lowest levels in 2007, the possibility of returning ficult for surrounding farmers. This led to the
the Aral Sea to its original state is uncertain. The farmers trying to destroy the aqueduct in 1924.
hydrological cycle will eventually replenish the Eventually, Los Angeles prevailed and kept the
lake, but the process is a slow one and changes in water flowing. By 1926, Owens Lake at the bot-
the surface properties and regional microclimate tom of Owens Valley was completely dry because
have the potential to alter the system’s capacity of water diversion. By 1928, Los Angeles owned
to store water. Pollution and mismanagement of 90 percent of the water in Owens Valley. Agricul-
land and water resources threaten an already lim- ture in the valley was effectively dead.
ited supply of freshwater. Growing populations In the United States, the Clean Water Act
and improving lifestyles in developing countries (CWA) of 1972 is the primary federal law govern-
increase competition for water worldwide. At the ing water pollution. The law establishes the basic
same time, human-induced climate change disrupts structure for regulating discharges of pollutants
typical weather patterns, offsetting seasonal varia- into the waters of the United States and regulating
tions in temperature and precipitation distribu- quality standards for surface waters. Under the
tion. These factors add up to produce a net global CWA, the U.S. Environmental Protection Agency
decrease or shortage in freshwater availability. (EPA) has implemented pollution control pro-
grams, such as setting wastewater standards for
Water Rights industry. Many developed countries have adopted
Energy production, agriculture, manufacturing, similar regulatory laws to protect and conserve
and most services are all activities that require their water systems.
massive amounts of water. Most of the time, water Because it is expensive to implement environ-
being used in such processes is freshwater that mental laws, underdeveloped nations many times
ends up contaminated and dumped irresponsibly lack the resources to effectively protect their
 Freshwater Demands and Shortages 429

water systems. Lack of environmental regula- sufficient, safe, acceptable, physically accessible
tions, cheap labor, lower taxes for companies, and affordable water for personal and domestic
and abundant natural resources in poor nations uses. An adequate amount of safe water is neces-
attract foreign investments seeking lower opera- sary to prevent death from dehydration, to reduce
tional costs and higher profits. Goods are manu- the risk of water-related disease and to provide
factured using local resources to be later exported for consumption, cooking, personal and domes-
to consuming nations. Water is privatized and tic hygienic requirements.” Following its pub-
consumed irresponsibly, leaving poor countries lication, several European nations agreed and
through trade in the global market. formally acknowledged the right to water to be
Given the fact that water access is a cross-bor- part of their treaty obligations under the ICE-
der source of concern and potential conflict in the SCR. Eventually, in 2010, the UN Human Rights
Middle East, the eastern Mediterranean, and parts Council adopted a resolution recognizing that the
of North America, among other places, some non- human right to water and sanitation are a part of
governmental organizations (NGOs) and scholars the right to an adequate standard of living.
argue that the right to water also has a transna-
tional or extraterritorial aspect. They argue that Water Crisis
given the fact that water supplies naturally overlap The International Water Management Institute
borders, states also have a legal obligation not to (IWMI) in 2007 conducted a study to see if the
act in a way that might have a negative effect on world had sufficient water to provide food for its
the enjoyment of human rights in other states. growing population. It assessed the current avail-
In 2002, the right to water was recognized ability of water for agriculture on a global scale
through the International Covenant on Eco- and mapped locations suffering from water scar-
nomic, Social and Cultural Rights (ICESCR). city. It found that a fifth of the world’s people—
The committee of experts agreed on the fact that more than 1.2 billion—live in areas of physical
“The human right to water entitles everyone to water scarcity, where there is not enough water
to meet all demands. One-third of the world’s
population does not have access to clean drink-
ing water, which is more than 2.3 billion people.
A further 1.6 billion people live in areas experi-
encing economic water scarcity, where the lack of
investment in water or insufficient human capacity
makes it impossible for authorities to satisfy the
demand for water. To avoid a global water crisis,
farmers will have to strive to increase productivity
to meet growing demands for food, while industry
and cities find ways to use water more efficiently.
It has been proposed that when annual per cap-
ita renewable freshwater availability is less than
1,700 cubic meters, countries begin to experience
periodic or regular water stress. Below 1,000 cubic
meters, water scarcity begins to hamper economic
development and human health and well-being.
Considering also the current energy limitations,
most countries rely only on their surface water
and groundwater resources, which are exploited
at a faster rate than the system can replenish.
A water distribution point in El Mina, about a mile west of the Energy demand for pumping water rises as fuel
town center of Nouakchott, Mauritania, October 2010. UNICEF prices go up because of conflicts in oil-producing
Mauritania works to increase the supply of household drinking countries and shortening of supply. As the world
water and stabilize water prices at affordable levels. supply of oil reaches a peak, trying to keep up
430 Fusion Center

with increasing energy demand, energy-depen- Further Readings

dent water supplies will have to be managed, their Gleick, P. H. “Water in Crisis: Paths to Sustainable
increased cost increasing fares, directly affecting Water Use.” Ecological Applications, v.8/3 (1998).
consumption by low-income families. Mostert, E. “Conflict and Co-Operation in
Currently, new technologies are being devel- International Freshwater Management: A Global
oped to counteract water shortages. One of them Review.” International Journal of River Basin
is desalination, which is currently expensive com- Management, v.1/3 (2003).
pared to most alternative sources of water. Never- Vorosmarty, C. J. “Global Threat to Human Water
theless, desalination plants have been used exten- Security and River Biodiversity.” Nature, v.467
sively in Persian Gulf countries rich in oil. (2003).
Coping with water crisis is a global endeavor. Wang, Y. D. “Freshwater Management in
Planning urbanization to sustain geographically Industrialized Urban Areas: The Role of Water
expanding populations and booming economies in Conservation.” Water: Global Common and
a sustainable manner needs to be seriously consid- Global Problem (2006).
ered if the right to water for all is the goal. Reduc- Wu, P. and M. Tan. “Challenges for Sustainable
ing demand through more efficient use, protection, Urbanization: A Case Study of Water Shortage and
and conservation of water resources is considered Water Environment Changes in Shandong, China.”
by many as the responsible and most cost-effective Procedia Environmental Sciences, v.13 (2012).
way to ensure water security. In agriculture, the use
of high-efficiency irrigation techniques, use of plas-
tic liners in irrigation canals to prevent leaks, level
fields to reduce runoff, choosing crops appropriate
for the climate, and eliminating government subsi- Fusion Center
dies of inappropriate crops or methods can greatly
reduce the sector’s water demand. Individuals can Fusion centers are sometimes described as intel-
also reduce their water footprint by installing low- ligence or information sharing centers. A fusion
flow faucets and appliances, replacing lawns with center is a key mechanism designed to exchange
native vegetation, or watering their lawns at night information and intelligence at the local, state,
to reduce water loss resulting from the higher day- and federal levels. A fusion center is not a moni-
time evaporation rate. Industry and municipali- toring or operational center, nor does it respond
ties can shift to processes that save water, invest in to 911 calls or other direct interactions with the
repairing pipe leaks, and recycle “gray” wastewa- public. Instead, it is a physical location for infor-
ter. Governments can adopt economic approaches mation analysis. The main role of a fusion center
to conserve water by stopping government subsi- is information collaboration and coordination of
dies and inefficient practices, setting water price the fusion process in order to alert law enforce-
standards that reflect environmental costs, and ment agencies concerning threats and criminal
decentralizing control over water. activities prior to an actual event. The structure
of fusion centers allows all levels of law enforce-
Rouzbeh Nazari ment agencies to use an improved information
Reza Khanbilvardi or intelligence sharing and dissemination system
Sergio Hoyos that maximizes the prevention, protection, and
NOAA-CREST/City University of New York response capabilities of law enforcement agencies
Saeid Eslamian throughout the country.
IUT/Princeton
Development of Fusion Centers
See Also: Climate Change Adaptation; Deforestation; The development of the fusion center movement
Drought; Environmental Contamination; Famine; began with socioeconomic and technological
Floods; Food Security; Global Food Crisis; Global changes in the United States during the 1960s and
Warming; Overpopulation; Refugees and Forced 1970s. New conjunctures and improvements had
Migration Sustainability; World Water Relief. forced law enforcement agencies to carry out new
 Fusion Center 431

approaches and solutions in pursuit of improved intelligence-gathering services into a single center
service. Some law enforcement agencies accord- that provides a unique portal for analysis. This
ingly established local information sharing system collaborative effort maximizes agencies’ abilities
units that have operated for decades. However, to respond to terrorist threats and other criminal
the tragic terrorist attacks on September 11, 2011, activities by analyzing data from various sources.
showed that there was a critical gap in informa- This improved and proactive information is dis-
tion and intelligence sharing among all levels of seminated among federal government agencies
law enforcement agencies throughout the country. and their state, local, and tribal counterparts, rep-
This crisis highlighted a crucial need to refocus resenting an advanced information flow between
information sharing strategies in terms of a unified local entities and federal authorities.
and collaborative operative response to acts of ter- Contrary to similar agencies organized pre-
rorism, and accordingly the need for a formalized 9/11, such as the Regional Intelligence Center
information repository and sharing center. (RIC) and the High-Intensity Drug Trafficking
Following September 11, the term fusion has Area (HIDTA), whose purpose was to identify
come out of a new concept defined as a facilitat- and prevent drug traffickers in their efforts, these
ing and embracing process for information shar- new-generation fusion centers provide a broad
ing and intelligence through all levels of govern- range of data to law enforcement agencies. The
ment agencies, as well as the public and private function of a fusion center allows government,
sectors. The expansion of this new fusion cen- public safety, and private sectors to come together
ter philosophy has provided a more cooperative for a common goal that enhances information and
approach to law enforcement agencies within the intelligence sharing. Local, tribal, state, and fed-
United States. Fusion centers have been estab- eral law enforcement agencies play an active role
lished, organized, and managed by state and in accumulating information during the fusion
local entities within their respective missions. process. Non–law enforcement agencies, such
The Department of Homeland Security (DHS) as private-sector organizations and public safety
has supported the fusion center movement, pro- entities, are also rich intelligence sources that pro-
viding training, grants, and staff. Specifically, vide significant information, such as suspicious
after Congress passed the 9/11 Commission Act activity reports. The information provided by
in 2007, fusion centers have been promised to be non–law enforcement agencies is therefore also
developed by DHS, becoming an important com- an important component in obtaining meaning-
ponent of homeland security strategy within the ful and actionable information for analysis by law
United States. enforcement personnel.
Ideally, fusion centers consist of representatives
Fusion Process and Function who are analysts performing strategic duties from
The fusion process represents a new intelligence different local, state, and federal law enforcement
function among local, state, and federal law agencies. Each agency representative is respon-
enforcement agencies. Data fusion is a technique sible for detecting and preventing threats and
that exchanges and combines information and criminal attempts by analyzing and evaluating
intelligence from multiple sources in order to information. Representatives also determine what
improve accuracy. It is expected that an individ- type of information is needed by these agencies.
ual or user will turn raw information into more Received information such as incident reports
comprehendible and usable knowledge by ana- from local police officers or first responders, intel-
lyzing and putting together the small parts that ligence reports from various agencies, and reports
enable agencies to see a more comprehensive pic- of suspicious activities from public safety organi-
ture of crime, security, and terrorism issues. Thus, zations are collected within the system. Following
this collaborative effort prevents disorganization, the fusion process, analyzed reports are dissemi-
duplication of effort by multiple agencies, and nated to related agencies as intelligence assess-
agencies working at cross-purposes. ments, alerts, bulletins, and strategic reports.
The fundamental purpose of creating fusion An improved situational awareness is provided
centers is to combine multiple information- and throughout the country, and these consolidated
432 Fusion Center

reports allow law enforcement agencies to see Ratcliffe, J. H. and K. Walden. “State Police and the
trends and patterns in the “big picture” related to Fusion Center: A Study of Intelligence Flow to and
homeland security issues. From the Street.” IALEIA Journal, v.19/1 (2010).
Rollins, John. “Fusion Centers: Issues and Options
Bekir Cakar for Congress.” Washington, DC: Congressional
Independent Scholar Research Office, 2008.
United Nations Children’s Fund (UNICEF).“Project
See Also: Crisis Communications; Department of Review: Water Supply in Poor Urban Townships
Homeland Security (DHS); Emergency Alert Systems; in Nouakchott, Mauritania.” (January 2003).
Emergency Management, Principles of; Emergency http://www.childfriendlycities.org/en/search
Management System; Emergency Operations Center; -view?ProductID=278 (Accessed September 2012).
Information Vacuums; Operational Plans; Prevention; U.S. Department of Homeland Security (DHS).
Situational Analysis; State Emergency Management “Interaction With State and Local Fusion Centers:
Agencies; Strategic Plans; Warning. Concept of Operations.” Washington, DC: DHS,
2008.
Further Readings U.S. Department of Justice and U.S. Department of
Carter, David L. and Jeremy G. Carter. “The Homeland Security. Fusion Center Guidelines:
Intelligence Fusion Process for State, Local, and Developing and Sharing Information and
Tribal Law Enforcement.” Criminal Justice and Intelligence in a New Era. Washington, DC: U.S.
Behavior, v.36 (2009). Government Printing Office, 2006.
 G
Global Food Crisis The work of the WFP complements that of its
older sibling, the Food and Agriculture Organiza-
The phenomenon of a global food crisis, marked tion of the United Nations (FAO). Whereas the
by simultaneous disruptions to food accessibility WFP was created to address immediate humani-
in multiple regions globally, is a relatively recent tarian concerns, the FAO was organized to pro-
event. mote longer-term food security and nutrition at
the local level. The agency has since become a
Local Risk, Local Response centralized platform for gathering data, sharing
The potential for food shortage is an inherent risk agricultural research, and dispersing expertise and
in any agricultural system given the unpredictable resources into the field in country-level projects
impact of weather, crop success, political dynam- around the world.
ics, and other factors. These local roots have These efforts bolstered national crisis responses.
made famines largely local affairs for most of his- In many countries of the Southern Hemisphere,
tory. The Great Famine of 1847, for example, was the state-led development paradigm adopted by
largely limited to Ireland, and the famine associ- former colonies in their first decades of indepen-
ated with Chairman Mao’s Great Leap Forward dence emphasized self-sufficiency rather than
in the 1950s affected Chinese peasants. global trade. The resulting policies focused on
The localized nature of these crises was import substitution through a combination of the
reflected in the first wave of policy responses. nurturing of national champions and welfare poli-
The United Nations formed the World Food Pro- cies oriented to the stabilization of local prices and
gramme (WFP) in 1961, with a mandate to pro- production. During this period, many commodity-
vide food both during and in the immediate after- producing countries created marketing boards that
math of emergencies. The organization is the only acted as para-statal organizations that helped sup-
unit working under the umbrella of the United port price stability for both farmers and consum-
Nations with this as its sole objective. The WFP ers and often combined this role with the creation
relies for its work on a combination of donated of strategic grain reserves for emergency response.
cash and food from governments as well as a net-
work of thousands of employees and contractors, The Global Food Crisis From 1972 to 1973
90 percent of whom work in the field rather than The pattern of generally localized crisis was
at the agency’s Rome headquarters. altered significantly in the early 1970s. The global

433
434 Global Food Crisis

food crisis of the 1970s had its roots in a global of agriculture in development. The document
weather pattern that disrupted grain production signaled a commitment to funding agricultural
across the rice-producing countries of southeast research as well as a commitment to promoting
Asia in 1972 and later across the wheat- and market-centric policies that later became known
corn-farming areas of the Northern Hemisphere. as the “Washington consensus.”
The resulting decrease in production significantly These policies had a direct impact on many of
reduced global grain availability, leading to an the less-developed countries that relied on World
inevitable increase in prices. Rising prices in turn Bank funding, especially those in Africa. In many
interacted with instability in financial markets fol- cases, the Bank’s preference for private-sector
lowing Richard Nixon’s decision to take the U.S. solutions led to reductions in the role of market-
dollar off the gold standard and were cited as a ing boards as well as reductions in government
factor by the Organization of Petroleum Export- subsidies for seed, fertilizer, and other inputs, all
ing Countries (OPEC) in support of its 1973 deci- under the assumption that global prices would
sion to raise oil prices. provide better signals to guide production in the
Although the initial crisis appeared to end in absence of local distortions. Simultaneously, the
1973, in practice many parts of the world were bank neglected to follow through on its funding
affected through the 1970s because of a combi- commitments for agricultural research, which fell
nation of global inflation and local weather and from 16 percent of aid to African countries in 1982
other dynamics. The depth of the crisis led the to 4 percent in 2006. This decline was echoed by
FAO to convene the World Food Conference in a widespread lack of foreign direct investment
1974 to develop a global policy framework for cri- from the private sector. The end result was a steep
sis response and managing food security. Within decline in agricultural output in Africa from the
the FAO, the conference resulted in the creation in early 1980s to the middle of the 2000s, leaving
1975 of the Global Information and Early Warn- many on the continent significantly exposed to
ing Service (GIEWS), a global network of monitor- global commodity prices.
ing and data-gathering efforts targeted at identify-
ing potential emerging crises and providing local The Crisis of 2007
information necessary for effective crisis response. Unlike the 1972–73 crisis, the rapid onset of the
The GIEWS remains central to the FAO’s work food crisis that began in 2007 was not marked
with food insecure countries and is housed within by significant declines in production (though
its Emergency Coordination Group. poor wheat harvests in 2007 did play a role).
The conference also led to the creation of the Although global grain stocks relative to use had
International Fund for Agricultural Development been declining steadily since the late 1990s,
(IFAD) in 1977. The IFAD is an independent leading to a steady increase in nominal prices,
agency within the United Nations group, with the rate of decline did not accelerate commen-
a mission of eliminating rural poverty by pro- surately with the sudden spike in food prices.
moting food security and better nutrition. Like Although precise attribution remains a point
its peers the WFP and the FAO, the IFAD has a of contention, a consensus in the literature has
central bureaucracy but develops and implements developed around a “perfect storm” combina-
programs at the country level. tion of a range of factors, including the increas-
ing diversion of food crops to biofuel, rising oil
The World Bank and Agriculture prices (which increase both fertilizer and trans-
The World Bank also stepped into the global portation costs), and the declining U.S. dollar. In
debate about food policy with its 1982 World the case of rice, many Asian countries reacted to
Development Report. These annual documents potential disruptions to the staple food by enact-
serve to define the Bank’s lending agenda for the ing emergency policies ranging from export bans
coming year and are thus used as a barometer of in rice-producing countries such as Thailand and
the Bank’s priorities. The 1982 report included massive purchases by importing countries seek-
the Bank’s response to the global recession that ing to secure supply. Perhaps the most contro-
began in 1981 as well as its proposals for the role versial claim about the crisis involves the role of
 Global Warming 435

financial speculators, whose involvement with foundation made $242 million in grants for global
first the oil and later the wheat futures markets agriculture, focused largely on boosting the abil-
was found by the U.S. Senate to have contrib- ity of smallhold farmers to access markets, boost
uted to price spikes in each case. Estimates by yields, and support local food security.
the World Bank and other agencies found that
as many as 100 million people globally were Jason Windawi
pushed into poverty by the resulting crisis. Independent Scholar
Given the severity and duration of the global
crisis that began in 2007, both the traditional See Also: Commodity Shortages; Crisis, Definition
food security agencies as well as new entrants of; Drought; Food and Agriculture Organization of
have begun to blend work on crisis response with the United Nations (FAO); Food Security.
preventive measures to lower global vulnerability
to food price instability in the future. This blend Further Readings
was reflected in the approach of the World Bank, Food and Agriculture Organization of the United
which made agriculture the central topic of its Nations. “GIEWS: The Global Information and
2008 World Development Report (titled “Agri- Early Warning System on Food and Agriculture.”
culture for Development”) for the first time since Rome: Food and Agriculture Organization, 2000.
the 1982 report. It also introduced its Global Piesse, J. and C, Thirtle. “Three Bubbles and a Panic:
Food Crisis Response Program (GFRP) in that An Explanatory View of Recent Food Commodity
year. The program brings together the Bank’s Price Events.” Food Policy, v.34 (2009).
capabilities for emergency lending and grants Timmer, C. P. “Reflections on Food Crises Past.”
for food relief under one umbrella organization. Food Policy, v.35 (2010).
Importantly, the program combines this capabil- World Bank. “World Development Report 2008:
ity with a commitment to making investments Agriculture for Development.” Washington,
in agricultural research in order to build food DC: International Bank for Reconstruction and
security capacity at the country level. The GFRP Development/World Bank, 2007.
budget was raised to $2 billion in 2009 and has
remained at that level following the second spike
in food prices in 2010.
The various elements of the United Nations sys-
tem that work in areas touching on food security Global Warming
have also moved toward a more explicit empha-
sis on the blend of crisis response and longer- Global warming is one of the environmental crises
term development. Members of the system have of the 21st century. Global warming refers to the
undertaken a number of planning meetings since rising of the average temperature of the Earth’s
2008 geared toward producing greater coopera- atmosphere. The origin of global warming dates
tion across agencies. Among the more concrete back to 1896, when Svante Arrhenius, a Swed-
outcomes of these meetings is a set of guidelines ish chemist, developed the theory that burning of
issued in 2009 intended to guide more structured fossil fuels such as coal, oil, and natural gas emits
collaboration between the FAO, the IFAD, and carbon dioxides, which produce excess heat that
the WFP in order to take advantage of their global is trapped in Earth’s atmosphere, causing a rise
resources and complementary expertise. in global temperature. Arrhenius explained his
The food crisis has also prompted a response theory of global warming by the process of the
from the private sector, particularly from the Bill “greenhouse effect,” which was first observed and
and Melinda Gates Foundation, which has made posited by Joseph Fourier in 1824. This article
investments in global food security one of its top explains the concept of global warming, and its
priorities. The foundation’s mission includes three origin, causes, effects, and trends. It also describes
primary programs, of which Global Development the vulnerable groups, the responses to global
is the second largest (after its more widely publi- warming, and measures to curb it. Global warm-
cized Global Health efforts). In 2010 alone, the ing is expected to bring developmental, human,
436 Global Warming

and environmental crises. The theme is more rel- they argue that the temperature increase over the
evant in the context of crisis management. past century is the result of intense solar activ-
ity and varying solar radiation. Studies also show
Causes of Global Warming that fossil fuels produce air pollutants that make
Earth’s atmospheric temperature rise results from the clouds reflect more of the sun’s rays back into
increasing concentration of greenhouse gases space by a phenomenon known as “global dim-
(GHGs) such as water vapor, carbon dioxide, ming.” Addressing global dimming may cause
methane, ozone, nitrous oxides, and chlorofluo- more global warming, as well as other environ-
rocarbons (CFCs). The greenhouse gases are pro- mental problems.
duced mainly by human (anthropogenic) activities
such as burning of fossil fuels, deforestation, and Trends in Global Warming
transportation. Fossil fuels dominate the global Scientists view that the global warming trends
energy regime and account for over 85 percent of recorded throughout the 20th century are extreme
the total global energy consumption. and atypical. The Fourth Assessment Report of
There is scientific consensus that the global the IPCC indicates the world average temperature
warming is the result of human-induced GHGs has increased by approximately 0.6 degrees C and
emissions. The Fourth Assessment Report of the two-thirds of warming occurred since 1975. Of
Intergovernmental Panel on Climate Change the 12 warmest years since 1850, 11 were between
(IPCC) estimates that carbon dioxides from fos- 1995 and 2006. The IPCC indicates that in the
sil fuel burning account for about 57 percent, and present century, the global surface temperature is
another 17 percent result from deforestation and likely to rise a minimum of 1.1 to 2.9 degrees C
biomass decay and together with other sources, car- (2.0 to 5.2 degrees F) and to a highest scenario of
bon dioxides account for about 77 percent of the 2.4 to 6.4 degrees C (4.3 to 11.5 degrees F).
total GHG emissions. The other major greenhouse
gasses are methane (14 percent), nitrous oxides Effects of Global Warming
(8 percent), and other gases (1 percent). Rapid The global warming is causing melting of ice and
industrialization, urbanization, and the increase other cryospheric changes. Greenland’s ice sheets
in number of vehicles on the roads have contrib- are most vulnerable to global warming. Rising
uted substantially to carbon dioxide emissions. sea level, as a result of thermal expansion of the
Methane, the second potential GHG, is released ocean and melting of ice because of global warm-
from landfills and rice fields when bacteria break ing, is inevitable. The IPCC’s Fourth Assessment
down organic matters. Clathrates—the frozen ice Report estimates that global average sea level has
masses—are also sources of methane that lie at the risen since 1961 at an average of 1.8 mm/year and
bottom of the Arctic sea beds. Methane is released since 1993 at 3.1 mm/year. The report predicts a
when ice melts as a result of the rise of tempera- sea level rise between 0.18 and 0.59 meters by the
ture of ocean water. Nitrous oxide is released from end of the present century. An increase in global
chemical fertilizers, pesticides, and gases used in temperature may bring changes in temperature
various industrial processes. Different greenhouse and precipitation patterns that may increase the
gases have different heat-trapping potentials. frequency, duration, and intensity of extreme
Methane has 20 times more warming effects than weather events such as droughts, floods, heat
carbon dioxide. Nitrous oxide has 300 times more waves, and windstorms. Flooding, the most com-
warming potential than carbon dioxide. mon event, is predicted to increase in its intensity.
Disagreements have arisen, however, regarding Global warming and consequent sea level rise
the nature, causes, and consequences of global are expected to cause coastal erosion and loss of
warming. Some scientists disagree that the causes biodiversity, severely affecting food security sys-
of global warming are based in human factors, tems, causing problems of malnutrition and hunger,
and they argue that it is the result of natural fluc- and aggravating already existing environmental
tuations in the Earth’s temperature and changing and human crises. Human migration and displace-
climate system cycle. Others view global warm- ment with environmental refugees are expected
ing as caused by variability in solar radiation and to increase. Global warming and extreme climate
 Global Warming 437

Large chunks of soil collapse as a result of permafrost thaw and erosion along the Sagavanirktok River on the north slope of Alaska
near Deadhorse in July 2009. When permafrost thaws, microbes digest vegetation, which results in the release of methane, a potential
greehouse gas that is thought to lead to global warming. Methane can also be released into the atmosphere through another process
of thawing: The rise of ocean water temperatures can thaw frozen ice masses at the bottom of Arctic sea beds.

events have potential impacts on water and energy are decreasing, and the chances of ecosystems to
resources, as well as other sectors such as agricul- adapt naturally and conditions of equilibrium are
ture, forestry, and fisheries. The resulting human also diminishing. Rising temperatures may increase
and environmental crises, coupled with resource evaporation and water loss, causing reductions in
scarcity (food, water, and energy) arising from water supplies, leading to water crisis. Nearly 1.8
global warming, may generate political conflicts. billion people could be living in water-scarce envi-
Global warming may cause shifting in tempera- ronments by 2080. The consensus among many
ture regimes, changes in crop yields, and extinc- scientists is that human-induced global warming
tion of species. Severe human health problems are will dramatically increase extreme weather con-
likely to occur because of increases in infectious ditions that will destabilize the economy and the
diseases spread by pests and insects. Vector-borne environment. Growing intensity of climate change
diseases such as malaria, cholera, fileria, and yel- events such as hurricanes, floods, and droughts is
low and dengue fevers are expected to rise because expected to seriously undermine development.
of global warming and climate change. Diarrheal The ocean is a huge “carbon sink,” holding
diseases associated with floods and droughts are about 50 times as much carbon as the atmosphere.
likely to increase. Global warming is expected to The carbon sink potential of the ocean, however,
put stress on water resources, energy supply, and is diminishing because of global warming. As a
other economic and ecological systems. Global result of increased thermal stratification of oceans,
warming is likely to affect certain ecosystems there have been substantial reductions in phyto-
more than others, for example, tundra, man- plankton, which store carbon dioxides. Increased
groves, and coral reefs. Species and their habitats atmospheric carbon dioxide is also causing an
438 Groupthink

acidification of the ocean, affecting marine organ- There is a need to modernize power plants, reduce
isms, especially the shell-forming organisms. Stud- dependence on fossil fuels, generate electricity
ies suggests that the amount of oxygen dissolved from nonpolluting sources, expand clean energy
in the oceans may decline by global warming, sources, and increase energy efficiency. All mitiga-
with an adverse impact on marine life. Scientists, tion strategies need to be intensified in reducing
however, argue several positive impacts of global the GHG emissions, enhancing the capacity of
warming, for example, a longer growing season, carbon sinks and for a low carbon development.
higher-yield harvests and increased food pro- The strategies of low carbon development can be
duction, better human health, and a decrease in taken by investing in clean energy sources and
climate-related disasters. Although global warm- promoting “green growth” and “green develop-
ing is a major threat to coral reefs, studies reveal ment.” Strict enforcement of environmental leg-
that some coral species may be able to adapt to islation and policies is crucial. Intensification of
warmer oceans. The impacts of global warming reforestation programs is vital in order to increase
and climate change, however, remain uncertain. the carbon sink capacity of vegetations and reduce
production of greenhouse gases.
Vulnerable Groups
Vulnerability to global warming and consequent Manoranjan Mohanty
climate change events is expected to increase. University of the South Pacific
Small island states are the most vulnerable group,
facing the greatest risks to global warming, sea See Also: Climate Change Adaptation; Deforestation;
level rise, coastal flooding, and the other extreme Drought; Floods; Food Security; Freshwater Demands
weather events. Sea level rise is expected to exac- and Shortages; Ozone Layer Depletion.
erbate inundation, storm surge, marine erosion,
and other coastal hazards in small island states. Further Readings
Global warming and extreme weather events are Abrahamson, Dean E., ed. The Challenge of Global
likely to reduce water resources in these countries. Warming. Washington, DC: Island Press, 1989.
Children, women, the elderly, and communities Haley, James, ed. Global Warming: Opposing
living in poverty are particularly the groups most Viewpoints. Farmington Hills, MI: Greenhaven
vulnerable to global warming and climate change. Press, 2002.
Mathez, Edmond. A. Climate Change: The Science
Responses to Global Warming of Global Warming and Our Energy Future. New
In 1988, the United Nations Environment Pro- York: Columbia University Press, 2009.
gramme and the World Meteorological Organi- Silver, Jerry. Global Warming and Climate Change
zation established the Intergovernmental Panel Demystified. New York: McGraw-Hill, 2008.
on Climate Change (IPCC) to assess the scien-
tific knowledge on global warming. The United
Nations Framework Convention on Climate
Change (UNFCCC), an international environmen-
tal treaty agreed at the Rio Earth Summit in 1992, Groupthink
adopted a range of policies to prevent dangerous
human-induced greenhouse gases causing global Reaching consensus, the general agreement among
warming. The Kyoto Protocol to the UNFCCC, all members of the group, is desirable in many
adopted in December 1997 and entered into force contexts. Consensus should not occur, however,
in February 2005, aimed at reduction of green- until after careful analysis and consideration of all
house gases to combat global warming. relevant points of view. Realistically, absolute con-
sensus is rarely achieved and, in some cases, can
Measures to Curb Global Warming be catastrophic. The groupthink concept offers a
Global warming and climate change are immi- clear characterization of perilous consensus.
nent. Action must be taken to curb further In what has become a classic work, psycholo-
buildup of heat-trapping gases in the atmosphere. gist Irving Janis characterized the desperate drive
 Groupthink 439

for consensus at any cost as “groupthink.” Janis’s disagreement among group members. When a
early work focused mainly on disastrous policy group allows productive clash, group members
decisions made by groups who counseled United feel free to speak up if they disagree with a deci-
States presidents. Groupthink occurs when mem- sion or potential decision. Without such produc-
bers of a decision-making group are so obsessed tive clash, the group stops functioning as a unit.
with reaching consensus that they discount evi- One or two individuals control the group, thereby
dence that challenges the prevailing ideas of the negating the primary strength of groups—multi-
group. Scrutiny of the pros and cons of an idea is ple perspectives. When group members choose to
replaced by a sort of group arrogance that assumes avoid productive clash, the quality of the group’s
the group will make the best decision without decisions is in jeopardy.
deliberation. Janis believed groupthink was at the To ensure that adequate clash exists, Carl
source of such historic failures as Pearl Harbor, Mann suggests group members answer four ques-
the Bay of Pigs invasion, and the Vietnam War. tions as part of their group deliberations:

Warning Signs of Groupthink • Is there enough evidence to warrant the

Janis provides six warning signs of groupthink: conclusion?
• Is there negative evidence that rebuts the
• Limited discussion: The group limits conclusion?
discussion to just a few alternatives. • Does the evidence genuinely support the
These alternatives are usually the most conclusion?
comfortable choices available to the group. • Does the conclusion go beyond the
• Ignoring risk: The group does not supporting materials?
reevaluate its choices, even after new signs
of risk become apparent. An informed discussion that considers all
• Ignoring alternatives: The group does points of view and carefully considers the qual-
not reevaluate its choices to see if it may ity of evidence available is likely to avoid making
have passed over an alternative that could the types of seriously flawed policy decisions that
provide even greater benefits. continue to precipitate crises.
• Ignoring advice: The group does not seek
advice from relevant experts within the Recent Applications of Groupthink
organization. More recently, some scholars have argued that
• Limiting focus: The group seeks facts and groupthink contributed to the space shuttle Chal-
opinions that support its decision while lenger disaster as well as the U.S intelligence agen-
ignoring information that does not. cies’ assessment of Saddam Hussein’s weapons of
• Failure to plan for crisis: The group fails mass destruction efforts. To clarify, communica-
to consider the potential consequences that tion scholars Dennis Gouran, Randy Hirokawa,
might exist if its plans fail. and Amy Martz found that managers from Mor-
ton Thiokol, a company responsible for produc-
When these warning signs are present, groups ing key components of the space shuttle Chal-
are in danger of unequivocally supporting a coun- lenger, initially recommended that the launch
terproductive policy despite the availability of be canceled. They wanted to cancel the launch
known alternatives. because they feared that the temperature was too
low to allow the rockets to function properly.
Avoiding Groupthink These managers perceived external pressure from
To avoid the potential dangers of groupthink, the National Aeronautics and Space Administra-
groups should carefully consider if consensus has tion (NASA) to reverse their decision to delay the
come at the cost of productive conflict, accuracy, launch. This perception by the engineers that they
and efficiency. Productive conflict refers to the were being pressured to go along with what they
clash of opinions and the discussion of contradic- believed was the group’s consensus is a clear sign
tory evidence. In this case, “clash” refers to healthy of groupthink. Unfortunately, this decision led to
440 Groupthink

the explosion of Challenger 71 seconds into the Further Readings

launch. The shuttle exploded for precisely the Gouran, Dennis S., Randy Y. Hirokawa, and Amy
reason that made the Morton Thiokol managers E. Martz. “A Critical Analysis of Factors Related
originally ask that the launch be delayed. Worse, to Decisional Processes Involved in the Challenger
Phillip Tompkins’s study focusing on the space Disaster.” Central States Speech Journal, v.36
shuttle Columbia disaster nearly 10 years later (1986).
found that some of the same group decision prob- Janis, Irving. L. “Groupthink: The Desperate Drive
lems were still evident in NASA. for Consensus at Any Cost.” Psychology Today,
v.12 (1971).
Timothy L. Sellnow Mann, Carl P. “How to Remove Groupthink From
University of Kentucky Executive Decision-Making.” Public Relations
Review, v.31/1 (1986).
See Also: Decision Making; Decision Making; Tompkins, Phillip K. Apollo, Challenger, Columbia:
Theories of; Decision Making Under Stress; Decision The Decline of the Space Program. Los Angeles:
Stream; Normalization of Deviance. Roxbury, 2005.
 H
Hazard, Definition of Reduction (UNISDR) on disaster risk reduction
in 2009, a hazard is defined as a dangerous phe-
The origin of the English word hazard is consid- nomenon, substance, human activity, or condition
ered to come from the old French word hasard, that may cause loss of life, injury, or other health
meaning a game of chance using dice; from the impacts; property damage; loss of livelihoods
Spanish azar; from the Arabic az-zahr; from the and services; social and economic disruption; or
Persian zar; or from the Turkish zar. The word environmental damage. Such hazards arise from
indicates something causing danger, peril, risk, or a variety of geological, meteorological, hydrologi-
difficulty. Hazard is used both as a noun and as a cal, oceanic, biological, and technological sources,
verb. As a noun, hazard means a game played with sometimes acting in combination. In technical set-
two dice, an earlier and more complicated form of tings, hazards are described quantitatively by the
craps. It is also used to refer to an obstacle, such likely frequency of occurrence of different intensi-
as a bunker, sand trap, or the like on a golf course. ties for different areas, as determined from histori-
As a verb, hazard means to offer (e.g., a statement cal data or scientific analysis.
or conjecture) with the possibility of facing criti- Statistically, hazard is defined as the probabil-
cism, disapproval, failure, or the like. It means to ity of occurrence of a potentially damaging event,
put to the risk of being lost or to expose to risk. process, activity, or condition of given character-
Hazard and risk are often confused with regard istics in a given space and time. Besides the prob-
to their meaning and implications. The term haz- ability of occurrence, the characteristics of the
ard has already been explained above; however, hazard are described by its physical dimensions,
the term risk is derived from the classical Greek including location, magnitude (mostly defined in
word Rizikon, which means root. Hazard has an terms of energy released), duration of occurrence
existing situation, which is likely to cause damage and impact (the period), geographical extent, fre-
or harm, whereas risk is an anticipated situation quency (how often it occurs), intensity, timing of
of potential harm or danger that can be avoided, occurrence, and speed of onset (how fast or slowly
prevented, or mitigated. it occurs). Hazard is not deemed to be synony-
mous with risk, although it is an important deter-
Definition of Hazard minant of risk. Hazard is actually the potential
According to terminology suggested by the to cause harm, whereas risk is the likelihood of
United Nations International Strategy for Disaster harm in defined circumstances. The degree of risk

441
442 Hazard, Definition of

depends upon the degree of exposure and vulner- When a particular hazard of given character-
ability of the element exposed to a given hazard. istics is considered for disaster risk assessment/
A low exposure to something that is highly haz- reduction, it is termed a “specific hazard.” In
ardous may result in a low risk, whereas a high cases when more than two hazards are considered
exposure to something of low hazard may result simultaneously in the risk management process, it
in moderate or even high risk. is termed a “multi-hazard approach.”
A widely accepted definition characterizes
natural hazards as “those elements of the physi- Cascading Hazards
cal environment, harmful to human beings and Hazards may not occur in isolation from each
caused by forces extraneous to him/her.” The other. Rather, it is quite possible that one hazard-
term natural hazards refers to all atmospheric, ous event may trigger another hazardous event,
hydrologic, geologic, and wildfire phenomena followed by still another. This is termed “cas-
that, because of their location, severity, and fre- cading hazard.” For example, an earthquake in
quency, have the potential to affect humans, a hilly terrain may cause landslides, which may
structures, and activities adversely. The probabil- block the water channels, and the bursting of
ity of occurrence of hazards depends on certain these landslide-dammed channels leads to flash
causative factors and conditions that can be iden- floods in the area. Thus, a single hazard is likely
tified and assessed for disaster risk management. to have multiple impacts. For instance, an earth-
However, such hazard identification and assess- quake damages buildings and infrastructures,
ment will have some uncertainty, which should be associated landslides result in loss of land and
informed while expressing the results. The factors crops, and the flash floods erode the structures/
affecting the occurrence of hazards may be inher- infrastructure and inundate the affected area.
ent or acquired.
Surya Parkash Gupta
Hazards and Human Involvement National Institute of
The term hazard includes an element of human Disaster Management, New Delhi
involvement. A physical event, such as an earth-
quake in the oceans or polar areas, that does not See Also: Cascading Crisis; Disaster, Definition of;
affect human beings is a natural phenomenon but Hazard Vulnerability Analysis.
not a hazard. A potentially damaging phenom-
enon that occurs in a populated region would be Further Readings
termed probable hazard. Similarly, a hazardous Burton, I., Robert W. Kates, and Gilbert F. White.
event that causes an unacceptably huge number The Environment as Hazard. New York: Oxford
of human deaths or colossal damages to economy University Press, 1978.
and environment would be termed a disaster. In Park, Chris C. A Dictionary of Environment and
areas where there are no human interests, natu- Conservation. Oxford: Oxford University Press,
ral phenomena do not constitute hazards nor do 2007.
they result in disasters. This definition is thus at United Nations International Strategy for Disaster
odds with the perception of hazards as unavoid- Reduction. “Terminology on Disaster Risk
able havoc wreaked by the unrestrained forces of Reduction.” (2009). http://www.unisdr.org/we/
nature. It shifts the attention from natural phe- inform/terminology (Accessed June 2012).
nomena or processes to the concurrent presence
of human beings and natural events. Earlier, haz-
ards were considered by a school of thought as
natural occurrences and “acts of God,” but the
increasing awareness and understanding of haz- Hazard Mitigation
ards has now led to the view that the problem of
hazards cannot be handled without considering Hazard mitigation can be broadly defined as
humans’ relationship with nature and the nature measures directed at reducing risk or damage to
of human society. property and lives from natural or human-made
 Hazard Mitigation 443

Drainage tubes installed along Route 30 in Blenheim, New York, diverting water during a heavy rainstorm on November 23, 2011. The
tubes were part of mitigation work that was completed after flooding struck the area during Hurricane Irene in August 2011. Hazard
mitigation techniques, such as this structural example, can reduce the vulnerability of the property or life exposed to the hazard.

hazards. Suitable mitigation measures are deter- study features the process of collaborative devel-
mined by assessing which factors cause the most opment of a risk-based land use guide for Metro
risk, and which of those will provide the most Vancouver, British Columbia, Canada, with a goal
safety for cost. Hazard risk mitigation techniques of mitigating hazards and strengthening commu-
can diminish the hazard and reduce the vulnerabil- nity safety through informed land use decisions.
ity of the property or life exposed to the hazard. Humans have been trying to mitigate haz-
Hazard mitigation techniques are structural (for ards for centuries. Vincent Covello and Jeryl
example, dykes to protect from floods). Vulner- Mumpower suggested that virtually all great
ability mitigation techniques can be structural (for ancient civilizations (e.g., China, Maya, Egypt,
example, raising a home above flood level) and and Mesopotamia) directly intervened to mitigate
nonstructural (for example, regulation to address the effects of natural disasters and that govern-
behavioral changes among the population with ments have played a major role in developing
regard to the hazard). Mitigation is generally con- and financing elaborate systems of flood control.
sidered to be the first stage of disaster/crisis man- Given the growing costs of disasters, public-pri-
agement. It allows for building community and vate partnerships with the goal of mitigating haz-
personal resilience to hazards prior to the event ards are gaining recognition as a potential way to
through long-term investments in safety. This dis- share risk and costs of long-term investments in
cussion focuses on nonstructural mitigation of nat- the resilience of communities and societies.
ural hazards through incorporation of indigenous Researchers such as David Godschalk and col-
knowledge and local land use planning. The case leagues in the United States and John Handmer
444 Hazard Mitigation

Case Study: Risk-Based Land Use Guide for Hazard Mitigation

Risk-based land use guides provide municipal Vulnerability Context

staff with principles and tools to evaluate and Over 2.5 million people live on the Fraser River
recommend land use decisions that mitigate delta and along its mountain flanks (Metro
disasters. To be effective, the guides incorporate Vancouver). Tens of thousands more live along fiord
principles and tools recognized locally, nationally, edges and the valleys leading north through the
and internationally as the most informed of our mountains (for example, the town of Squamish).
time (best practices). A land use guide targets The urban built-environments are modern and
municipal staff because they provide both the affluent, developed primarily over the last 100
strategic and operational recommendations and years as a Pacific port facility, transporting natural
decisions on land use for urban centers. Large resource riches and importing manufactured goods,
urban centers, in general, are the most vulnerable and being the financial hub of British Columbia.
land uses. Typical of delta and port cities, it has many bridges
In recognition of the magnitude of responsibility and extensive exposure to water from the river and
that municipal staff carry in building safe the ocean. Industrial and port facilities and railways
communities, a consortium in southwest British were built on land created by filling shallow coastal
Columbia, Canada, formed to assist municipal waters. Metro Vancouver’s primary hazard threats
staff in consolidating informed risk-based land use are flooding and earthquakes. Communities like
practice into a practical guide. Its development is Squamish to the north face these same hazards,
predicated on the inclusion of local and scientific landslides, debris flows, and rare volcanic eruptions.
informed practice. It is community focused, based Present risk mitigation strategies for
on common economy, society (culture, governance), earthquakes, floods, landslides, and fires are
and geography. The southwest British Columbia primarily structural. They include incorporation
example was driven by threats posed by its of building codes, dykes, berms, building on
multihazard geography. elevated pads in floodplains, debris flow catchment
basins, rock stabilization, and fire-retardant house
Hazard Context materials near forests. A few examples of mitigation
Southwestern British Columbia faces challenges of through land use include development restrictions
a rugged mountainous, fiord-style coastal geography in recurrent landslide areas.
driven by tectonic plate convergence causing
earthquakes and volcanoes. Prevailing onshore The Risk-Based Land Use Guide
winds deflected by the mountains produce large In a pilot program begun in 2010, stakeholders are
amounts of precipitation, causing multiseasonal creating a risk-based land use guide for the Metro
rapid-onset flooding. The volcanic mountains are Vancouver region. Presently, stakeholders in this
unstable, being composed primarily of poorly process include land use planners, city managers,
consolidated fine-to-coarse fragments. The other permit and licensing staff, engineers, critical-
mountains, of granitoids and metamorphosed infrastructure owners and managers, insurers,
sedimentary rock, are coated in debris from their researchers and practitioners of land use policy,
own disintegration and material left by the retreat and emergency managers and disaster reduction
of continental glaciers at the end of the last ice policy advocates from all levels of government.
age. These slopes regularly release debris flows and The land use guide builds on Murray Journeay and
rock slides, often triggered by high rainfall events. colleagues’ risk assessment guide created from
The Fraser River, fed from the interior of British strategic planning with the town of Squamish.
Columbia, has caused extensive valley flooding The land use guide principles include those
from rapid spring snowmelts. The region remains that are stakeholder built and managed, using
heavily forested, and fires and blowdowns threaten existing local instruments that incorporate informed
developments. practice; a balance of social, economic, and
 Hazard Mitigation 445

environmental concerns; transparency of knowledge; Risk Assessment Guide

and community engagement. Local guide-creation Any evaluation of the safety of a land use proposal
workshops build capability in risk-based land use or strategic growth plan requires a method to
evaluation. Stakeholders create the guide together determine the risk of development and use.
to ensure it is practical, applicable, and usable, Murray Journeay piloted a project to develop and
and incorporates local knowledge. By connection test methods of land use risk assessment with
with researchers and a practitioner network, global the municipality of Squamish, which included
informed practices are identified and incorporated. testing the disaster loss estimation tool Hazus-MH.
Key factors of the guide include risk management The initial study created and demonstrated the
instruments needed to be in place prior to a application of risk assessment for earthquakes,
proposal evaluation (for example, hazard zonation). floods, and landslides in development of a low-
It provides a methodology to identify the hazards, risk community-driven strategic growth plan. The
assess the hazard potential, decide which hazards Squamish study demonstrated the value of and
pose a threat, create an inventory of assets under a methodology for community engagement in
threat from the hazard, determine potential losses hazard and threat identification and evaluation
from hazard events, identify mitigation options to priority setting, for application of quantitative
reduce potential losses to community-acceptable risk assessment, and for comparing risk between
levels, implement the mitigation, and monitor the existing and various potential future built
mitigation implementation. environments. Comparing the risk of various
British Columbia requires all developments future built environments determined a potential
be made “safe” for intended use, though it does quantifiable risk reduction for certain growth plans,
not describe how to calculate safety or make a thereby measuring the benefit of land use risk
development safe. Each municipality is expected mitigation options. It demonstrated the potential
to make those determinations. The risk-based land savings in dollars and lives.
use guide will describe how to calculate the factor Journeay and colleagues provided a guide for
of safety and provide options to reduce the risk to using quantitative risk assessment for strategic
tolerable levels. For example, the guide will describe planning. Similar methods, though with different
how to set up hazard zones with special land scale and emphasis, are applicable to evaluating
development requirements prescribed to mitigate the safety of development permit proposals. The
those hazards, how to integrate risk mitigation into risk-based land use guide incorporates these
official strategic plans, how to take advantage of methods and others in the context of municipal
land use types that minimize exposure to a hazard, processes for development applications and
and how to determine a proposal’s hazard risk. strategic planning.

and Stephen Dovers in Australia suggest that sev- mitigation. As the 2011 earthquake and tsunami
eral public policy issues have impeded implemen- events in Japan have shown, even disasters with
tation of hazard risk mitigation: (1) government “natural” triggers can generate very long-lasting
institutions dealing with disasters were designed impacts globally. Short-term goals of response—
for response rather than prevention, (2) the per- saving lives and protecting assets—have to be
ception of disaster assistance as a social entitle- negotiated with more strategic, longer plan-
ment, (3) concern about imposing limitations on ning horizons located within broader policy and
the use of private property, (4) the organizational institutional settings that recognize the impact
fragmentation of mitigation effects, (5) the costs of individual and local decisions on the eco-
of mitigation programs (such as public acquisi- nomic, social, and environmental viability of a
tion of hazard-prone lands), and (6) understand- nation. This is particularly important under the
ing the extent of savings provided by hazard risk conditions of changing climate and increasing
446 Hazard Mitigation

uncertainty. Practical and scientific evidence has examples, indigenous knowledge is characterized
demonstrated the economic, social, and envi- by the following attributes:
ronmental return on mitigation investment. For
example, Public Safety Canada reported benefit- • Locally bound, indigenous to a specific area
cost ratios for flood prevention measures in Aus- and community
tralia, the United States, and the United Kingdom • Culture and context specific
as 3:1, 4:1, and 5:1, respectively. According to • Nonformal
Charlotte Benson, John Twigg, and the ProVen- • Orally transmitted and generally not
tion Consortium, a Vietnam Red Cross mangrove documented
planting program implemented in eight provinces • Dynamic and based on innovation,
to provide protection to coastal inhabitants from adaptation, and experimentation
typhoons and storms cost an average $0.13 mil- • Closely related to survival and subsistence
lion a year over the period 1994 to 2001 but for many people worldwide
reduced the annual cost of dyke maintenance by
$7.1 million. The program also helped save lives, Although the value of incorporating indig-
protect and generate new livelihoods, and explic- enous knowledge and mitigation practices has
itly incorporate local indigenous knowledge in been acknowledged, this integration has not been
hazard mitigation. seamless and has met several challenges. One
challenge is that indigenous knowledge can be
Indigenous Knowledge and Mitigation classified based on geographical, thematic, and
Indigenous knowledge increasingly informs miti- organizational contexts, and in many cases, these
gation decisions to better reduce the impacts of overlap. Another challenge is that indigenous
disasters. The compatibility of indigenous knowl- knowledge is orally transmitted, and thus imple-
edge with scientific knowledge is a central compo- mentation is not traditionally documented. This
nent in developing meaningful mitigation strate- challenge is twofold; first, outsiders to this knowl-
gies at a local level. For successful outcomes, it edge may not fully understand its true depth, and
is necessary to facilitate culturally sensitive com- second, when this knowledge is documented, it
munication strategies between local people and may be impossible to capture culturally specific
the scientific community. This knowledge sharing nuances within the confines of written text.
must be based on the assumption that transparent
knowledge exchange can aid local communities in From Theory to Practice
addressing their own mitigation strategies while It is necessary to understand the foundational
enhancing the development of emerging scien- principles of indigenous knowledge, analyze them
tific research practices. The 1999 World Confer- in tandem with scientific observations and logic,
ence on Science called for “cooperation between and apply these lessons into practice. The follow-
holders of indigenous knowledge and scientists ing explores an example of indigenous knowledge
to explore the relationship between different through the facet of local technology systems.
knowledge systems and to foster inter-linkages Amir Ali Khan provides an example of earth-
for mutual benefit.” quake-safe traditional housing practices through
an exploration of case studies in Japan, Turkey,
Characteristics and Challenges El Salvador, Peru, Kyrgyzstan, Italy, Nepal, and
Although technological advancement has always India. Because of the relatively high frequency of
been a functional component of mitigation, the earthquake events, traditional peoples living in
mid-1980s saw the inclusion of indigenous knowl- these areas devised safer construction techniques
edge as an integral part of the development frame- to protect their homes against earthquake shak-
work. Indigenous knowledge became increasingly ing. These techniques have evolved over time to
used in designing development projects, with a reflect the environmental, cultural, and historical
specific focus on community interventions. context in which they exist and reflect cross-gen-
Drawing on popular definitions by J. Flavier erational experience of earthquake-safe construc-
and L. Grenier, as well as countless international tion practices. Building techniques were based on
 Hazard Mitigation 447

locally available resources to address local needs. and infrastructure in their jurisdiction, as well
In these countries, houses built using earthquake- as the probabilities of different hazardous events
safe traditional construction practices have been occurring across different geographic locations.
able to successfully withstand significant earth- Local officials must also understand how differ-
quake forces. ent land use decisions can affect these vulner-
Khan demonstrated the need to integrate indig- abilities and probabilities.
enous knowledge with the technical and scientific Such information can be gathered through the
practices of mitigation. This can be done in two process of hazard assessment, which provides the
ways: first, by encouraging the inclusion of indig- factual basis for decision makers to estimate the
enous knowledge in the decision-making process; likely costs and benefits of alternative land use
and second, through education and awareness scenarios and various strategies for reducing risk.
raising of communities and stakeholders, includ- Hazard assessment should proceed according to a
ing agencies of government, nongovernment, three-step process as follows:
academic institutions, and communities. This
integration and inclusion is best done in the local • Hazard identification: Defining the
community, with its shared culture and geography. magnitudes and probabilities of natural
hazards that might pose threats in a given
Land Use Planning for Reducing Losses area
Natural hazard researchers have identified • Vulnerability assessment: Characterizing
local government land use planning as a criti- the populations and property exposed
cal activity for reducing natural hazard–related to hazards and the extent of injury and
losses and creating disaster-resilient communi- damage that might result from natural
ties. In theory, local governments can use land hazard events in a given area
use planning to reduce losses by controlling both • Risk analysis: Combining hazard
the location and the design of new development identification and vulnerability assessment
projects that are reviewed under their jurisdic- data to provide a complete description of
tion. To be most effective in reducing losses, risk from the full range of possible natural
local governments can use land use planning hazard events in a given area
to steer new development away from hazard-
ous areas completely. When communities decide When applied to future land use, hazard assess-
to allow development in hazardous areas, local ment can be used to identify hazardous areas
governments can use land use planning to reduce where new development should be discouraged
potential losses by directing development to the and/or prohibited. Hazard assessment can also
least hazardous portions of project sites and/or be used to reduce risk in areas that have already
by requiring the use of construction practices been developed by providing the justification for
that help reduce hazard risk. required retrofitting aimed at reducing risk.

Hazard Assessments Land Development and Construction

Recent scholarship has sought to locate the con- Land use planning researchers have recently
cept of land use planning for natural hazard turned their focus to the potential for alterna-
mitigation within the broader framework of sus- tive land development and construction practices
tainability and sustainable development, with to reduce hazard risks. One series of published
poor land use planning that fosters hazard vul- papers from a national study of alternative sub-
nerability being viewed as inherently unsustain- division design examined New Urbanist subdivi-
able. Sustainable land use planning in this con- sions (i.e., subdivisions that are characterized by
text requires at a minimum that decision makers relatively high housing densities, mixed land uses,
be adequately informed regarding local hazard and pedestrian-friendly design features) and their
risks. To make informed decisions, govern- potential (relative to conventional subdivisions) to
ment land use officials must have accurate data reduce losses from flood events. In particular, the
regarding the vulnerability of people, buildings, authors of the papers argued that New Urbanist
448 Hazard Mitigation

design features should theoretically serve to foster Texas and Florida.” Natural Hazards, v.40/2
additional protection of sensitive floodplain areas (2007).
and the incorporation of stormwater best man- Brody, S. D., S. Zahran, W. E. Highfield, H. Grover,
agement practices. and A. Vedlitz. “Identifying the Impact of the
Other recent studies have examined the rela- Built Environment on Flood Damage in Texas.”
tionship between construction practices and sub- Disasters, v.32/1.(2008).
sequent flood losses. These studies found that Brody, S. D., S. Zahran, P. Maghelal, H. Grover,
construction practices that involve altering and/or and W. E. Highfield. “The Rising Cost of
destroying natural wetlands during the construc- Floods: Examining the Impact of Planning and
tion process are likely to result in increased flood Development Decisions on Property Damage
losses that stem in part from the decreased capacity in Florida.” Journal of the American Planning
of the natural landscape to manage floodwaters. Association, v.73/3 (2007).
The studies also found that construction practices Centre for Natural Hazards Research. “CNHR Notes
that result in increased quantities and distribution of the Risk-Based Land-Use Guide Workshop,
of impervious surfaces also lead to increased flood December 8, 2011.” http://www.sfu.ca/cnhr/work
losses. In response, the authors recommend that shops/download.html (Accessed March 2012).
land use planning be utilized in order to protect Deyle, R. E., S. P. French, R. B. Olshansky, and R. G.
existing wetland areas and to limit the installation Paterson. “Hazard Assessment: The Factual Basis
of impervious surfaces into the natural landscape. for Planning and Mitigation.” In Cooperating With
Nature: Confronting Natural Hazards With Land-
Lilia Yumaguolva Use Planning for Sustainable Communities, R. J.
University of British Columbia Burby, ed. Washington, DC: Joseph Henry, 1998.
Lambertus Struik Godschalk, D. R., E. J. Kaiser, and P. R. Berke.
Natural Resources Canada “Integrating Hazard Mitigation and Local Land
Mark Stevens Use Planning.” In Cooperating With Nature:
University of British Columbia Confronting Natural Hazards With Land-Use
Emily Dicken Planning for Sustainable Communities, R. J. Burby,
University of Victoria ed. Washington, DC: Joseph Henry Press, 1998.
Handmer, J. and S. Dovers. The Handbook of
See Also: All-Hazards; Buildings; Hazard, Definition Emergency and Disaster Policies and Institutions.
of; Hazard Vulnerability Analysis; Pre-Impact London: Earthscan, 2007.
Planning Process; Preparedness; Prevention; Risk Shaw, R., A. Sharma, and Y. Takeuchi. “Introduction:
Analysis; Vulnerability. Indigenous Knowledge and Disaster Risk
Reduction.” In Indigenous Knowledge and
Further Readings Disaster Risk Reduction: From Practice to Policy.
Berke, P. R. “Reducing Natural Hazard Risks New York: Nova Science Publishers, 2009.
Through State Growth Management.” Journal of Song, Y., P. R. Berke, and M. R. Stevens. “Smart
the American Planning Association, v.64/1 (1998). Developments in Dangerous Locations: A Reality
Berke, P. R., Y. Song, and M. Stevens. “Integrating Check of Existing New Urbanist Developments.”
Hazard Mitigation Into New Urban and International Journal of Mass Emergencies and
Conventional Developments.” Journal of Planning Disasters, v.27/1 (2009).
Education and Research, v.28/4 (2009). Struik, L. “A Canadian Risk-Based Land-Use Guide.”
Brody, S. D., J. Gunn, W. Peacock, and W. E. Highfield. HazNet, v.3/2 (2012).
“Examining the Influence of Development Patterns Struik, L., Laurie Pearce, and Murray Journeay.
on Flood Damages Along the Gulf of Mexico.” “Land-Use Decision Support: A Risk-Based
Journal of Planning Education and Research, v.31/4 Land-Use Guide.” Canadian Risk and Hazards
(December 2011). Network, 8th Symposium, Ottawa, Ontario. Slide
Brody, S. D., W. Highfield, H. C. Real, and L. Spaniel- deck. http://www.crhnet.ca/pastsymposiums/2011/
Weber. “Examining the Relationship Between Struik_etal_crhnet2011_land-use.pdf (Accessed
Wetland Alteration and Watershed Flooding in March 2012).
 Hazard Vulnerability Analysis 449

Table 1 Hazards that should be considered

Hazard Vulnerability Natural Technological
Analysis events events Human events
Hurricane Electrical failure Terrorism
The overarching goal following a crisis is to mini-
Failure of
mize its impact on an organization and return the Tornado Generator failure
government
organization to its pre-event status as quickly as
Severe Law enforcement
possible. The hazard vulnerability analysis (HVA) Fuel shortage
thunderstorm events
is a systematic approach to thoroughly examin-
Blizzard Sewer failure Labor actions
ing a hazard, the probability of a hazard becom-
ing an event, and the resultant risks to the orga- Ice storm HVAC failure Supply chain issues
nization in question. A completed HVA serves Tsunami Fire Bomb threat
as a tool used to prioritize hazards, thus giving Temperature Hazmat (internal/
emergency planners a way to focus resources. extremes external)
This article further defines a hazard vulnerability Drought Structural damage
analysis, explains each component of an HVA,
External flood Loss of IT systems
discusses limitations to HVA, and suggests how
to conduct an HVA. Loss of key
Landslide
department
In the discussion of crises, the terms risk, threat,
and hazard are often treated as interchangeable. Volcano
For the purposes of this article, the following defi- Epidemic
nitions will used. A hazard can be defined as any-
thing that may pose a danger to an organization
or institution. An event occurs when a hazard is
realized and it has had an impact on an organiza- floods; however, in today’s environment, this
tion or institution. Risk is a measure of the prob- may be rather shortsighted. A broad review of all
ability of damage to life, property, or the environ- hazards must be examined, especially given the
ment upon the manifestation of a hazard. global interconnectedness of our world. Table 1
Once a hazard is identified, the probability of refers to a partial list of hazards that should be
its becoming an event is quantified according to considered.
the following formula: Since this is not an exhaustive list, any hazard
to an organization must be considered. A truly
(Probability) × (Risk) × (Preparedness) comprehensive review also considers hazards to
= Vulnerability business operations. It is important to look not
only locally but globally as well; for example,
Several methods have been developed to quan- obtaining raw materials from a foreign country
tify these terms. A properly performed HVA that undergoes a nationwide labor action or polit-
should differentiate hazards so that planners are ical upheaval can result in supply chain issues.
provided with a focal point for preparedness and
mitigation. Having the support of organizational Considerations for Hazard Identification
leadership prior to performing an HVA is criti- Dividing personnel into small workgroups is an
cal to its success. Without this support, findings effective way to evaluate a specific set of hazards.
and subsequent recommendations may never be Each group should be composed of subject-matter
realized. Leadership may not adopt all the recom- experts in the areas to which they are assigned. For
mendations, but efforts must be supported and example, plant engineering should be represented
championed from above. in workgroups that examine hazards impacting
infrastructure. Any group evaluating informa-
Hazard Identification tion technology (IT) hazards must have an IT
Traditionally, organizations focus on natural professional as a member. Using this broad-based
disasters, including hurricanes, earthquakes, and approach ensures a more thorough understanding
450 Hazard Vulnerability Analysis

of the capabilities and limitations of each depart- The type, magnitude, location, and duration of
ment. If any international hazards are identified, impact on the environment must be considered
it is best to consult members of the organization when evaluating risk. Intangible impacts, such as
who have cognizance in international operations. loss of goodwill and reputation, must also be con-
The development of a large list that identifies all sidered. Negative press regarding environmental
hazards, no matter how improbable they may contamination or violation of regulations may
seem, is preferable to having a list that fails to have a long-lasting impact.
identify a potential hazard. The next step, after Life, safety, and health should take priority
hazards have been identified, is to determine the when evaluating any hazard. The organization’s
likelihood that they may occur. role in the community (public versus private, ser-
vice versus manufacturing, etc.) will determine
Probability which of these areas have the greatest risk to the
Probability—the likelihood or chance of some- organization. A 1–5 scale can be used to help fur-
thing—can help determine vulnerability. Previous ther stratify the risk; the higher the number, the
occurrence of a natural event can assist in deter- greater the risk.
mining the probability of its reoccurrence. His-
tory of occurrence based on geographic location Preparedness
can be found at a number of open-access Web Preparedness is an organization’s state of readi-
sites, including those the National Oceanographic ness to respond to an event. The five major vari-
and Atmospheric Association (NOAA), National ables to examine when determining an organi-
Weather Service (NWS), and National Geological zation’s preparedness include status of current
Survey, all of which are well-recognized sources plans, training status, insurance, availability of
of information. State, local, and regional agen- backup systems, and community resources. Are
cies, particularly local emergency planning com- the organization’s responsible recovery plans
mittees (LEPCs), may also provide information. up to date? Are the initial planning assump-
Federal law requires that producers and users tions used to develop plans still valid? Difficult
of hazardous materials above certain quantities economic times have forced organizations to do
inform local agencies as well as provide contin- more with less, often leaving a single person in
gency plans to local emergency planning commit- charge of multiple areas. Should an event occur,
tees. Establishing relationships with local organi- can one person be effective in disaster response,
zations may provide insight into what the local given competing responsibilities? Can the organi-
community perceives as vulnerability and may zation continue normal operations when there is
lead to better cooperation and coordination dur- an interruption of supplies? Just-in-time logistics
ing an event. have replaced the warehousing of key supplies
Quantifying the probability of an event can and materials, and the assumption that the orga-
be difficult. The American Society of Healthcare nization can continue normal operations, even for
Engineers (ASHCE) and Kaiser Permanente have several days, may no longer be valid.
implemented a simple 0–3 scale, with 0 meaning An annual review of contingency plans should
no probability and 3 meaning high probability. be the minimum requirement. Turnover of per-
Further stratification occurs by applying a similar sonnel and changes in responsibility must be accu-
scale to risk and preparedness. rately tracked. If this information is not reviewed
on a regular basis, the information cannot be
Risk counted on as accurate, greatly hampering both
Risk is defined as the negative outcome when a response and recovery efforts. This is especially
hazard is realized and an organization or institu- true in the first few hours of an event, when key
tion is negatively affected. Although many more people are needed most.
exist, six areas of risk should be considered: Training of individuals is a key component of
threat to life and health, disruption of services, any preparedness program. Key leaders should
possibility of damage and failure, loss of commu- be trained in the principles of incident com-
nity trust, financial impact, and legal issues. mand and incident management. Many skills
 Hazard Vulnerability Analysis 451

Table 2 Natural events (probability) × (risk) × (preparedness) = vulnerability

PROBABILITY RISK PREPAREDNESS

DISRUPTION

DISRUPTION

DISRUPTION
MODERATE
MEDIUM

HEALTH/
THREAT

SAFETY

GOOD
NONE

POOR
HIGH

HIGH
LOW

LOW

FAIR
LIFE
EVENT 3 2 1 0 5 4 3 2 1 3 2 1 SCORE
Hurricane X X X 12
Tornado X X X 6
Severe
X X X 8
thunderstorm
Snowfall X X X 6
Blizzard X X X 6
Ice storm X X X 6
Earthquake X X X 10
Tidal wave X X X 0
Temperature
X X X 2
extremes
Drought X X X 2
Flood, external X X X 2
Wildfire X X X 1
Landslide X X X 3
Volcano X X 0
Epidemic X X X 18

used during day-to-day operations can be uti- itself. Leadership and crisis-response staff should
lized but are rarely sufficient. The time frame in have a working knowledge of these principles.
which decisions must be made and the amount of There are several no-cost and low-cost training
available information prior to making a decision programs available from the Federal Emergency
vary greatly in crises when compared to regular Management Agency (FEMA).
operations. The amount of time in which to make Frequent training exercises and drills aid in
a decision is greatly compressed. Often, some identifying inadequate response plans and give
amount of information desired prior to making leaders an opportunity to exercise leadership in
a decision is unavailable. The time required to a safe but stressful environment. Realistic sce-
gather information is often unavailable, forcing narios based upon the vulnerabilities identified
people out of their comfort zone to make deci- in the HVA are best. Effective programs provide
sions with a paucity of information. Making the time and personnel dedicated to developing,
wrong decision is often preferable to not making administering, and evaluating drills and exer-
any decision. cises. An effective program should not have key
Training in the terminology and principles of responders both develop the exercise and partici-
an incident command system is necessary in order pate in the drill. Responders’ participation in the
to adequately integrate into the community’s running of a drill makes an impartial assessment
response plan, even though not every organization difficult. Employing an impartial organization,
may adopt a formal incident command system either internally or by subcontracting specialists,
452 Hazard Vulnerability Analysis

allows an unbiased look at an organization’s if the disaster is widespread, available resources

program. decrease dramatically.
Adequate insurance coverage should be part of Relying on support from governmental agencies
any preparedness program. The insurance port- as the cornerstone of any preparedness program
folio should include policies to cover physical is fraught with difficulties. Each organization
loss of buildings, infrastructure, and supplies as should prepare itself for independent operations
well as loss of revenue. Insurance companies may for a minimum of 96 hours. When considering
require specific plans or specialized procedures entering into agreements with organizations to
to be in place to protect the organization from provide key services, during or after an event,
loss. Having a thorough and accurate inventory consider other commitments by those vendors to
of all equipment, supplies, and infrastructure will provide the same services. It is not uncommon
greatly speed the filing of any claim and assist in today’s consolidated business environment to
in reimbursement from local, state, and federal have committed resources to multiple organiza-
agencies. Having adequate response plans and tions. If the event is widespread, vendors may not
procedures in place may also reduce exposure be able to meet their obligations and alternatives
for the insurance company, potentially leading to must be considered. A scale of 1–3 can be used,
decreased insurance premiums. with 1 representing well prepared, 2 being fairly
Status of backup systems should be thoroughly prepared, and 1 being poorly prepared.
evaluated. Examination of processes and pro-
cedures may help identify key vulnerabilities to Putting It All Together
backup systems. These systems may be as simple Below is an example of an HVA using the ACHE
as a redundant communication system that noti- format for natural events. In this formula, the
fies leadership and management should a primary probability of 0 (no risk) to 3 (high risk) is used.
system become inoperable, or as complex as an Risk is classified from 1 to 5, with 5 identifying
off-site data center that maintains full data ser- the greatest threat and 1 identifying low disrup-
vices should the primary system fail. Develop- tion. An inverse scale is used to identify prepared-
ing cross-trained teams from other offices within ness, with 3 representing poorly prepared and 1
the organization should be considered prior to representing well prepared. The scores from each
requesting community assistance. Most vulner- are multiplied using the following formula:
able supplies should be cached by either putting
them into storage or increasing par levels so if an (Probability) × (Risk) × (Preparedness)
interruption occurs, impact may not be as severe. = Vulnerability
As an organization becomes more dependent
on technology, uninterrupted supplies of electric- The product of all three factors gives a quan-
ity are of ever-greater importance. Facility-wide titative value to the vulnerability. If there is no
backup generators may be out of reach for many probability of a hazard, a score of 0 is assigned;
institutions; however, particularly vulnerable sys- basic arithmetic functions then yield a vulner-
tems can be protected by smaller generators or ability of 0. In this example, a higher number
commercially available uninterrupted power sup- given to preparedness identifies an organization
plies. Having agreements with companies that less prepared.
provide portable generators is a viable alterna- Each hazard should be ranked numerically,
tive. Pre-wiring of the identified circuits to receive which will quickly identify any outliers. Efforts
power from a commercial generator will save need to be focused on the greatest vulnerabili-
time if an outage occurs. ties. The completed HVA should be shared with
Finally, the ability of a community to respond members of the organization and should be used
should be thoroughly examined. The nature to gain consensus on where and how resources
of the event will determine whether one can should be utilized. Completing an HVA annually
count on community resources. If the event will help determine if preparedness efforts have
is localized to a single facility, such as in a fire, reduced existing vulnerabilities or if any new
resources are often readily available. However, vulnerabilities have been identified.
 Hazardous Materials 453

An HVA is a valuable tool. If performed prop- Those who use hazardous materials are required
erly, it will identify key vulnerabilities of an orga- by law to report the substances being used so
nization that can then be ranked and prioritized emergency responders know which materials may
so that resources to mitigate these vulnerabilities be involved in a hazardous materials incident in
can be correctly utilized. As mitigations are devel- their jurisdiction. Vehicles transporting hazardous
oped, they should be tested, and training exercises materials, such as railway cars and tractor-trailers,
should be performed regularly to ensure that they are required to be placarded with basic informa-
remain valid. tion about the materials they are carrying.

Donald MacMillan Hazardous Materials Identification

Yale New Haven Hospital There are two main systems by which to identify
hazardous materials. One system was developed
See Also: Backup Strategy; Exercises; Hazard, by the U.S. Department of Transportation (DOT),
Definition of; Insurance; Preparedness; Risk Analysis; and a related system was adopted by the United
Training; Vulnerability. Nations (UN). The National Fire Protection Asso-
ciation (NFPA) developed an additional system of
Further Readings placard information.
Arnold, J. L. “Risk and Risk Assessment in Health The DOT/UN system uses a diamond-shaped
Emergency Management.” Prehospital and placard on vehicles transporting hazardous mate-
Disaster Medicine, v.20/3 (2005). rials. Labels are used on other types of containers.
Einarsson, S., et al. “An Approach to Vulnerability Each hazardous substance is assigned a class for
Analysis of Complex Industrial Systems.” Risk identification purposes. The class of the substance
Analysis, v.18/5 (1998). is displayed on the placard in the form of a four-
Sundnes, K. O. and M. L. Birnbaum, eds. “Health digit number. The placard itself is in the shape of
Disaster Management Guidelines: Evaluation and an 11-inch diamond and has to be displayed on
Research in the Utstein Style.” Prehospital and all four sides of the vehicle.
Disaster Medicine, v.17/Supp. 3 (2002). Placards and labels are required on all ship-
ments of the most dangerous materials, which
include radioactive materials, water-reactive flam-
mable solids, explosives, and some dangerous
poisons. Placards are also required on shipments
Hazardous Materials of less dangerous hazardous materials when the
shipment contains more than 1,000 pounds of the
A hazardous material is any item or agent (bio- substance.
logical, chemical, physical) that has the poten- The Emergency Response Guidebook (ERG)
tial to cause harm to humans, animals, or the is developed jointly by Transport Canada, the
environment. A hazardous materials spill occurs U.S. Department of Transportation, and the Sec-
when hazardous materials are released in an retariat of Communications and Transportation
uncontrolled manner. This can happen while a of Mexico (SCT). The ERG contains a list of the
substance is being transported or at a fixed facil- four-digit codes and the chemicals they represent.
ity. One example is the oil spill resulting from The ERG is intended to be used by emergency
the April 20, 2010, explosion of the Deepwater responders to help them identify any hazardous
Horizon offshore drilling rig that released more materials at the scene of an incident. The ERG
than an estimated 200 million gallons of crude also provides information on how responders
oil into the Gulf of Mexico. According to the can protect themselves and the public from the
U.S. Department of Transportation, there were hazardous material in question. The manual out-
14,953 hazardous materials incidents (1,389 air lines the particular fire or explosion dangers of
incidents, 12,750 highway incidents, 743 rail the substance where applicable, as well as the
incidents, and 71 water incidents) in the United health risks if one is exposed to the material. The
States in 2011 alone. ERG includes information on the recommended
454 Hazardous Materials

protective clothing emergency responders should NFPA System Placards

wear while working near the substance and sug- The NFPA system of hazardous material identi-
gests evacuation distances to protect people from fication is also widely used. This system uses the
large spills. same diamond shape as the DOT system and sub-
There are nine categories of hazardous mate- divides the diamond into four smaller diamonds,
rials, and the hazard class of dangerous items is each of which is color coded. Each color has a
indicated either by its class/division number or by particular meaning:
name, as listed below:
• Blue—health risk
• Hazard Class 1: Explosives • Red—flammable material
»» Division 1.1 Mass explosion hazard • Yellow—reactive
»» Division 1.2 Projectile hazard • White—special characteristics or
»» Division 1.3 Minor blast/projectile/fire information, such as whether water can be
»» Division 1.4 Minor blast safely used on the substance
»» Division 1.5 Insensitive explosives
»» Division 1.6 Very insensitive explosives Each colored diamond displays a number indi-
• Hazard Class 2: Compressed gases cating the degree of risk of that material. These
»» Division 2.1 Flammable gases numbers range from 0 (no risk) to 4 (greatest
»» Division 2.2 Nonflammable risk). As an example, a highly flammable material
compressed gases could have a 4 in the red diamond.
»» Division 2.3 Poisonous gases
• Hazard Class 3: Flammable liquids Routes of Exposure
»» Flammable (flash point below 141 There are four main routes of exposure by which
degrees) chemicals can enter a body: inhalation, skin con-
»» Combustible (flash point 141–200 tact, eye contact, and ingestion. Chemicals in
degrees) the forms of gases, vapors, dust, or mist may be
• Hazard Class 4: Flammable solids inhaled through the mouth or nose. Many chemi-
»» Division 4.1 Flammable solids cals can cause irritation, itching, or swelling when
»» Division 4.2 Spontaneously they come in direct contact with the skin, and
combustible solids some chemicals can be absorbed through the skin.
»» Division 4.3 Dangerous when wet Chemicals can also enter the body through con-
solids tact with the eyes. Gases, vapors, dust, or mist can
• Hazard Class 5: Oxidizers and organic all come in contact with the eyes. Additionally,
peroxides liquids can be splashed into the eyes. Chemicals
»» Division 5.1 Oxidizer may be ingested through the mouth by swallow-
»» Division 5.2 Organic Peroxide ing. This can result from hand-to-mouth contact
• Hazard Class 6: Toxic materials or consuming contaminated food or beverages.
»» Division 6.1 Material that is poisonous
»» Division 6.2 Infectious agents Personal Protective Equipment
• Hazard Class 7: Radioactive material It is essential for emergency services personnel to
»» Radioactive I wear personal protective equipment (PPE) when
»» Radioactive II responding to hazardous materials incidents.
»» Radioactive III There are three zones (cold, warm, and hot) in a
• Hazard Class 8: Corrosive material hazardous materials incident that correspond to
»» Destruction of the human skin the level of protection one needs in order to safely
»» Corrode steel at a rate of 0.25 inches work within that zone. Each zone is discussed in
per year further detail below.
• Hazard Class 9: Miscellaneous Personnel who enter the warm or hot zones
»» Miscellaneous hazardous materials or need to wear appropriate protective clothing
substances and equipment. There are four basic levels of
 Hazardous Materials 455

protection, with the highest being Level A and the protective clothing can enter. The hot zone is
lowest, such as street clothing, being Level D. A sometimes also referred to as the exclusion or
person wearing Level A equipment is theoretically restricted area.
protected for short exposures in an atmosphere The warm zone is the control area immediately
that is immediately dangerous to life and health outside the hot zone. It is also referred to as the
(IDLH), and for prolonged work (such as cleanup decontamination or limited access area. Only
operations) in contaminated areas identified as those properly trained and equipped to assist with
having a short-term exposure limit. decontamination should enter this area. The inner
Air purification devices or self-contained and outer borders of the warm zone might be as
breathing apparatus (SCBA) help minimize the far as 120 feet apart, depending on the scope of a
risk of inhalation exposure and should be used particular operation.
by personnel in any IDLH atmosphere. An IDLH The cold zone may also be referred to as the
atmosphere is one in which the maximum to clean area. This is where the command post is
which a healthy worker can be exposed to the sub- located. Transport lines form in this zone to
stance in question is 30 minutes in order to escape receive patients as they are passed outward.
without suffering irreversible health effects. Per- When responding to a hazardous materials
sonnel who remain in the cold zone should still event, emergency personnel should approach the
wear PPE, including gloves, face shields or safety scene from uphill and upwind to prevent acci-
goggles, masks, and overboots, to prevent acci- dental contamination. This is more feasible when
dental exposure to the hazardous substance. responders know ahead of time about the pos-
sibility of entering a hazardous environment. In
Four Levels of Personal Protective Equipment some instances, personnel may enter the hazard-
The following list details the four levels of personal ous environment before they realize the nature of
protective equipment (PPE)—A, B, C, and D: the situation.

• Level A is the highest level of protection. Decontamination

This is a fully encapsulated chemical- One of the most important principles of handling
resistant suit with a double layer of hazardous materials is to prevent further con-
chemical-resistant gloves, chemical-resistant tamination. All people and equipment involved
boots, airtight seals, and SCBA. in the incident need to be decontaminated in
• Level B protection includes a chemical- order to remove the substance. All materials used
resistant, long-sleeved suit with double for decontamination, such as the water used for
layer of chemical-resistant gloves and washing and flushing the area, also need to be dis-
chemical-resistant boots. Those using Level posed of properly.
B protection still need to use SCBA to enter There are four general types of decontamina-
the hazardous environment. tion, as follows:
• Level C protection includes an air-
purification respirator, chemical-resistant • Mechanical decontamination involves
suit, chemical-resistant outer gloves, and brushing or wiping substances (such as dust
chemical-resistant boots. or powders) off the victim. This is the first
• Level D is the lowest level of protection and step of gross decontamination.
does not provide respiratory protection. • Dilution involves washing the substance
Regular work clothes would be considered off, most often with plain water. If the
Level D protection. hazardous material is water-reactive (such
as sodium or lithium) or nonsoluble,
Control Zones detergent should be added to the water in
As mentioned above, there are three main zones order to remove the substance.
within which one may operate at a hazard- • Degradation is the chemical alteration and
ous materials incident. The hot zone is an area neutralization of the hazardous nature of
into which only those with the highest level of a substance. This process may be used on
456 Hazardous Waste Disposal

equipment but is not practical for use on

people.
Hazardous Waste Disposal
• Isolation of remaining hazardous Hazardous wastes are defined by the Environ-
materials as well as materials used mental Protection Agency (EPA) as substances
for decontamination is also necessary. that have no commercial value and cannot be
Collection systems for water runoff, for sold or recycled. These substances primarily
example, are important, and in some include secondary waste from commercial and
jurisdictions mandatory. Hazardous industrial activities, such as leftover chemicals at
materials should not be allowed to run dry cleaning facilities or hazardous by-products
into the drainage system. used in the manufacturing process. These sub-
stances often include mercury, agriculture chemi-
There are several resources available for infor- cals, benzene, and other hydrocarbons such as
mation on what to do when dealing with vari- used motor oil. Hazardous wastes may also
ous types of dangerous substances. Some are include the leftover by-products used to manu-
more appropriate for individuals, while others facture illegal drugs such as methamphetamines.
are geared toward emergency response person- Hazardous waste products are highly regulated
nel. CHEMTREC is a private service for informa- throughout the industrial world. This is primar-
tion about chemicals involved in transportation ily because of the environmental and health haz-
accidents. The Centers for Disease Control and ards that they pose.
Prevention (CDC) provides information about
biologic and disease-related hazards. There are Concerns
nearly 40 regional poison control centers that Various accidents have occurred involving haz-
cover all regions in the United States. Finally, the ardous waste products, resulting in thousands
National Pesticide Telecommunications Network of deaths as well as multiple sites that require
(NPTN) is a 24-hour service for information cleanup. In many areas of the world, the water
related to pesticide exposures and accidents. supply has become so contaminated with hazard-
ous waste there is little potable water available. In
Christina Spoons other areas, lakes and rivers that are commonly
Ashford University used by communities and villages to supply both
potable and nonpotable water resources are com-
See Also: All-Hazards; Centers for Disease Control pletely unusable. The vast majority of hazardous
and Prevention (CDC); Chemical Risk; Electronics chemicals are generated from household use, such
Waste; Emergency Medical Care; Emergency as pesticides, household cleaning supplies, and
Responders; Environmental Contamination; Nuclear related materials. Many households are unfa-
Risk; Petrochemical Risk; Sewage Spill. miliar with how to properly use these chemicals,
which results in hazardous waste products. More-
Further Readings over, these products are often poured down the
National Academies. Cooperative Research for drain or flushed into the toilet, which may result
Hazardous Materials Transportation: Defining the in the contamination of the local water supply or
Need, Converging on Solutions. Washington, DC: the ground surrounding the home. Unfortunately,
Transportation Research Board, 2005. few homeowners realize just how hazardous this
Transport Canada, et al. “2012 Emergency Response waste can be until family members become ill.
Guidebook.” Ottawa: CANUTEC, 2012. Luckily, private organizations and government
U.S. Department of Transportation. Federal agencies have implemented local recycling efforts
Hazardous Materials Transportation Law. so that homeowners have a place to drop off their
Washington, DC: Pipeline and Hazardous hazardous waste materials.
Materials Safety Administration, 2005. Children and adults alike have suffered as a
U.S. Department of Transportation. “Title 49 CFR result of poorly managed hazardous waste sites.
Parts 100-185.” Washington, DC: National This has resulted in a large occurrence of non-
Archives and Records Administration, 2012. treatable cancers, respiratory illness, deformities
 Hazardous Waste Disposal 457

in newborns, and children born with delayed

mental faculties. This is especially common in
underdeveloped countries where large industrial
organizations have relocated because of a lack of
environmental enforcement by the government.
Bribery of officials has also been documented in
these countries, with the result that illegal haz-
ardous waste operations are often overlooked. In
some cases, entire provinces or large sections of
land are no longer usable. Humans are no longer
able to occupy these areas.
These illegal sites not only affect humans,
they also affect wildlife. Many countries have
seen entire species eliminated as a direct result
of illegal hazardous waste sites. However, the
majority of hazardous waste sites completely
follow all legal and regulatory standards while
managing this waste. Local emergency planning
committees (LEPCs) have been formed in most
communities to keep the public informed and
assist these hazardous waste sites in their efforts
to follow the law. Large industrial producers of
hazardous waste are required to complete Tier
II reports each month and send these reports to Steven Guy shovels up what remains of his house after an EF-4
local and state officials. State emergency response tornado hit on April 27, 2011. Hazardous waste from disasters
commissions (SERCs) have been formed in order must be separated from other debris such as wood, electronics,
to manage hazardous waste sites and to manage large appliances, and household garbage for proper disposal.
incidents involving accidental releases of hazard-
ous waste materials.

Background Hercules Chemical Plant in Jacksonville, Arkan-

The U.S. Congress passed the Resource Conserva- sas, which manufactured Agent Orange for the
tion and Recovery Act (RCRA) in the mid-1980s military during the Vietnam War, and several
in an effort to regulate the generation, storage, waste pit owners, who were accused of dumping
treatment, transportation, and disposal of wastes hazardous waste into local rivers.
considered to be hazardous. Congress gave over- In addition to the United States, many other
sight of this act to the EPA, which also allows industrialized countries also have regulations
some states to regulate their own hazardous waste concerning hazardous waste. These regulations
under the law. The law was passed in response to include the Framework Directive on Waste (Euro-
an increase in the number of hazardous materi- pean Union), the National Solid Waste Policy
als being released into the air as well as into the Bill (Brazil), and the Regulation of Exports and
groundwater by individuals, service industries Imports Act (Australia). Other countries, such
(e.g., dry cleaners), and manufacturers. Scientific as South Africa, Mexico, and India, have simi-
evidence suggests an increase in the number and lar regulations in place. Moreover, international
types of cancer and other medical conditions in treaties such as the Basel Convention (1992)
the areas near these releases. Moreover, several and the Waigani Convention (2001) formalized
historical incidents involving hazardous wastes agreements between 151 countries that serve to
have occurred, prompting the public to demand minimize generation, prevent unlawful dispos-
that the federal government pass laws concern- able, control and reduce international move-
ing hazardous wastes. These incidents include the ment, and ensure sound management practices
458 Hazardous Waste Disposal

associated with disposal of hazardous wastes. behind. Local, state, and federal agencies were
These conventions also establish mechanisms to left with the responsibility of locating the own-
prosecute those accused of unlawfully disposing ers and trying to prosecute them. These agencies
of waste. were also left with the responsibility of secur-
ing the sites and trying to find funds to remedi-
Regulatory Efforts ate them. Because bankruptcy courts are charged
Aside from regulations and laws such as RCRA, with ensuring that any remaining assets are paid
the U.S. Congress passed the Superfund Amend- to creditors, government agencies often have
ments and Reauthorization Act (SARA) to assist found that their hands are tied when trying to
with the cleanup of illegal hazardous waste sites. penalize these companies. This has not stopped
Moreover, the act provides a funding mechanism them from prosecuting the company leaders.
for hazardous wastes sites that are so large the Additional current efforts include changing
owner is unable to pay for their cleanup. Some how hazardous waste is classified so that the pub-
of these sites may have been legitimate sites that lic has a better understanding of these hazards.
experienced an extraordinary event, such as an These efforts include changing warning placards
accidental spill, or they may have been sites that on transportation vehicles such as trucks and
operated outside their state or federal authoriza- ships and informing the public where hazard-
tion. However, the United States has so many sites ous sites are located. However, with the advent
there is not enough funding available to pay for of the global war on terrorism and concerns
the cleanup. Therefore, the EPA has created a list about domestic terrorism, the U.S. Department of
of sites based upon priority. The sites that have Homeland Security is attempting to change how
the potential of affecting the largest number of these notifications are made. Additionally, these
citizens are usually placed at the top. These sites efforts include removing placards and signage
may have contaminated the local water supply, so that potential terrorists are unable to access
may be located near a school, or have the poten- hazardous waste that may be used in creating a
tial to affect entire communities. weapon of mass destruction (WMD).
Citizen groups such as the Sierra Club have not
only researched the effect of hazardous wastes on Doug Brown
the population and the environment but have also Arkansas State University
enlisted respected scientists to help them promote
change. These groups have helped open forums See Also: Chemical Risk; Crisis, Definition of:
with citizens and government leaders, presented Crisis Communications; Documentation; Emergency,
scientific research in well-respected journals, and Definition of; Emergency Medical Care; Emergency
filed lawsuits against private companies and the Responders; Environmental Contamination;
government. Many of these efforts have led to Evacuation; Exercises; Health and Medical Response
enforcement activities, including successful pros- Scenarios; Mutual Aid and Assistance; Nuclear Risk;
ecution of illegal waste operators and cleanup Preparedness; Public Awareness and Education;
of illegal sites. Medical leaders have also joined Response; Sewage Spill; Training; Uncertainty.
these efforts by researching high rates of cancer
in these areas. Further Readings
A global reduction in the economy that started Kubasek, K. and G. Silverman. Environmental Law.
in 2008 significantly reduced the management of 3rd ed. Upper Saddle River, NJ: Prentice Hall, 2000.
hazardous waste concerns. Although the regula- Revesz, R. Environmental Law and Policy. New
tions and laws on the books never changed and York: Foundation Press, 2008.
the EPA and similar agencies still require the Schnepp, R. and P. Gantt. Hazardous Materials:
transport and disposal of hazardous waste per Regulations, Response, and Site Operations.
law, reductions in investigative staff may have Albany, NY: Delmar Publishing, 2004.
contributed to an increase in illegal waste sites. U.S. Environmental Protection Agency (EPA). “Code
Moreover, many companies filed for bankruptcy of Federal Regulations 29 CFR 1910.120 and Sub-
and simply closed, leaving hazardous materials Parts.” Washington, DC: EPA, 2003.
 Health and Medical Response Scenarios 459

Health and Medical • Staff working in ad hoc, remote treatment

centers
Response Scenarios • Staff working with representatives of
several departments, agencies, and
Health and medical care staff and systems play jurisdictions
key roles in the response and recovery from cri- • Infrastructure/service failure or intermittent
sis events (such as mass transportation accidents access to services and utilities
and acts of terrorism). Disasters such as Hur- • Reconciling inpatient and survivor medical
ricane Katrina and the 2011 Japanese tsunami needs
illustrated how hospitals could be destroyed or • High levels of public risk and multiple
rendered unusable. Under such circumstances, deaths
hospitals and medical staff have to establish and • Distressed publics seeking guidance,
work from ad hoc facilities. Even if remaining information, and services
intact, hospitals will have to operate at consider- • Dealing with the worried well
ably reduced capacity as a result of, for exam- • Staff shortages from lack of availability,
ple, losses in infrastructure (such as damage to exhaustion, or sickness that increase over
buildings and equipment and loss of critical care time
facilities) or in staff (pandemic influenza creates • Staff concerns for workplace and family
patient surges at the same time as staff avail- safety
ability is reduced by increasing infection rates). • Public searching for friends and relatives in
Crises result in staff having to work long hours, hospitals
often in temporary locations, while possibly hav- • Blood shortages
ing to contend with personal loss and increased • Integrity of information channels being
threats to themselves and their families (such as overwhelmed, disrupted, or lost
the risk of infection from pandemic or biohazard • Medical supply and personal protection
events). equipment inadequacies, shortages, and
Being able to respond to crises requires the losses
development of crisis management systems, com- • General practitioners seeking advice
petencies, processes, and procedures. This com- • Private hospitals and rest homes seeking
mences with planning for worst-case scenarios advice and/or being overwhelmed
that identify the circumstances and consequences • Mass evacuations into or away from a city
hospitals and their staff could encounter. This • Large numbers of patients and staff
article outlines the context in which medical requiring decontamination
response planning occurs and discusses what hos- • Resource limitations that increase over time
pitals and medical staff can do to adapt to crisis
circumstances and consequences. Anticipating these issues provides the founda-
tion for planning that identifies the systems and
Context procedures required to facilitate a capacity to
Health and medical crisis management starts adapt to crises. This work is performed by senior
with anticipating the point where the surge in management teams. During a crisis, the senior
demand from a crisis event will overwhelm nor- management group is involved in planning for
mal capabilities and resources. This could occur hospital and staff recovery.
acutely (for example, with an earthquake) or over
time (as with a pandemic). Identifying where this Planning
occurs signals where crisis management activities Crisis management planners develop crisis man-
and processes are required to accommodate issues agement policy and the training and organiza-
such as the following: tional development required to ensure that plans
can be implemented promptly should a crisis
• Hospitals overwhelmed to the point of occur. During a crisis, senior management teams
actual functional collapse identify and procure future resource needs (over
460 Health and Medical Response Scenarios

Case Study: Medical Crisis Management Capability Exercise

Outbreaks such as severe acute respiratory to crisis events. This included developing clear
syndrome (SARS) and swine flu highlighted the guidelines to inform the establishment and
need for medical and health facilities to develop operation of community health resources. To
crisis management capability. The rarity of such implement the latter, evaluation identified a need
events and the suddenness with which they can for improved crisis management systems and
occur makes the use of simulations that provide processes. A need to develop communication
comprehensive tests of national systems an systems across the health sector to facilitate more
important tool in developing crisis management effective communications during a crisis was
capability. This case study discusses an exercise evident. In particular, more attention to clarifying
designed to practice and assess key elements of what was required by each agency and function was
an effective medical crisis management capability called for to ensure effective implementation and
including public health interventions (surveillance coordination of response processes. The absence
capability and capacity, early detection and of such coordinating mechanisms resulted in some
isolation of cases, quarantine of contacts, and agencies preferring to follow their own established
use of antivirals); cluster control (contact tracing processes, resulting in a breakdown of a national
procedures by public health services, isolation response that relies on the coordinated use of
procedures and protocols, reconfiguration of limited resources. This identified a need to develop
health services, and preparation for establishment clear and consistent communication systems
of community-based assessment centers); and processes, developing them in a consultative
communications with public and media (content manner to increase sector willingness to engage
and distribution of fact sheets, management of Web with developed processes. Consequently, a need for
site information for consistency and currency, and the collaborative development of current systems
regular media briefings); and exercise operations and tools in ways that contribute to ensuring they
centers (capability and capacity of these facilities to are effective and utilized consistently in a crisis
effectively operate during a pandemic event). was recognized.
The exercise included 21 health boards, public The exercise also identified a need for more
health services, the Institute of Environmental training in and improved tools for evaluation
Science and Research, and the Ministry of Health. activities to contribute to the progressive
The exercise was evaluated and analyzed using development of crisis management systems and
data and information obtained through debriefings capability. Other findings related to resource
with exercise participants, facilitators, and availability. Some emergency operations centers
evaluators. Observation notes and comments from across the sector identified a need for more
evaluators using predeveloped templates, narrative facilities and equipment to enable them to respond
feedback, and feedback were received from 20 effectively during a pandemic crisis. Human
district health boards and seven public health resource issues, particularly regarding training
service units. and staff deployment resources, were identified,
as was recognition that there were insufficient
Identification of Needs people to perform as efficiently as required. In
Evaluation identified a need for crisis management some areas, further training in coordinated incident
to address issues relating to policy, procedures, management was required to allow staff to better
and guidance; systems, tools and processes; understand their role and increase their capability,
human resources; capability and capacity; particularly with regard to teamwork. Analysis of
communications; and monitoring. team functioning highlighted a need for clearer
A need was also identified for comprehensive definition of roles and responsibilities across the
policies, procedures, and protocols designed sector to avoid confusion and misunderstandings
specifically to enable effective and timely response and to optimize use of limited resources. A need
 Health and Medical Response Scenarios 461

was found for more trained staff to be available resources. This was particularly so when new and
to cover contingencies and additional functions crucial information was introduced. This identified
(for example, redeploying child health nurses to a need not only for better pre-event communication
surveillance) where required. training but also for the development of better
During the early part of the exercise, confusion coordination of health sector resources and more
and misunderstanding affected the quality of effective monitoring of activities being undertaken
communication and effective coordination of across the sector during response.

the next week to months) and start planning for Staff Roles, Deployment, and Availability
hospital and staff recovery and the return to nor- Planning must consider how preexisting staff roles,
mal functioning. Planning culminates in develop- functions, and deployments may change during
ing crisis management capability across all hos- crisis response. For example, staff without ongoing
pital functions in ways that accommodate novel duties could be redeployed (for example, remov-
demands such as multiagency response, staff roles ing debris from hospitals or preparing facilities for
and deployment, remote treatment needs, and patients). To expedite this, it is necessary to conduct
staff ability and willingness to report to work. staff audits and anticipate staff deployment in rela-
tion to crisis demands and needs and not in terms
Multiagency Response of normal staff roles and patterns of deployment.
Planning should extend beyond a given hospi- Planning should accommodate, for example,
tal to encompass the regional and multiagency identifying the roles and type of staff required,
issues required to develop a tiered, scalable, and possible threats to staff and their families, the
flexible surge capacity to provide care for pro- provision of crisis management education and
longed mass casualty events. Planning should preparedness, and response and support training
involve key stakeholders (emergency medical to develop staff confidence in their role and to
services; emergency management; public health; mitigate risk in the workplace (risk management
public safety/law enforcement; health care sys- protocols, personal protective equipment, and
tems; hospitals and hospital associations; Red antivirals). All staff should be involved in plan-
Cross; mental health; jurisdictional legal author- ning. This ensures that resource use is optimized,
ities; professional associations such as pharmacy, staff needs are acknowledged, and training needs
medical, nursing, and mental health; and health are realistic, and that planning increases com-
professional training institutions). This ensures mitment to training and plan implementation.
that, as far as possible, all professional, jurisdic- The importance of the latter derives from the
tional, and regional stakeholder groups likely possible need for staff to operate outside normal
to have roles and responsibilities are identified hospital environments.
and included in the planning process. This can Events such as earthquakes can damage infra-
be facilitated using planning models such as the structure over a wide geographical area. To
medical and health incident management sys- accommodate the fact that many survivors will
tem. It is also important to consider likely public not have immediate access to hospital care, remote
behavior (such as public reluctance to present facilities to compensate for overwhelmed, dam-
to inoculation centers in a bioterrorist event). aged, or destroyed hospitals must be established
A failure to anticipate likely public behavior and resourced. Remote settings capable of acting
could result in resources being wasted by plan- as temporary hospital facilities (such as churches,
ners’ inappropriate assumptions about public community centers, government buildings, hotels,
response to medical crises. Planning needs to medical clinics and surgeries, sports facilities, and
pay particular attention to issues associated with warehouses) should be identified. Planning for the
staff deployment and availability. operation of remote centers should be modular,
462 Health and Medical Response Scenarios

in 50-patient increments, to facilitate estimating Knowledge of such factors informs planning,

staffing, resourcing, and administrative needs dur- training, and resourcing (provision of vaccina-
ing response. Plans should also address transpor- tions and/or antivirals and protective equipment)
tation to and from sites, how health care work- for health workers and their immediate family.
ers from other agencies or specialist teams will be Transportation issues can be addressed by iden-
deployed and integrated into these locations, and tifying employees with four-wheel-drive vehicles
how communications will be established to coor- and arranging pickup points for essential person-
dinate implementation and communicate with, nel. Hospitals can preplan emergency childcare
and provide support for, the public. Good com- and elder care facilities, and personal health issues
munication with the public may prevent systems can be mitigated by encouraging staff to maintain
being deluged by patients who may not be ill but an emergency supply of medication at work. Staff
who have concerns and who are seeking further should be encouraged to develop household and
information or evaluation. The importance of workplace emergency plans (emergency contacts,
doing so is influenced by the effect a crisis can arranging caregivers, family emergency plan-
have on staff availability. ning) prior to crisis events occurring. Staff ability
During a medical crisis, some staff may be or willingness to work illustrates how crises can
unable (because of transportation problems) or affect resource availability over time and intro-
unwilling to work (because of concerns about duces the need to manage the deployment of lim-
their own safety and health, or that of their fami- ited health care resources.
lies). Anticipating staffing issues ensures that
plans are based on realistic expectations of what Crisis Response
could reasonably be accomplished under different In circumstances in which the demands made on
staffing scenarios. medical systems exceed available resources, a key
Staffing issues stem from both hazard and risk crisis management function involves adapting
perception issues. Medical staff are more likely to plans and actions by balancing health care objec-
report for work following weather and geologi- tives and operational realities (such as standards
cal hazards, as they tend to be more familiar with of patient care against the number of staff avail-
them. They are less likely to turn up for influenza able to provide that care). At this level of crisis
pandemic events, and even less likely for bioter- management, multidisciplinary and multiagency
rorism scenarios. The latter problems reflect med- teams are required to balance medical, public
ical staff knowledge about the infectiousness of health, transportation, and public order issues
diseases and the implications pandemic and bio- (such as coordinating with police and transport
hazard events have for their health and that of groups to get patients to remote treatment centers
their family. Other reasons why staffing issues can or to hospitals), to prioritize problems, and to plan
arise in crisis response include: the deployment of limited resources (for example,
redeploying staff to triage or treatment centers
• Childcare and elder care responsibilities; or readying hospitals to receive casualties). This
• Personal health concerns; involves diverse professions (medical staff; public
• Confidence in personal safety while at work health officials; emergency response teams; bio-
and/or their ability to perform duties; logical and radiological experts; emergency man-
• Transportation issues and being able to agement officials; municipal agencies; and private
safely get to work, especially if in a different organizations responsible for transportation,
location; communications, medical services, disaster assis-
• Perceived problems accessing vaccines, tance, and public works construction) collaborat-
antivirals, and protective equipment; ing to access, interpret, collate, and use informa-
• Lack of confidence in the health service/ tion to manage medical crises. Team development
hospital preparedness; and activities are required to develop the capability
• Distrust of employers and the credibility of such teams to utilize their collective expertise,
of risk information and risk management even if dispersed (as when operating in remote tri-
practices. age or treatment centers) or contributing different
 Health and Medical Response Scenarios 463

perspectives, to facilitate the deployment of doc- are required to treat survivors in isolation, the
tors, nurses, paramedics, and others operating more frugal they must become in the use of sup-
at the front line to meet the medical and health plies and in the selection of patients to treat. The
needs of survivors. ensuing conflict between their normal role expec-
tations and the demands of crisis response can be
Frontline Response a significant source of stress.
Crisis response results in medical staff having to Because it can have a profound impact on staff
apply their professional, technical, or scientific performance and well-being, managing psycho-
skills in atypical, challenging, and threatening logical stress in frontline staff is an important
circumstances. Operational staff (doctors, nurses, component in an effective operational response.
emergency medical technicians) may be function- This can be done through staff monitoring, sup-
ing in a hospital environment or they may be port, and counseling services and through train-
working in remote locations with varying degrees ing covering, for example, surveillance, diagnosis,
of access to resources and facilities (for example, reporting, emergency patient care (risk assess-
remote, temporary hospital facilities set up in a ment, planning, response roles, and communica-
town hall). They may be performing their nor- tion), and public health emergency preparedness.
mal roles, or they may be reassigned to nonrou- Staff education and training promotes better
tine roles such as communicating with the public, understanding of risk, enhances knowledge, and
disaster triage, or body identification. Disaster tri- increases the ability of medical staff to function
age illustrates how working in disaster contexts safely and effectively in a crisis.
can result in familiar tasks taking on an unfamil-
iar guise. Douglas Paton
Triage during a disaster differs from that per- University of Tasmania
formed in routine prehospital and hospital set-
tings. The number of people to be treated is See Also: Biological Weapons; Hospital Emergency
greater, and the availability of medical resources Room; Influenza; Mass Care; Mass Fatality
to treat them is limited and may be absent. Conse- Management; Pandemics; Public Health Surveillance;
quently, patients may remain in situ for prolonged Quarantine; Red Cross and Red Crescent; Severe
periods of time during which they will need to Acute Respiratory Syndrome (SARS); Surge
have their status reassessed frequently. Further- Capacity, Hospitals; Trauma; Triage; World Health
more, triage will be decentralized and possibly Organization, UN (WHO).
occurring in several locations spread over a large
geographical area simultaneously. Under these Further Readings
circumstances, patients who might be expected to Banks, L. L., M. E. Richards, and M. B. Shah.
recover under normal circumstances may experi- “An Assessment of the Personal and Emotional
ence deterioration in their condition as a result of Barriers to Effective Disaster Response on the Part
delays in getting hospital care. of Healthcare Professionals.” Quick Response
In the absence of specific crisis response train- Report 188. Boulder, CO: Natural Hazards Center,
ing, medical staff will present with triage experi- University of Colorado, 2006.
ence derived from situations in which definitive Barnett, D., R. Balicer, and D. Blodgett. “Applying
care is immediately available and triage required Risk Perception Theory to Public Health
only once. Training is required to develop skills Workforce Preparedness Training.” Journal of
suited for making treatment decisions when access Public Health Management, s33–s37 (2005).
to definitive care for patients is problematic. This Hick, J. L., et al. “Healthcare Facility and Community
includes estimating the delay before definitive Strategies for Patient Care Surge Capacity.” Annals
care will be available or accessible, and thus the of Emergency Medicine, v.44 (2004).
time patients will require in situ care under chal- McCaughrin, W. “Perfect Storm: Organizational
lenging circumstances before being evacuated to Management of Patient Care Under Natural
the hospital. Including these additional time and Disaster Conditions.” Journal of Healthcare
assessment issues is important. The longer staff Management, v.48 (2003).
464 Heat Waves

Qureshi, K., et al. “Healthcare Workers’ Ability and heat exhaustion, heat fatigue, heat syncope, and
Willingness to Report to Duty During Catastrophic skin eruption. Most EHE-related deaths are
Disasters.” Journal of Urban Health: Bulletin of caused by heat stroke, where extreme body tem-
the New York Academy of Medicine, v.82 (2005). peratures above the healthy limit lead to damage
St. Pierre, M., G. Hofinger, C. Buerschaper, and R. of the thermoregulatory system and body cells.
Simon. Crisis Management in Acute Care Settings: It can result in confusion and, in some cases,
Human Factors, Team Psychology, and Patient unconsciousness. The complications that can
Safety in a High-Stakes Environment. Berlin: result from heat stroke include kidney failure,
Springer-Verlag, 2011. liver failure, disseminated intravascular coagu-
lation, and respiratory distress syndrome. It can
also contribute to thrombogenesis and interfere
with hypertension treatment. Heat exhaustion
is also very common and in most cases precedes
Heat Waves heat stroke. It is often characterized by dizziness,
fainting, and headache.
Heat waves are extended periods of abnormally Heat waves pose serious health risks to all cat-
high atmospheric temperatures and humidity egories of people. However, certain categories are
extending from more than one to several days. more exposed and vulnerable to the impacts of
They are also referred to as extreme heat events heat waves. They include infants and children up
(EHEs). EHEs are a global phenomenon that to 4 years; elderly people aged 65 and over; over-
affects both developing and developed nations. weight people, because of the tendency of their
There have been more incidences of EHEs in the bodies to retain heat; diabetic people; and those
last two decades because of the global warming with heart and blood pressure conditions. Other
phenomenon, which has given rise to a number of groups of people who are also very vulnerable
climate extremes, including floods, drought, heat are people confined to bed and who are unable
waves, and many others. Heat waves are more to care for themselves; people on medications
pronounced in densely populated areas because such as anti-inflammatory drugs, neuroleptics
of urban heat island effects. and antidepressants, beta-blockers, sulfonamides,
Over the last few years, there have been high benzodiazepines, and a host of other medica-
mortality and morbidity cases in various parts tions that aggravate dehydration. EHEs can also
of the world resulting from heat wave episodes. cause crisis-level weather conditions like drought,
An estimated 35,000 deaths were recorded in which can impact crops and put stress on live-
Europe during the 2003 heat waves, with 15,000 stock and pastures.
of the deaths being in France. In 1998, over 2,000
deaths were recorded in a heat wave episode in Crisis Response
the Orissa and Andhra Pradesh areas of India. During heat wave episodes, the responsible gov-
Similar numbers of deaths were also recorded in ernment organizations and crisis managers have a
Athens in 1987. An estimated 692 deaths were role to play in alerting people about what to do
recorded in Chicago, with over 3,000 sent to the or not to do in order to avoid the effects of EHEs.
emergency room in 1995 heat wave episodes. This helps influence the behavior of the public
Extreme heat events can result in a severe cri- during the episode and helps in reducing potential
sis from the potential impacts on human health mortality rates. Certain countries like France and
and an increased burden of mortality. During Italy have now developed action plans for manag-
EHEs, there is a slowing down of the evaporation ing EHE episodes. These include alert systems for
of body perspiration that helps cool the human health warnings, providing advice to the popu-
body. The body then has to work harder to main- lation, and activating the social and health care
tain a normal body temperature of around 98.6 networks.
degrees F. When the thermoregulatory system Crisis managers should put mitigation strate-
fails as a result of excessive heat, it results in gies in place to reduce the impacts of EHEs and
various heat-related illnesses such as heat stroke, the associated burden of mortality. Mitigation
 High Reliability Organization Theory 465

strategies include a health heat warning system U.S. Environmental Protection Agency. “Excessive
that uses weather forecasts. Communication of Heat Events Guidebook.” Washington, DC:
warnings, where applicable, should use a com- National Service Center for Environmental
munity-based approach to ensure that very vul- Publications, 2006.
nerable people like the elderly are reached. Reli- Vaughan, Jenny. Heat Wave. Laguna Hills, CA: QEB,
able heat stress indicators should be identified by 2008.
managers or other responsible authorities one to
two days in advance to give enough time for the
activation of an emerging plan.
The health heat warning system should take
into account the threshold above which poten- High Reliability
tial health effects set in, as different populations
respond in different ways when exposed to simi- Organization Theory
lar weather conditions. The thresholds are often
derived from statistical studies of relationships High reliability theory’s (HRT) central assump-
between mortality rates and weather conditions tion is that organizations existing within com-
like temperature and humidity. They can also plex social, political, and technical environ-
be derived from biometrological studies. When ments can perform at highly reliable levels. In
threshold limits are forecast to be reached or the 1980s, scholars disputed the idea that high
exceeded, the activation of the warning system risk organizations (HROs)—those in the nuclear,
is required. Responses should ideally be tiered electricity, health care, and transport industries—
or multistaged. This allows for adequate time to were fertile grounds for disaster. Their objectives
weigh the risk to public health and determine an and what ultimately became their theoretical
effective response approach. foundations were to examine high risk organi-
During EHEs, managers and authorities should zations to determine the behavioral components
provide specific advice to the public on how to rec- that limit accidents from occurring. Otherwise
ognize the problem and how to protect themselves known as the Berkeley group, these scholars rec-
and other people. Generally, the public should be ognized three organizations in the United States
advised to keep cool and increase their intake of distinguishable for their record of reliable per-
fluids (nonalcoholic). People under instructions formance: (1) the Federal Aviation Administra-
from their doctors to limit fluid intake should tion air traffic control system; (2) the Electronic
check with their doctor on how much they can Operations and Power Generation Departments
take. People should also reduce physical activities, of PG&E, including the Diablo Canyon nuclear
avoid alcohol, stay indoors and take frequent cool power plant; and (3) the peacetime flight opera-
showers. Outdoor activities should be scheduled tions of the U.S. Navy’s Carrier Group 3 and its
for morning and evening hours when the tempera- two nuclear aircraft carriers. Together, the exam-
tures are relatively lower. Lightweight, light-col- ination of these organizations laid the ground-
ored, and loose-fitting clothing should be worn. work for the high reliability framework.
Later, theorists such as Karl Weick and Paula
Augustine Osamor Ifelebuegu Consoloni contributed to HRT’s premises. High
Coventry University reliability organization theory and HROs are dis-
tinguished against Charles Perrow’s Normal Acci-
See Also: Climate Change Adaptation; Crisis dent Theory, which focuses on how an organiza-
Communications; Emergency Public Information; tion is structured and suggests that crisis triggers
Smog. are inevitable, or “normal,” in complex, tight-
coupled technological systems.
Further Readings In particular, Karl Weick’s notion of mindful-
Luber, George and Michael McGeehin. “Climate ness and group cohesion is arguably his major
Change and Extreme Heat Events.” American contribution to the theory. Focusing on the
Journal of Preventive Medicine, v.5/5 (2008). notion that HROs continuously must deal with
466 High Reliability Organization Theory

the unexpected, and therefore know how to Those in leadership positions must be able to
react, Weick argues that HROs must deal with rely on the decision-making authority of every
the unexpected rather than ignore it, because fail- member of the organization. Interruptions can
ure to do so can be fatal. Five identified ways in occur at any time, so it is imperative to be flex-
which HROs operate that help them cope with ible to changing conditions. Certain conditions
the unexpected are preoccupation with failure, can occur within an organization (such as system
reluctance to simplify interpretations, sensitivity breakdowns, technical failures, or disgruntled
to operations, commitment to resilience, and def- personnel); however, social conditions can also
erence to expertise. However, it was the Berkeley affect the performance of an organization. Thus,
group—with their emphasis on political science, organizational leaders—in order to sustain bal-
engineering, psychology, and business—that made ance—must be able to anticipate such conditions
the contention that organizations can be free of while creating a resilient frame of reference for
human error as long as humans exert the effort all members.
to remain error free. They outlined the following Recognizing anticipated hazards can impede
strategies as ways for organizations to operate on one’s ability to make informed decisions; however,
a safe and reliable level. creating a culture of resilience and acknowledg-
ing the inevitable can also reduce impending and
Redundancy often unexpected dangers. Thus, the entire orga-
Organizations that are complex and tightly cou- nization must be able to create something reliable
pled can perform at their highest levels when per- out of unreliable parts. Giving members of an
sonnel, technical components, or operators back organization the autonomy to react to intricate
up failing parts or others’ failures to perform a and complex interactions instills a sense of com-
task. One notion of redundancy is that the prob- petence and enables members to correct tightly
ability of consequential failure is reduced when coupled processes before they become problem-
this strategy is properly enacted. For this strategy atic. Thus, routinization is not a goal; instead,
to work, HROs must coordinate communication variations in organizational practices are key to
at all levels. Organizational leaders must make it challenging employees and creating a resilient and
a goal to put safety first and disseminate that goal reliable culture.
to interdependent departments. HROs must also
strive for balance and be prepared to engage in Conceptual Slack
decision-making processes that are dynamic and In order to avoid undue or uninformed actions,
interchangeable. Thus, individuals at all levels of organizational members can apply a strategy oth-
an organization must be open to the notion that erwise known as “conceptual slack.” Conceptual
accidents can occur and be educated on how to slack is the idea that decisions regarding tech-
fix potential problems. High levels of redundancy nology and production processes are negotiated
enable individuals to reorganize, restructure, and and discussed between interdependent members
rethink their activities. Others would argue that before a course of action is taken. This strategy
organizational members should focus less on works best when a system is loosely coupled or
decision making as a possession and more on the when an organization has enough time to be able
flexibility of sensibleness. Thus, the act of sense- to work through potential safety premises or
making also enables organizational members to procedures. Conceptual slack can also occur in a
rework original safety contentions and adapt to hierarchical or linear fashion; it can take formal
unforeseen situations that can have disastrous or informal relational forms and can build soli-
consequences. However, such balance must also darity, trust, and credibility among organizational
be sustained, and along with high levels of redun- members. This can occur through socialization,
dancy there also needs to be a culture of reliability. training, and the initiation of sensemaking in new,
updated, and modified ways.
Culture of Reliability It is a human tendency to normalize an unex-
Creating a culture of reliability involves a con- pected event in order to ease one’s tensions. This
tinuous and decentralized practice of operations. is part of a larger tendency to seek confirmation
 Hijackings 467

for an original belief and disconfirm that any- of organizing are apt to alter and progress as
thing is wrong. Mindfulness can also be applied humans enact problem-solving activities. Every
to the concept of conceptual slack. Mindfulness new schema that results from this process is learn-
refers to the organization’s infrastructure—all of ing taking place.
its members thinking through processes that will
have an error-free outcome. Thus, mindfulness Patric R. Spence
acts as a mediator between the following pro- University of Kentucky
cesses: (1) preoccupation with failure, (2) reluc- Tabatha L. Roberts
tance to simplify interpretations, (3) sensitivity Western Michigan University
to operations, (4) commitment to resilience,
and (5) underspecification of structures and the See Also: Air Travel; Backup Strategy; Coupling;
capability to discover and manage unexpected Emergency Management, Principles of; Groupthink;
events. Conceptual slack is also a strategy that Incidents Versus Crises; Interoperability; Normal
can enhance organizational learning. Similarly, Accident Theory; Organizational Failure; Resiliency;
mindful updating is a focus on failures, resilien- Safety Policies; Threat Detection.
cies, or other small changes that occur within the
day-to-day operations of the organization. Thus, Further Readings
the goal then is to detect the warning that dan- La Porte, T. R. and P. M. Consolini. “Working in
ger is present and then to become aware of the Practice but Not in Theory: Theoretical Challenges
unexpected and work to contain the unexpected of High Reliability Organizations.” Journal of
when it surfaces, all of which contribute to con- Public Administration Research and Theory, v.1
ceptual slack. (1991).
Mann, Carl P. “How to Remove Groupthink From
Organizational Learning Executive Decision-Making.” Public Relations
Organizational learning can occur through trial Review, v.31/1 (1986).
and error, although error is not recommended Rijpma, J. A. “Complexity, Tight-Coupling and
in high risk organizations such as nuclear power Reliability: Connecting Normal Accidents
plants or power grid companies. Maximizing Theory and High Reliability Theory.” Journal of
challenges and variety in continuous operations Contingencies and Crisis Management, v.5/1 (1997).
is one way to enhance learning, although critics Sagan, S. D. The Limits of Safety: Organizations,
believe that it is impossible to engage in such an Accidents, and Nuclear Weapons. Princeton, NJ:
activity because of the cataclysmic consequences Princeton University Press, 1993.
of mistakes. Critics of HRT also contend that it Weick, K. E. and K. M. Sutcliffe. Managing the
is too difficult for HROs to engage in trial-and- Unexpected: Assuring High Performance in an Age
error learning because error-free consequences of Complexity. San Francisco: Jossey-Bass, 2001.
only exist in training. However, organizations can
insist on training employees by creating simulated
models designed for failure. Also, organizational
leaders, by creating a culture of resilience and reli-
ability, can instill a sense of urgency and deter- Hijackings
mination in their members toward reducing and
managing risks. Sociotechnical systems require a Hijacking is the unlawful seizure of an aircraft by
standard of performance, and thus learning is not an individual or a group. It is generally associated
a static state; it takes constant training and under- with terrorism, although some hijackings have
standing of the internal operations of an organi- been carried out by criminals for personal gain.
zation and its social environment to remain error The intention is to use the crew and passengers
free. Learning is also a cognitive process, one that as hostages, occasionally to obtain some financial
requires the formation of new schemas and new reward but more often to obtain some kind of
ways of conceptualizing organizational typolo- concession from a government or governments.
gies. Thus, products, people, and particulars The concession varies from highlighting the
468 Hijackings

grievances of a particular community to demand- were due to seize the El Al plane were prevented
ing the release of prisoners. from boarding that flight, they promptly boarded
a Pan Am 747, with 173 passengers on board. Not
Key Aviation Conventions everything went according to plan for the hijack-
Three conventions are relevant to the hijacking of ers. One of the two hijackers on the El Al plane,
aircraft. The 1963 Tokyo Convention relates to Patrick Arguello, was shot and killed by an Israeli
acts that might jeopardize the safety of persons or sky marshal; the other, Leila Khaled, was subdued,
property on board a civilian aircraft while in flight and the plane landed in London, where she was
or otherwise engaged in international air naviga- taken into custody. In response to the detention
tion. The 1970 Hague Convention, the Suppres- of Leila Khaled, PFLP sympathizers hijacked a
sion of Unlawful Seizure of Aircraft, deals specifi- BOAC VC 10, with 114 people on board, three
cally with the hijacking of civilian aircraft in flight days later. With the exception of the Pan Am 747,
and provides guidelines for what is expected of which was flown to Cairo, the planes were flown
governments in dealing with hijackings. Finally, to Dawson’s Field in Jordan, where they were
the 1971 Montreal Convention, the Convention blown up. All the hostages were eventually freed.
for the Suppression of Unlawful Acts Against the Khaled was freed by the British government on
Safety of Civil Aviation, covers attacks on, or September 30 in exchange for the safe return of
sabotage to, civilian aircraft either in flight or on the hostages from the British aircraft.
the ground. Jurisdiction can be exercised either by Prior to the events of 9/11, air crew were nor-
the state in which the hijacked aircraft lands or mally expected to adopt the approved Federal Avi-
the state to which the hijacked aircraft belongs. ation Administration (FAA) tactic, which was to
Refusal to extradite hijackers is justified if the comply with the hijacker’s demands and attempt
offense is claimed to be political, for example, if to land the plane safely for security forces to deal
the hijackers are fleeing a repressive regime and with the situation. However, this was clearly
seeking asylum, or the country seeking the extra- inappropriate when faced with the circumstances
dition has the death penalty, but then the state in of 9/11, where the hijackers were on a suicide
which the plane lands is obliged to prosecute. mission. Instead, following that crisis, new proce-
dures were brought in that required cockpit doors
Historical Hijackings: Planes, Trains, and Ships to be strengthened and to be kept locked through-
Although the first recorded hijack attempt was out the flight. Closed-circuit television cameras
as far back as 1931, hijacking only became rela- allow the cockpit crew to see what is happening
tively popular with the advent of various terrorist in the area immediately around the cockpit doors.
groups around the world in the late 1950s. The In the event of a plane being hijacked, threats to
worst hijacking, in terms of casualties, occurred the cabin crew and passengers will be ignored by
on September 11, 2011 (9/11), when 19 al Qaeda the cockpit crew and the plane will immediately
terrorists hijacked four planes but, rather than be flown to the nearest airport that has a counter-
using the hostages as a bargaining tool, they used hijack capability.
the aircraft to gain maximum publicity by delib- Many airports have a designated area to which,
erately flying the planes into iconic targets and if possible, the aircraft will be directed once it has
thereby sustaining mass casualties; in this case landed. In order to prevent a repeat of 9/11, a
almost 3,000 people died. number of countries have introduced plans, using
However, this was not the only occasion on military aircraft, to shoot down a plane if it is
which multiple hijackings occurred. In Septem- believed to be on a suicide mission, even though
ber 1970, four airliners, all bound for New York, this would almost certainly result in the death of
were seized by hijackers belonging to the People’s all the passengers onboard.
Front for the Liberation of Palestine (PFLP). Three Hijackings are not confined to aircraft. In 1975,
of these were a TWA Boeing 707, with 149 people South Moluccan terrorists, seeking independence
on board; an El Al Boeing 707, with 142 people from Indonesia, hijacked a train, with approxi-
on board; and a Swiss Air DC-8, with 155 people mately 50 people on board, in the Netherlands.
on board. When two of the four terrorists who The hijackers surrendered 12 days later after killing
 Historical Analogies, Use of 469

three of the hostages. In 1985, the Achille Lauro disaster; for example, where and how to enter an
cruise liner, with 400 people on board, was hijacked area that has been devastated by an earthquake
by four members of the Palestine Liberation Front without triggering subsequent damage (e.g., gas
(PLF), who threatened to kill everyone on board explosions, structures collapsing) and provide aid
if Israel did not release 50 Palestinian prisoners. to those who are most in need. Similarly, policy
After being refused permission to dock at Tartus, makers use historical analogies to evaluate their
the hijackers killed a disabled American passenger policy options and determine how to respond to
and threw his body overboard. The hijackers were a disaster. Local, state, and federal policy mak-
persuaded to surrender to the Egyptian authorities ers learned of the need to change their disas-
when the ship docked in Alexandria. ter response policies after Hurricane Katrina in
The hijacking of shipping should not be confused 2005, when it became clear that each level of
with piracy, where the motive is generally purely government was not prepared for a large-scale
financial. Finally, reference is sometimes made to disaster. People were stranded for days after the
a computer system being hijacked when someone storm, suffering from a lack of drinking water
attacks it in such a way that it fails to deliver the and food. Poor sanitary conditions and crowding
service it was designed to, or the attacker takes at relief facilities exacerbated exhaustion and acts
control of the system to exploit it. of violence. Public outrage, combined with policy
makers’ recognition that changes had to be made
Tony Moore in disaster response planning, led to large-scale
Institute of Civil Protection revamping of how local, state, and federal gov-
and Emergency Management ernments work together during a disaster in the
United States.
See Also: Air Traffic Control; Air Travel, Hostage The term use of historical analogies refers to
Taking and Negotiation; Perimeter Control; obtaining information on past disasters that have
Terrorism; Transportation Security. affected an area to better understand the prob-
ability of similar disasters striking the area in the
Further Readings future. Scientists and planners examine a variety
De B. Taillon, J. Paul. Hijacking and Hostages: of historical sources to obtain an understanding
Government Responses to Terrorism. Westport, of the frequency of occurrence of past disasters,
CT: Praeger, 2002. their magnitude, and the spatial extent of dam-
Lopez, Ben. The Negotiator: My Life at the Heart of age induced by these disasters. The following
the Hostage Trade. London: Sphere, 2011. sections describe the use of historical records
Raab, David. Terror in Black September. New York: (including paleoenvironmental data) for obtain-
Palgrave Macmillan, 2007. ing an understanding of the types of disasters
that repeatedly affect an area, as well as discuss
the principle of disaster risk reduction planning.
Finally, an examination of the history of flooding
on the Mississippi River is provided to highlight
Historical Analogies, Use of the impacts of repeated disasters to a national
and international economy and to illustrate how
When disasters strike, people often search their government agencies can use historical data to
memories for a “historical analogy”—typically advise changes in policy and create a safer envi-
referencing their memories about past disasters ronment for their citizens.
and how others responded to try to find a way
to deal with the sense of loss and confusion that Reconstructing Disasters to Inform Planning
occurs following a disaster. This search for his- Historical analogies can provide insight into the
torical knowledge is shared by the public as well types of disasters that typically occur in a region,
as disaster responders and policy makers. Disas- the frequency with which they occur, and the
ter responders will use their collective knowledge range in magnitude of these disasters. Records
to determine the best form of response to a given of these historical events can also be examined
470 Historical Analogies, Use of

Case Study: Historical Mississippi River Flooding

The Mississippi River is one of the largest rivers 1825, and the U.S. Army Corps of Engineers hoped
in the world. The river originates in the northern that the flood control measures it was implementing
reaches of the state of Minnesota and runs for would reduce the damages from the recurrent
2,300 miles (3,680 kilometers) through or along flooding. Despite its efforts, severe flooding of the
the borders of 10 states until it discharges in Lower Mississippi occurred in 1882, 1912, and
the Gulf of Mexico, near New Orleans, Louisiana. 1913, damaging many of the levees and flooding
The Mississippi River watershed covers more the river valley. In response to the floods of 1912
than 1.2 million square miles (3.2 million square and 1913, the U.S. Congress passed a flood control
kilometers), draining 31 states in the United States act in 1916. The act required the construction of
and two Canadian provinces; it is considered more levees to control flooding along the river, but
the fourth-largest drainage basin in the world. again the force of the river proved too great. In
Ever since prehistoric times, the river has served 1927, a severe flood resulted in the deaths of 500
as a primary route for trade and commerce, as people, inundation of 16 million acres, and damage
well as for growing rich crops in the alluvial soils to thousands of homes and businesses.
of the river basin. In the first part of the 21st In response to the devastating flood, in 1928
century, crops grown in the Mississippi River basin Congress passed another flood control act,
provided roughly 90 percent of the United States’ which ultimately led to the Mississippi River and
agricultural exports; the feed grains and soybeans Tributaries Project; this program incorporated
grown here comprise 78 percent of the world’s channelization and stabilization of some portions
exports in these resources. The barge system of the river to increase the river’s capacity to carry
has been established along the river, and its port floodwaters without spilling over its banks or the
in south Louisiana is one of the largest ports in levees. The program also increased the navigability
the world, in terms of the tonnage of goods that of the river, which further enhanced the role of
move through the system. A variety of goods are the Mississippi River in the development of U.S.
shipped through the Lower Mississippi, including international trade.
chemicals, coal, coffee, edible oils, grain, paper, For the next 66 years, although the river was
rubber, wood, iron and steel, and petroleum and far better contained than it had been in the past,
petroleum products. it continued to routinely crest its banks and top
The Mississippi River is clearly a focal point for or destroy the levees. Flooding occurred in 1929,
the livelihoods and lives of millions of people in 1932, 1935, 1937, 1944, 1945, 1950, 1973,
the United States and also has a significant impact 1975, 1979, 1983, and 1993. In addition to
on international commerce. Correspondingly, when being devastating to the people impacted by the
major flooding occurs on the Mississippi River that floods, all of the floods resulted in severe economic
damages or destroys agricultural lands, the homes losses to the U.S. economy. The flood of 1993,
of farmers, businesses, and industrial plants, there however, was so damaging that it changed the way
is a significant economic impact on the region and that the Federal Emergency Management Agency
on the world. Following damaging flooding along (FEMA) managed disasters in the United States.
the Lower Mississippi in 1849 and 1850, the U.S. Under the Robert T. Stafford Disaster Relief and
Congress passed legislation to have the topography Emergency Assistance Act of 1988, FEMA provided
and hydrography of the river delta studied, built logistical and financial assistance to government
a navigation channel in the river mouth, and agencies and individuals impacted by disasters that
developed a levees-only policy to help control were declared national disasters by the president
floodwaters on the river. of the United States. The 1993 flood directly
The river already had a known history of impacted the states on the Upper Mississippi
flooding, with severe floods recorded on the Lower River, flooding 75 communities, destroying 50,000
Mississippi in 1734, 1735, 1788, 1809, and homes, and killing 52 people. On the Upper
 Historical Analogies, Use of 471

Mississippi River, 80 percent of the levees were implemented to reduce the potential destructive
destroyed, and in St. Louis, Missouri, the river was force of future disasters. FEMA provides grants to
50 feet above flood stage for more than 100 days. assist the jurisdictions with the cost of developing
The overall economic impact to the U.S. economy and implementing the HMPs and their associated
was nearly $20 billion. mitigation measures, recognizing that for every
The repeated history of flooding on the $1 spent on pre-disaster mitigation, $5 to $7
Mississippi River and extensive damage caused are spent on recovery. FEMA also encourages
by these floods to the U.S. economy, in addition landowners to move homes and assets out of the
to the loss of lives, resulted in the development of floodplain and leave the river valley for agricultural
the Disaster Mitigation Act of 2000 (DMA 2000). production, exclusively. Although flooding continues
The DMA requires all tribes and local and state to plague the Mississippi River, as a result of DMA
governments to develop a pre-disaster hazard 2000, there are far fewer critical assets located
mitigation plan (HMP) that identifies all natural in the floodplain, and mitigation measures are
disasters that are a potential threat to critical in place to help protect the assets that remain.
assets, such as hospitals, fire stations, schools, Correspondingly, the economic impact of flooding
wastewater treatment plants, and water sources. is less severe than it would be otherwise, and far
Pre-disaster mitigation measures are identified and fewer lives are lost.

to determine the type of damage typically associ- or if the equipment or instruments used to gather
ated with them, as well as its extent. A variety the original data were of poor quality or were
of sources can be examined to obtain informa- not calibrated against a reliable/verifiable instru-
tion on past disasters that have affected an area. ment. For example, caution should be used when
Good sources for historical data include archi- using historical climate data for a region to deter-
val sources (newspapers, magazines, newsreels), mine conditions leading to past droughts, flood-
academic journal articles, and historical climate ing, hurricanes, intensive storms, and tornadoes.
records. Researchers can also interview scholars Oftentimes, meteorological equipment used to
knowledgeable about certain types of disasters, as measure temperature, precipitation, humidity,
well as residents who have lived in an area for and wind speed and direction are poorly man-
an extended period of time, to obtain important aged and there are many days of missing records,
information on the types of disasters that have or the units of measurement are inconsistent. Too
occurred in an area in the past. For example, often, these data are still used to describe past cli-
there is very good historical documentation of mate conditions, and averaging is used to fill in
20th-century hurricanes along the United States the gaps, which can result in extreme events being
Gulf Coast, from the Galveston hurricane of missed entirely. As such, historical newspapers
1900 to Hurricane Andrew of 1992. This infor- and archival and eyewitness accounts should be
mation could have been used more fully to inform examined in an effort to verify past climate con-
development plans and disaster response plans in ditions leading up to or immediately following a
the region, potentially minimizing the impact of climate-induced disaster.
devastating hurricanes such as Katrina. In addition to concerns over the accuracy of
historical records, historical data are often lim-
Limitations of Historical Data ited by the length of the record (often less than
When historical data are used to inform planning 10 years in developing rural areas), or the records
and development decisions, it is important to are for a region several miles from the area in
corroborate evidence using as many lines of evi- question. To fill the gap created by an absence of
dence as possible. Historical data can be flawed historical data, scientists can turn to physical evi-
if the information was documented incorrectly, dence of past disasters that can be derived from
472 Historical Analogies, Use of

A hog in rural St. Louis, Missouri, is rescued from floodwater during record Mississippi River flooding, July 9, 1993. A total of 534 counties
in nine states were declared disaster areas for federal disaster aid, and 168,340 people registered for federal assistance. The Mississippi
flood of 1993 provided a historical analogy so significant that it prompted the Federal Emergency Management Agency (FEMA) to change
the way it managed disasters in America. The devastation spurred the development of the Disaster Mitigation Act of 2000.

an examination of geographic features on the of ancient sea level can be reconstructed from
landscape, as well as other forms of proxy data. ancient beach terraces and relict corals and cor-
related to past climatic conditions using a range
Using Geographic Landscape and Proxy Data of techniques.
A range of geographic features can provide It is important to recognize that different types
insight into past disasters that have occurred in of proxy data have different temporal and spatial
an area. For example, the frequency of past flood resolution. For example, tree rings can be used
events can be reconstructed by analyzing depos- to reconstruct seasonal and annual climate varia-
its left behind by the floods, such as river bars, tion in a specific region extending back thousands
slackwater deposits, and debris. Erosional scars of years, and forcing mechanisms for the climate
and terraces carved out of the valley sediment are variations can also be identified (such as sun spot
also indicators of past flood events, as are scars cycles and volcanic explosions). Tree rings can
on trees. Similarly, ancient mudslides, landslides, also be used to reconstruct drought events, wild-
and rockslides can be reconstructed by an exami- fires, and flood episodes. Accordingly, trees and
nation of the physical landscape, and evidence of tree rings can be used to reconstruct the frequency
ancient wildfires is indicated by lenses of ash and of certain types of disasters that have occurred
charcoal in sedimentary deposits and as scarring within a region extending well beyond the length
in tree rings. For coastal communities, the height of most historical records. Tree ring data have
 Historical Analogies, Use of 473

high enough resolution (spatially and temporally) proxy data, should be entered into a database and
that the disaster and climate data derived from a GIS. After the historical data for all of the disas-
them can reliably be used to estimate the fre- ters have been recorded for an area, they can be
quency with which similar disasters and climatic analyzed to determine the frequency, magnitude,
conditions will be repeated in the future. and extent of damage caused by the different
In contrast, reconstructions of historic and types of disasters that occur in the area. Use of a
prehistoric flood episodes from an examination GIS or hand-drawn maps is important for under-
of slackwater deposits on relict river terraces standing how past disasters affected the histori-
and floodplains are limited by the potential for cal landscape. For example, if an area is routinely
evidence of ancient floods being destroyed by impacted by flooding, one can rest assured that
more recent floods, with past flood deposits lit- in the absence of water control projects, future
erally being washed away. Additionally, the tim- flooding will occur in that area.
ing of past flood events is more difficult to estab- In addition to having knowledge of the types
lish using an examination of slackwater deposits of disasters that historically affect an area, it is
because organic material must be dated using critical to understand the conditions that make it
radiocarbon methods, which are rarely accurate possible for the disaster to occur and the causal
to within 50 years of the actual event. mechanisms of the disasters. To obtain this under-
Despite problems with the temporal resolution standing, experts in various sciences should be
of proxy data, scientists can establish a longer consulted. For example, to understand the poten-
record of disasters that have occurred in an area tial for an earthquake to occur in a region in the
in the past. This information can be used to bet- future, fault lines should be mapped relative to
ter understand the frequency with which differ- the regional geology and analyzed by geologists
ent disasters occur and the underlying conditions to determine how active they are, as well as to
that led to them. By obtaining a longer record identify the shaking potential of the geologic sub-
of past disasters, governments and planners can strate (rocks and sediments) in the region. The
predict with greater accuracy the potential for data derived from this analysis should be mapped
certain types of disasters to affect an area in the in a GIS, and the information on historical disas-
future. Given that many disasters are induced by ter events in the region should be included as
climate (for example, flooding, tornadoes, hur- metadata in the GIS. With this information com-
ricanes, and typhoons), understanding how past bined in a GIS, analysts can estimate the prob-
climate change affected the various environments ability (high, medium, low) and extent of future
of all of the continents is critical for understand- disasters occurring in a region.
ing how future climate change may affect these
environments. Reconstructions of environmen- Conclusion
tal conditions associated with past climates have In the most ideal sense, historical analogies can
been undertaken by multiple scientists and is too be used to determine where it is safe to live: above
extensive a topic to cover here. However, these flood zones, away from fault lines, and outside
scientists also use proxy data to reconstruct past tsunami impact zones and areas susceptible to
climatic and environmental conditions. Proxy hurricanes, typhoons, tornadoes, and drought.
data are used under the principle of uniformi- However, in light of population pressure and eco-
tarianism, which postulates that the relationships nomic pressures, it is not possible for the entire
between climatic conditions and environmental global population to live in areas deemed disaster
response (e.g., precipitation, temperature, and free. Given these pressures, and the correspond-
days of sunshine required to grow certain species ing need for people to live near centers of com-
of plants) have operated unchanged throughout merce, historical analogies can be used to identify
the period of interest. repeated disaster threats and the adaptive strate-
gies than can help minimize risks to these threats.
Historical Data in Risk Reduction Planning
The information on past disasters derived from Diane L. Douglas
an analysis of historical data, and potentially Independent Scholar
474 HIV/AIDS Epidemic

See Also: All-Hazards; Bureau for Crisis Prevention infectious disease of the immune system that, left
and Recovery, UN (UNDP–BCPR); Cascading Crisis; untreated, results in opportunistic infections and
Crisis Simulations; Critical Infrastructure; Dams, death. AIDS is a clinical diagnosis of the human
Levees, and Seawalls; Disaster Recovery; Disaster immunodeficiency virus (HIV). A healthy indi-
Risk Reduction; Emergency Management Agencies, vidual has approximately 1,200 CD4 helper T
City and County; Federal Emergency Management cells per microliter of blood; however, upon HIV
Agency (FEMA); Pre-Impact Planning Process; Risk infection, this count decline. It is not until the
Analysis. CD4 count drops below 200 that an individual
is clinically diagnosed with AIDS. CD4 counts
Further Readings below 200 substantially increase the likelihood
Brändström, Annika, et al. “Governing by of opportunistic infections affecting the digestive,
Looking Back: Historical Analogies and Crisis integumentary, nervous, and respiratory systems,
Management.” Public Administration, v.82/1 which may culminate in death. HIV/AIDS is not
(2004). transmitted through casual contact or mosquitoes
Federal Emergency Management Agency (FEMA). but through unprotected anal, oral, or vaginal
“Disaster Mitigation Act of 2000.” http://www intercourse; cutting; or sharing of contaminated
.fema.gov/library/viewRecord.do?id=1935 needles or related products; contaminated blood
(Accessed April 2012). products; or from mother to child during birth or
Federal Emergency Management Agency (FEMA). following through breast milk.
“Robert T. Stafford Disaster Relief and Emergency
Assistance Act, as Amended, and Related HIV: From Epidemic to Pandemic
Authorities.” FEMA 592. Washington, DC: From the time that HIV was first diagnosed in
FEMA, June 2007. 1981 in the United States among a group of pre-
National Oceanic and Atmospheric Administration. viously healthy men who had sex with men, the
“History of the Mississippi River.” http://www.srh disease has developed from an epidemic to a pan-
.noaa.gov/lix/?n=ms_flood_history (Accessed April demic. An epidemic occurs when five or more peo-
2012). ple are affected by the same disease in a relatively
National Park Service. “Mississippi River Facts.” concentrated geographic area in a short period of
http://www.nps.gov/miss/riverfacts.htm (Accessed time. As researchers became increasingly aware of
April 2012). the symptoms, it soon became clear that HIV had
United Nations International Strategy for Disaster become a pandemic. A pandemic occurs when a
Reduction. “Terminology: Disaster.” http://www substantial number of people are affected by the
.unisdr.org/we/inform/terminology (Accessed April same disease at relatively the same time in a diffuse
2012). geographic area. Today, HIV is a global pandemic
U.S. Army Corps of Engineers. “History of the that has killed more than 33 million people, with
Mississippi River.” http://www.mvn.usace.army mortality in the range of two million annually.
.mil/pao/bro/misstrib.htm (Accessed April 2012). HIV the disease remains a major challenge to
development and growth in certain regions of the
world. In Africa, most notably in sub-Saharan
Africa, where the earliest cases of HIV were ret-
roactively discovered, the disease has resulted in
HIV/AIDS Epidemic the single greatest reversal of human development
in history. Today, an estimated 31 percent of all
HIV is the acronym for human immunodeficiency new diagnoses of HIV and 34 percent of all per-
virus (HIV), a lentivirus that binds to cluster of sons living with HIV reside in the 10 southern-
differentiation four (CD4), a membrane protein most countries in Africa. Despite these stagger-
of helper thymus (T) cells, which are responsible ingly high rates of incidence and prevalence, both
for coordinating immune responses against anti- rates appear to have peaked in the middle 1990s,
gens in the human body. AIDS is the acronym and rates of infection have declined by more than
for acquired immune deficiency syndrome, an 25 percent in the region over the past decade.
 HIV/AIDS Epidemic 475

For example, in Botswana, the nation with once at least the Romans, where the state could exer-
the highest HIV prevalence rate, antiretroviral cise emergency powers, nearly always for a short
therapy coverage now exceeds 90 percent and period of time, in order to resolve a problem.
the estimated number of AIDS-related deaths has Like many other purported crises, HIV, it is
declined by half. Similarly, Swaziland, the nation reasoned, must be dealt with in the same manner
with the highest HIV prevalence at 25 percent, because if resources are not effectively allocated,
has also seen declines in the prevalence of HIV as the disease may cascade into a broad social prob-
80 percent of infected mothers are now on antiret- lem that will threaten the legitimacy of political,
rovirals to prevent mother-to-child transmission. economic, and sociocultural systems for a particu-
While a substantial amount of public attention lar society or region. Although proponents of this
and resources have been dedicated to ameliorating approach may acknowledge that there is very lit-
the effects of HIV in Africa, the disease has pro- tle destruction to physical structures or resources,
foundly impacted other areas of the world, partic- the same can be said of other problems such as
ularly developing regions such as South America disasters like a nuclear reactor leak, a heat wave,
and southeast Asia, where commercial sex work or a bioterrorist incident. Although the aforemen-
and intravenous drug use are common vectors for tioned claims provide some compelling evidence
transmission. In these regions, HIV was on the for why HIV should be conceptualized as a crisis,
rise in the 1990s and the first decade of the 21st these approaches are generally inconsistent with
century, but the incidence has stabilized, with traditional and contemporary conceptualizations
some notable exceptions such as Haiti and Indo- of crisis, as they often overlook important distinc-
nesia. Globally, the largest contributing factors tions between long-term implications of HIV.
to the stabilization and, in some regions, decline Some of these distinctions include the impor-
in mortality-related HIV has been the introduc- tance of exception origin, speed of exception dis-
tion of antiretroviral therapies and comprehen- ruption, and policy consequences of crisis concep-
sive education and risk-reduction measures, most tualization. Generally, a crisis emanates from a
notably safer sex practices. Elsewhere, in China single source of exception, resulting in a cascade of
and India, where HIV prevalence represents less exceptions to individuals, organizations, and com-
than 1 percent of the total population, surveil- munities. In contrast, the long latency of HIV and
lance, public awareness, and intervention remain the need for a critical mass of incidences to gener-
critical, as a 1 percent increase in the prevalence ate exceptional social change makes it problematic
rate would result in an additional 24 million new for members of societies to recognize the threat and
infections, or an approximate 40 percent increase take appropriate action beforehand. Although it is
of the total number of current HIV cases. possible for some community members to reflect
back to a point in time before the onset, it should
Conceptualization of HIV as a Crisis be noted that this response is qualitatively differ-
Since the initial recognition of HIV, various media ent from that of most other crises that frequently
sources, researchers, and policy makers have produce responses immediately or shortly after a
attempted to frame the disease as a crisis. A cri- collective acknowledgment of the onset of social
sis is a type of social change where individuals, disruption. These conceptual differences are not
organizations, and society face widespread excep- merely arbitrary academic distinctions but repre-
tions over a relatively short duration. Crises often sent profound policy-making consequences.
serve as focusing events for media, the public, and Traditionally, occasions that are conceptualized
policy makers to pay attention to a certain prob- as crises result in widespread short-term media
lem and attempt to resolve the problem through attention, a rapid influx of financial and material
some sort of collective action. Thus, a key com- resources, and declarations or proclamations by
ponent of a crisis is the relatively short duration politicians that are often followed by relatively
when the exception occurs, media and the public short-term assistance designed to restore, rebuild,
pay attention, and policy makers are willing to or renovate presumably what was lost as a result
dedicate time and resources to attempt to resolve of the disaster. Although the relatively intense
the problem. Legally, a state of crisis dates back to and short-term focus by media, the public, and
476 Hospital Emergency Room

policy makers may be modestly effective in resolv- Stine, Gerald. AIDS Update 2009. New York:
ing the challenges of rapid-onset, singular-origin Dushkin/McGraw-Hill, 2008.
exceptions, such an approach is largely ineffective
against the challenges emanating from HIV. For
example, in most crises, the physical or economic
consequences are very short in onset, and health
care infrastructure and resources are most likely Hospital Emergency Room
to be challenged in the short term until additional
resources can be established for those in need. In A crisis can be defined as any occurrence that is
sharp contrast, the onset of HIV in a community perceived by an individual to serve as a direct or
frequently requires a sustained commitment to the indirect threat. That threat can be a tangible one,
development and expansion of heathcare facili- such as physical harm to a person or property,
ties as well as additional personnel in the form of or an intangible one, such as damage to business
epidemiologists, case managers, and community operations or a personal or institutional reputa-
outreach specialists. Similarly, a sustained effort by tion. Crisis management in the emergency depart-
media and public officials may also be required to ment (ED) is a methodology that prepares for,
inform and remind the public of risky behaviors responds to, and recovers from any unusual inci-
that can lead to the transmission of HIV. Without dent that has the potential to negatively impact
long-term commitments to infrastructure and com- the normal operations of the ED and its parent
prehensive programs focused on economic devel- health care institution. The term crisis manage-
opment, surveillance, public awareness, and inter- ment is commonly confused with risk assessment.
ventions designed to reduce transmission, HIV is However, the starting point of the two is con-
likely to remain an exceptional disruption for an siderably different. With risk analysis, the focus
impacted community. centers upon mitigating any potential situation or
hazard that could compromise the ED. With cri-
John Barnshaw sis management, however, the focus is to develop
University of South Florida an appropriate response when that unusual event
happens or is likely to happen.
See Also: Crisis, Definition of; Epidemics; Pandemics; The ED occupies a unique position in a commu-
Public Health Surveillance. nity. It sits at the crossroads between the pre-hos-
pital health care environment (emergency medical
Further Readings services [EMS], clinicians’ offices, and clinics) and
Barnett, Tony and Alan Whiteside. AIDS in the the health care institution that harbors that ED. It
Twenty-First Century: Disease and Globalization. is the traditional terminus of emergency care for
New York: Palgrave Macmillan, 2002. all varieties of illnesses, accidents, and disasters
Gill, Bates, Jennifer Chang, and Sarah Palmer. that may befall a community, and it is the initial
“China’s HIV Crisis.” Foreign Affairs, v.81 (2002). stabilizer of major medical/surgical conditions
Gross, Oren and Finnuala Ni Aolain. Law in Times of entering into the hospital. As such, it, as well as its
Crisis: Emergency Powers in Theory and Practice. physicians, nurses, and ancillary personnel, enjoys
Cambridge: Cambridge University Press, 2006. the community’s respect and trust. In an era of ter-
Joint United Nations Programme on HIV/AIDS rorist threats, environmental catastrophes, and a
(UNAIDS). “Report on the Global AIDS fracturing health care system, it remains a beacon
Epidemic.” Geneva, Switzerland: UNAIDS, 2010. of safety, care, and hope regardless of one’s race,
Letukas, Lynn and John Barnshaw. “A World-System ethnicity, or socioeconomic status. Therefore, for
Approach to Post-Catastrophe International the good not only of the ED and hospital, but also
Relief.” Social Forces, v.87 (2008). for the general well-being of a community, it is
Stallings, Robert. “Disaster and the Theory of Social incumbent upon the ED to identify potential crises
Order.” In What Is a Disaster? Perspective on the and develop procedures and guidelines that will
Question, E. Quarantelli, ed. London: Routledge, facilitate a proper response to and recovery from
1998. adverse events in such a way as to preserve its
 Hospital Emergency Room 477

continuity of operations, maintain the confidence c. Active: The crisis is ongoing; example:
of the community, and ensure that a similar event sudden loss of power in the hospital.
will be less likely to occur in the future. d. Remote: The crisis exists elsewhere,
In order to manage a crisis with regard to the but it is questionable as to its relation
ED, one must first understand the full implications
of what a crisis is, given the ED’s position within
that community’s health care framework. The cri-
sis may be categorized in several different ways:
Case Study: Improvised Crisis Management
With Hospital Emergency Staff
1. Quality
a. Acute: The event occurs abruptly, with There are occasions where even the most
little or no forewarning; examples: comprehensive plan is insufficient. In the early
a bomb threat or a suicide in the morning hours of December 26, a very well-
department. regarded, well-liked emergency department (ED)
b. Chronic: The event is occurring for nurse volunteered to work in the ED by 0300. As
a time and may threaten the ED; she was driving in, an inebriated driver driving
example: a wildfire. in the wrong direction plowed into the nurse’s
2. Geographical location of the crisis vehicle, killing her instantly. Within a matter
a. Internal/institutional of an hour or so, the ED director was notified.
i. Intradepartmental: The crisis is She immediately came in to meet with her
strictly limited to the ED; example: staff, provide physical and emotional support,
the unexpected death of an infant monitor their patient-care activities, and notify
patient. the hospital administrators. While the chief
ii. Extradepartmental: The crisis nursing officer activated a modified incident
directly and indirectly involves command system (ICS) directing hospital staff
the entire institution; example: notification and deflecting media inquiries to the
the unexpected arrival of a VIP as public information officer (PIO), the ED director
visitor or patient. personally contacted the entire ED staff not
b. External/community currently at work and began making arrangements
i. General: The crisis involves the for counselor support and critical incident stress
entire community in which the debriefings. She served as a conduit of information
ED and hospital reside or even between the deceased’s family and the ED.
a jurisdiction that is contiguous The nurse arranged for nursing staff from other
to the particular ED; example: a EDs to temporarily replace the staff so that fellow
magnitude 6 earthquake. workers could attend the wake and the funeral.
ii. Agency-specific: The crisis occurs at In order for this new staff to function efficiently,
another agency that could seriously she provided “just-in-time” training and created
impact the functionality of the ED; improvised instructional material in order to
example: closure of a mental health familiarize the volunteer staff with the workings
crisis agency for lack of funding. of the department. After that first week, the
3. Temporal management of the situation went from crisis to
a. Completed: The crisis is concluded, resolution as staff employees availed themselves of
and response and recovery phases are counseling and participated in memorial services,
ongoing; example: meltdown of a local tributes, and a permanent dedication that were in
nuclear power plant. large part developed by the director. It required
b. Imminent: The crisis is tangible, and two months of the director’s steady leadership and
planning an appropriate response organizational and communication skills to help
takes precedence; example: the first the ED staff find closure, despite the ED director’s
bands of weather from a category 5 own sorrow and sense of personal loss.
hurricane are palpable.
478 Hospital Emergency Room

to ED operations; example: a major hospital cafeteria, a tornado strike downtown, or

meningitis outbreak in a nearby a botulism mass-casualty incident.
community. The steps that are required to manage a crisis
4. Nature of the crisis successfully include the following:
a. Natural
i. Infectious: Examples include local 1. Hazard vulnerability analysis
meningococcal meningitis outbreak 2. Policy and procedure development/review/
or a pandemic. revision
ii. Environmental: Example would 3. Education of staff and personnel
include an extreme thermal event 4. Crisis recognition
(heat wave or ice storm). 5. Leadership (Hospital Incident Command
b. Human-made System)
i. Accidental 6. Notification
1. Technological: Example would 7. Communication
be a grain silo explosion. 8. Recovery
2. Natural-technological: A classic 9. Debriefing
example is the Fukushima, 10. Restart the process
Japan, earthquake-tsunami-
nuclear accident triad. Many of these steps and activities are already
ii. Intentional in place for emergency departments, because each
1. Terrorism: An example would one must meet Joint Commission on Accreditation
be a dirty bomb detonation. of Healthcare Organizations (JCAHO) disaster
2. Lone perpetrator: An example management requirements. However, within that
could be a hostage situation. framework, the success or failure of a response to
3. Gang-generated: For example, a a crisis will largely depend on the leadership skills
gang war. of key personnel within the ED and their abil-
5. Duration of the crisis (presumed) ity to communicate calmly and clearly to staff,
a. Short-term: Hours to a day (e.g., fire). administrators, the media, and the public at large.
b. Intermediate: Days to several weeks That communication must be clear, forceful, hon-
(e.g., hurricane). est, and transparent to all. Any attempt to mini-
c. Long-term: Months to years (e.g., mize or deceive can have disastrous consequences
severe pandemic). on the integrity not only of the ED but also of
6. Population affected its hospital. Although this may be theoretically
a. Numbers acceptable to most, the chinks in the ED armor
i. Limited (e.g., one to several may not be obvious until policies and procedures
individuals) are tested via drills and exercises.
ii. Extensive (e.g., most of the
jurisdictional public) Paul Rega
b. Status University of Toledo
i. VIP (e.g., presidential visit;
assassination attempt) See Also: Crisis, Definition of; Emergency Medical
Care; Emergency Medicine; Emergency Responders;
Recognizing that the ED can be negatively Preparedness; Response.
impacted by virtually any crisis that happens
within the department, the institution, or the Further Readings
community and employing the schema above as a Carne B., M. Kennedy, and T. Gray. “Crisis Resource
guide allows the ED to maintain a certain degree Management in Emergency Medicine.” Emergency
of flexibility within a structured format. It allows Medicine Australasia, v.24 (2012).
recognition of situations as diverse as a suicide in Hicks, C. M., G. W. Bandiera, and C. J. Denny.
an ED bathroom facility, a hostage crisis in the “Building a Simulation-Based Crisis Resource
 Hostage Taking and Negotiation 479

Management Course for Emergency Medicine,

Phase 1: Results From an Interdisciplinary Needs
Assessment Survey.” Academy of Emergency
Medicine, v.15/11 (2008).
Peleg, Kobi and Arthur L. Kellermann. “Enhancing
Hospital Surge Capacity for Mass Casualty
Events.” Journal of the American Medical
Association, v.302/5 (2009).

Hostage Taking and

Negotiation
Hostages have been taken in order to seek some
advantage since the Roman Empire. But it was
the poor handling of two incidents, one in the
United States and one in Europe, that finally
brought about a more professional approach in
the response to hostage taking. At New York’s
Attica state prison in the United States in 1971,
inmates took control of the prison, taking staff
hostage. In regaining control, 39 people were
killed, including 10 staff. The following year, in
an attack by eight members of a Palestinian group,
Black September, on the Israeli team quarters at
the Munich Olympics in Germany, two Israeli Americans held hostage in Iran disembark Freedom One upon
athletes were killed and eight were taken hostage. their arrival at Andrews Air Force Base, January 27, 1981. In a
An abortive attempt by German security forces to diplomatic crisis, 52 Americans were held for 444 days from
free the hostages at a nearby airfield left all eight November 4, 1979, to January 20, 1981.
Israeli hostages and five of the terrorists dead;
three survived. A German police officer was also
killed. Following these two incidents, many coun-
tries identified, first, the need to train negotiators, or an attempt is made to seize them. A hostage
primarily in law enforcement agencies, to attempt taker is a person who has taken hostages against
to bring about the release of hostages unharmed. their will and is threatening to commit acts of
Second, they immediately started training special violence against them. The stronghold is the term
units, both law enforcement and military, to res- given by law enforcement agencies to the prem-
cue hostages if the need arose. ises in which a hostage taker is holding hostages.
Hostages are people held against their will by A negotiator is a person who negotiates with the
an individual or a group, usually for the pur- hostage taker(s) for the release of the person(s)
pose of fulfilling certain demands. By virtue of they have taken hostage.
Articles 1 and 2 of the International Convention Next to the overall commander, negotiators are
Against the Taking of Hostages, adopted by the probably the most important people in responding
United Nations General Assembly on December to a hostage incident. The priorities of the negotia-
17, 1979, it is an offense for a person to attempt tor, in a liberal democracy, are to save the lives of
to commit an act of hostage taking or to be an the hostages and, if possible, to save the lives of
accomplice in an act in which hostages are seized the hostage takers and to gain intelligence for the
480 Hostage Taking and Negotiation

officer in command of the incident. Negotiators In most cases, the management of the incident
are trained “to play for time” by slowing things will be entirely in the hands of the law enforce-
down for four reasons. The first is to allow what ment agencies or diplomats, and civilian crisis
is known as Stockholm Syndrome to develop. This managers will have little or no say in how the
phenomenon arose when four employees who had operations are conducted. However, in those
been held at gunpoint by two criminals for six cases that have international implications involv-
days in a Stockholm bank in which they worked ing the use of negotiators from specialist private
declared their loyalty to the hostage takers. Sec- companies, crisis managers should lay down clear
ond, during the early stages, when adrenalin is parameters, particularly in what they are prepared
high in both the hostage takers and the hostages, it to exchange for the release of the hostage(s). In
is hoped that time will allow them to become more some cases, this can involve large sums of money
rational. Third, it is important to gain intelligence or extraordinary demands.
in case negotiations fail and it becomes necessary There have been a number of well-publicized
to assault the stronghold. Finally, it enables the incidents in which hostages have been seized and
law enforcement agencies to gain the initiative. held in areas that are inaccessible to their coun-
There is a generally recognized list of items that try of origin. Terry Anderson, an American; Terry
are negotiable. They are food and nonalcoholic Waite and John McCarthy, from the United King-
drinks, cigarettes, money, publicity, and freedom dom; and Brian Keenan, who had British and Irish
for the hostages. Transport can also be a nego- dual nationality, were all taken hostage in Beirut
tiable commodity, providing it does not take the during the 1980s and held in excess of five years.
hostage takers outside the law enforcement’s juris- More recently, Ingrid Betancourt was held for
diction. What is not negotiable are alcohol, an over six years by the Revolutionary Armed Forces
exchange of hostages—perhaps a more high-pro- of Colombia (FARC) until rescued, with 14 other
file person than those who are currently held—the captives, by security forces in Colombia. In such
supply of weapons, the release of prisoners, or the cases, negotiations are carried out at a diplomatic
replacement of a law enforcement negotiator by a level or are undertaken by a number of specialist
civilian negotiator. private companies that have considerable experi-
Negotiators are normally middle-ranking law ence in such operations.
enforcement officers; thus, they are not in com-
mand and do not make instant decisions, and Tony Moore
any requests or demands by the hostage taker(s) Institute of Civil Protection
are referred upward to the overall commander. and Emergency Management
Demands are a basis for trade and, therefore,
for every demand made by the hostage taker(s), See Also: Air Travel; Command and Control;
the negotiator is looking for a trade-off (e.g., Foreign Policy Crises; Hijackings; Marine Travel;
perhaps the release of a hostage or hostages in National Incident Management System (NIMS);
exchange for additional publicity). If a demand Perimeter Control; Pre-Crisis Training and Planning;
is dependent on a third party, and particularly if Preparedness; Prevention; Terrorism.
that third party is in another country in a differ-
ent time zone, that is sometimes an opportunity Further Readings
for the negotiator to start sowing seeds of doubt Lopez, Ben. The Negotiator: My Life at the Heart of
in the mind of the hostage taker(s) in an effort the Hostage Trade. London: Sphere, 2011.
to bring about a peaceful solution. Should nego- Noesner, Gary. Stalling for Time: My Life as an FBI
tiations break down or the hostage taker(s) start Hostage Negotiator. New York: Random House,
killing the hostages, even though negotiations are 2010.
still ongoing, it may be necessary for the special- Vecchi, Gregory M., Vincent B. Van Hasselt, and
ist team (invariably law enforcement or military) Stephen J. Romano. “Crisis (Hostage) Negotiation:
to assault the stronghold in order to rescue the Current Strategies and Issues in High-Risk Conflict
remaining hostages. The assault should be carried Resolution.” Aggression and Violent Behaviour,
out with speed, using diversions as necessary. v.10 (2005).
 Human Trafficking 481

Human Trafficking Traffickers can be former prostitutes, military

and law enforcement personnel, lawyers, diplo-
Human trafficking refers to the recruitment, mats, and employees of multinational organiza-
movement, and delivery of people from a host tions. Recruitment techniques vary depending on
to a destination state for the purpose of enslave- the level of victims’ education, the expectations of
ment and exploitation. This broad definition of the victims and their families, and their financial
human trafficking encompasses various types of situation. For instance, traffickers recruit victims
exploitation, such as sex trafficking, exploitative from poor families by personal contact, deceiv-
work, recruitment of children soldiers, adoption ing families that once their debt to the traffick-
of infants, begging, and organ trafficking. The ers is paid off, victims will be free to earn their
practice of slavery has been identified since Ham- own money. Traffickers often move individu-
murabi’s Code in 1790 b.c.e. However, what has als by long routes and in cruel conditions (e.g.,
changed since then is the perspective of humanity cargo vessels, no medical care) using every known
in terms of human exploitation. Thereby, the 1948 form of transportation and, hence, they need a
UN Declaration of Human Rights highlights that military-like intelligence network to successfully
human slavery is unacceptable. Also, the Protocol avoid certain obstacles such as police and border
of Human Trafficking in 2000 defines as illegal checkpoints. Their activity is often facilitated by a
this type of human enslavement and exploitation. number of other professionals from the legitimate
world, such as travel agents, hotel owners, news-
Human Trafficking as a Global Crime paper publishers and advertisers for the promo-
Contemporary trafficking is much more diverse tion of their products and services, and nightclub
and complex than the slave trade of the past, and owners. Trafficking networks often interact with
it has a global character because every country other criminals to obtain falsified documents,
faces this problem as a source, transit point, and/ arrange false marriages, intimidate the victims of
or destination for human trafficking. The end of trafficking, and launder their profits.
the Cold War, globalization, free trade, and eco- Trafficking rings often repatriate their profits
nomic competition are some of the main factors to neutralize law enforcement, to strengthen their
that led to the greater mobility of products and political influence, and to invest in advanced tech-
people. Furthermore, unemployment; population nology so as to intrude into the government struc-
growth; poverty; corruption; gender, ethnic, and ture of their home countries and to make their
racial discrimination; political instability; and nat- network more flexible and viable. Other traffick-
ural disasters are some of the main push factors ers use their profits to fund terrorist groups or a
that can be paired with the pull factors of demand guerrilla movement. Traffickers often get away
for workers, opportunities for a better quality of with their crimes because in some countries, there
living, and possibilities to live in a more stable and is no law criminalizing their practices, the extant
affluent place. Therefore, demand and supply in regulation is insufficient to combat this problem,
the modern world have increased, hence making or police do not prioritize human trafficking.
human trafficking the fastest-growing crime, with Even though millions of dollars have been spent
enormous profits, which are estimated at $10–$32 in the development of programs for the preven-
billion annually. Beyond the actual criminals who tion of and fight against human trafficking, these
exploit and enslave human beings, there are plenty measures have proven inadequate to resolve this
of legitimate enterprises and citizens that benefit by global and deeply rooted issue.
ignoring this egregious phenomenon. For instance,
many people would buy well-priced clothes made Trafficked Women and Children
by trafficked workers, or they would hire a domes- Women and girls are often victimized and denied
tic laborer to take care of their children and homes. access to education, property rights, and political
participation around the world. Some societies
Human Traffickers and Their Practices view women as tools that can be used to advance
The profession of traffickers varies, and they a family’s economic situation, to repay a family’s
often have high social status and education. debt, and to provide cash for a medical emergency.
482 Hurricanes, Typhoons, and Cyclones

Other causes that may lead to the victimization

of women and children are family homelessness,
Hurricanes, Typhoons,
illness or death of a parent, abandonment by a and Cyclones
parent, and alcohol abuse and violence within
the family. Traffickers may also offer money to Cyclones are organized storms that have a circu-
the family for the exploitation of the child or the lar wind pattern and a defined center (also referred
woman and might also threaten the victims with to as an “eye”). Such storms are fueled by energy
violent retaliation in case they attempt to escape. from warm waters. Hurricanes and typhoons are
Many of the practices that were used during the two specific types of tropical cyclones. The term
Holocaust to produce passive victims are rep- hurricane is used to refer to storms that occur in the
licated by the traffickers. Thereby, children are Northern Hemisphere and east of the International
often maimed to be beggars, deprived of vital Date Line (generally affecting areas in the Atlantic
organs, recruited as soldiers, and occupied in cer- Ocean, Caribbean Sea, and Gulf of Mexico), while
tain jobs because of their small size. Trafficked the term typhoon refers to tropical cyclones that
women often die, become seriously ill, and/or suf- originate in the western north Pacific Ocean. To
fer psychological damage after constant abuse, be considered a hurricane or typhoon rather than
violence, and intimidation by their traffickers. a tropical depression or tropical storm, the storm’s
maximum sustained surface wind speed must
Recommended Actions Against Trafficking reach at least 74 miles per hour (or 119 kilometers
Trafficking needs much more basic research in the per hour), a level 12 in the Beaufort Wind Force
identification of practices regarding the preven- Scale. Winds of this speed cause significant waves,
tion and combating of this global crime. Media reduced visibility, debris, and damage to both veg-
are able to make the public aware of this perva- etation and some human-made structures.
sive phenomenon through popular actors, singers, As wind speed increases in hurricanes, they are
and journalists. Volunteerism and fund-raising by moved from a tropical storm into the Saffir-Simp-
individuals is also significant. Thereby, people may son scale and gradually into higher categories
donate clothes, equipment, and money, and they of the scale as wind speeds continue to increase.
might even offer their professional and language Tropical storms are those that have sustained wind
skills to help victims/survivors of trafficking. Peo- speeds between 39 and 73 miles per hour. In the
ple should report to the police human trafficking Atlantic Ocean, a tropical storm becomes a hurri-
networks that may come to their attention, hence cane when its wind speeds reach over 74 miles per
helping government agencies to uncover traffick- hour. However, it is important to remember that
ing cases, prosecute traffickers, and provide ser- wind speed is not the only potential danger from
vices to victims/survivors of human trafficking. a hurricane. The power of and potential damage
caused by storms can also be measured by pres-
Konstantinos Papazoglou sure ratings (in millibars or inches), size (diam-
New York University eter), and how fast they are moving forward.
Although hurricanes, typhoons, and cyclones
See Also: Ethnic Cleansing; Mass Care; Poverty; can move into colder water, in general they
Refugees and Forced Migration; Trauma. are more likely to remain and gain strength in
warmer water, largely within areas considered
Further Readings tropical climates. Air moving within a hurricane
Bales, Kevin and Ron Soodalter. The Slave Next Door: gathers heat from these warmer waters, fueling a
Human Trafficking and Slavery in America Today. process wherein some air sinks in the center of the
Berkeley: University of California Press, 2009. storm and air in the storm’s outer bands moves
Fisanick, Christina. Human Trafficking. Detroit, MI: upward and rotates because of the Coriolis force
Greenhaven Press, 2010. (caused by the Earth’s rotation). As these storms
Shelley, Louise. Human Trafficking: A Global gain strength and rotate faster, their wind speeds
Perspective. New York: Cambridge University increase, often leading to their being considered
Press, 2010. stronger and potentially more dangerous storms.
 Hurricanes, Typhoons, and Cyclones 483

When storms move over warmer water, they can term, local residents often continue to face these
often increase in power, as was the case with Hur- problems because recovery may move slowly and
ricane Wilma in 2005, a storm that escalated some homes and businesses may never be rebuilt.
from a tropical storm to a Category 5 hurricane As with other crises, in the face of hurricanes,
in just 24 hours. typhoons, and cyclones, crisis management
With increasing numbers of people moving into should account for vulnerable populations such
flood zones along rivers and ocean coastlines, cri- as the poor, elderly, young, or disabled. Despite
sis management of potential hurricanes, typhoons, the increasing amount of lead time for evacua-
and cyclones has become increasingly important. tions afforded by improved predictive models,
These risks are further complicated by the influx such populations may not be able to evacuate
of tourists into those same areas, increasing the or care for themselves after a cyclone. Knowing
number of people in an area that may be hit by where members of these groups live, whether
a cyclone, including a large number that may not they have evacuated, and how they are prepared
have experienced such a storm before or know can help crisis managers provide better response
what to do or how to evacuate. More and bet- and assistance to everyone, particularly the most
ter information about cyclones is emerging from vulnerable.
increasing forecasting models. Such information
can potentially improve predictions about which Jennifer Trivedi
populations will be affected, how they will be University of Iowa
affected, and whether they should evacuate.
Even with these improved data, cyclone predic- See Also: Dams, Levees, and Seawalls; Disaster,
tion is not perfect and not all potentially affected Definition of; Federal Emergency Management
residents and tourists can or will evacuate; more- Agency (FEMA); Floods; National Oceanic and
over, crisis management is still needed during and Atmospheric Administration (NOAA).
after these storms. Crisis and emergency man-
agers should be aware of the latest predictive Further Readings
models emerging from experts like those at the Chan, Johnny C. L. and Jeffrey D. Kepert, eds.
National Hurricane Center (NHC) and the Joint Global Perspectives on Tropical Cyclones: From
Typhoon Warning Center (JTWC). Furthermore, Science to Mitigation. Hackensack, NJ: World
these managers should be in contact not only with Scientific Publishing, 2010.
other crisis managers and experts in governmen- Ishikawa, Akira and Atsushi Tsujimoto. Risk
tal agencies and nongovernmental organizations and Crisis Management: 101 Cases. Rev. ed.
but also with private organizations, especially in Hackensack, NJ: World Scientific Publishing, 2009.
areas where these private companies cover large Longshore, David. Encyclopedia of Hurricanes,
land areas or bring in large numbers of people Typhoons, and Cyclones. New York: Facts On File,
(such as coastal hotels that may contain large 2002.
numbers of tourists). National Hurricane Center. “Tropical Cyclone
Many problems can emerge for crisis managers Climatology.” http://www.nhc.noaa.gov/climo
in the aftermath of cyclones. In addition to emer- (Accessed February 2012).
gency response and cleanup needs, in the short Queensland Government and Tourism Queensland.
term, affected areas and populations may face a “Regional Tourism Crisis Management Plan
lack of resources as even individuals and groups Template: A Guide to Preparing a Regional
who stockpiled supplies may have lost them to Tourism Crisis Management Plan.” http://www
severe winds or storm surges. Immediate medi- .sustainabletourismonline.com/awms/Upload
cal attention is often needed by injured people /HOMEPAGE/QLD%20Regional%20Tourism%
who may not be able to get to hospitals or clin- 20Crisis%20Management%20Plan%20Template
ics because of missing vehicles or debris blocking .pdf (Accessed February 2012).
roadways. Many individuals and families may be Valdiya, Khadg Singh, ed. Coping With Natural
without shelter or work and need assistance finding Hazards: Indian Context. Hyderabad, India:
a place to stay and a source of income. In the long Orient Longman, 2004.
 I
Immigration cooperative agreements between nations with pro-
gressive immigration policies as well as reforms
Following the end of World War II, increased global at the national level hold keys to alleviating the
mobility among people has accelerated rates of global immigration crisis.
globalization to unprecedented levels. Specifically,
political, economic, and personal reasons, such Types of Crisis Within Immigration
as the pursuit of a better lifestyle, have prompted Immigration crises can stem from various institu-
immigrants to relocate from developing nations to tional (for example, restrictive government poli-
seek better opportunities. Not all migrants have cies, both at the national and subnational levels),
moved from developing to developed nations. environmental (for example, natural disasters,
Nearly 43 percent are migrants from one develop- climate change), illegal trafficking (for example,
ing nation to another developing nation, thereby human smuggling), and other factors. In addition,
creating unstable demographic transitions in the the economic crisis of 2008 has exposed newly
developing world. In the developed world, restric- emerging forms of crisis that were not envisioned
tive and often racist national and subnational before. For example, immigrant workers in Mid-
immigration laws in Western nations have created dle Eastern nations, including Qatar and the
a climate of crisis for incoming immigrants from United Arab Emirates, were faced with the pros-
the developing world. However, not all forms pect of returning to their homelands because of
of immigration are across international borders. the collapse of the global housing market. Further,
According to the 2009 Human Development the global economic crisis impacted remittances
Report prepared by the United Nations Devel- by immigrants to their beneficiaries in develop-
opment Programme, nearly 740 million people ing nations. According to the World Bank, the
worldwide are internally displaced within their 2008 crisis resulted in a drop of over 30 percent
own national boundaries, compared to around of the nearly $340 billion sent by migrant work-
200 million who migrate across international bor- ers to their respective home nations. For coun-
ders. Other issues of crisis in global immigration tries such as Tajikistan, where remittances from
include shrinking economies and layoffs that affect its expatriates amount to nearly 35 percent of the
migrant workers as well as a draining of knowl- nation’s gross domestic product, global economic
edge, or “brain drain,” of highly skilled workers downturns can severely affect national economies
from their countries of origin. However, improved depending on immigrant revenue inflow.

485
486 Immigration

Government and Immigration Crisis

Since the attacks of 9/11, national immigration
laws in the United States have undergone major
changes, in many cases restricting immigrant
inflows. Specifically, laws enacted by southern
U.S. states have called into question its legal
scope within the limits of civil liberties. For
example, the Arizona law, S.B. 1070, signed
into law by the Arizona governor, has gained
international significance for its controversial
monitoring and surveillance of undocumented
immigrants, including sanctioning a misde-
meanor charge if they are found without immi-
gration papers. Other states, including Alabama
and Georgia, have followed the Arizona model,
creating a climate of crisis within their immi-
grant population, particularly those from Latin
American nations.

Immigration and Human Trafficking Crises

Climate change has affected every aspect of
human behavior, including immigration. The
United Nations High Commissioner for Refu-
gees (UNHCR) projected that by 2020, some
50 million migrants worldwide are predicted to
move elsewhere in search of better environmen-
tal conditions. These “environmental refugees,”
as noted by the UNHCR, are bound to flee from
food shortages, floods, and other environmental
disasters brought in by climate change as they
migrate from the developing world to developed
nations. Among various regions, the largest migra-
tion stream is predicted from North Africa and
into southern Europe. Worse still, governments
in smaller nations on the Pacific Ocean, includ-
ing the Marshall Islands and Tonga, are making
long-term plans to move their citizens to other
countries because of rising sea levels predicted to
submerge their island nations. In addition to cli- On July 8, 2011, a woman and her children join the thousands
mate change, recent environmental disasters have of refugees in the Dadaab camp in Kenya who are fleeing the
displaced immigrants from their original migra- drought and conflict from Somalia. The United Nations projects
tion routes. The 2004 Asian tsunami displaced 50 million immigrants will be “environmental refugees” by 2020.
millions around the Indian Ocean region, forcing
several developed nations in the European Union
and Pacific Ocean nations, including Australia
and Japan, to offer urgent asylum visas to incom- Illegal transportation of persons around the
ing refugees. For example, by March 2005, the world, referred to as human trafficking, is one
Canadian government had placed over 1,000 of the least discussed issues in immigration.
applications on fast-track processing for immi- According to a U.S. State Department estimate,
grants from the tsunami-affected areas. around 10,000 human beings are trafficked into
 Impact, Definition of 487

the United States as sex slaves every year. Rus- unabated into the 21st century. However, they
sia, Mexico, and China are some of the nations are somewhat exaggerated, because in 1950 the
where smugglers force people, often in inhumane collection of statistics on disaster impacts was
conditions, to be transported to other developed rudimentary. Moreover, only direct costs were
nations. In an effort to combat the illegal immi- measured, whereas now indirect costs are taken
gration crisis of human trafficking, nongovern- into account. Nevertheless, in 60 years there have
mental organizations have been helpful. Among been large increases in population and accumu-
them, the International Organization for Migra- lations of capital investment in major hazards
tion (IOM) has implemented over 500 projects zones, especially along coastlines subject to hur-
since 1994 to provide assistance to over 15,000 ricanes, flooding, and potentially sea level rise.
trafficked persons worldwide. Further, in a recent Everywhere, the increase in global connectivity
study conducted by the United Nations Office and technological complexity has caused vul-
on Drugs and Crime, of 155 nations surveyed nerability to disasters to rise and thus has made
on trafficking, 57 percent reported at least one impacts more profound and complex.
human trafficking prosecution. When disaster strikes, these are the principal
categories of impact: death, physical and psycho-
Aswin Subanthore logical injury, disease outbreaks and other medi-
Oklahoma State University cal conditions, destruction of property and physi-
cal damage, economic effects and impacts upon
See Also: Border Disputes; Brain Drain; Human livelihoods, and disruption of normal activities.
Trafficking; International Strategy for Disaster As measured in the time taken to rebuild physi-
Reduction, UN (UNISDR); Interstate War; Refugees cal structures and fully restore normal activities,
and Forced Migration. the impact of a major disaster may last for 10–25
years, depending on the severity of the event, the
Further Readings size of the area affected, and the resources avail-
Dalton, Dave. Environmental Migrants. Chicago: able over time for recovery. There is increasing
Heinemann-Raintree, 2005. recognition that the restoration of livelihoods and
United Nations Development Programme. “Human local economic activities, preferably with demo-
Development Report 2009.” New York: United cratic participation in decision making (i.e., good,
Nations, 2009. transparent governance), is the key to recovery
United Nations Office on Drugs and Crime from disaster.
(UNODC). “Global Report on Trafficking in For convenience of recognition and analysis,
Persons.” Vienna: UNODC, 2009. the causes of disasters are usually divided into five
World Bank. Migration and Remittances Factbook categories:
2011. Washington, DC: World Bank, 2011.
• Natural: such as earthquakes, floods,
hurricanes, landslides
• Technological: such as toxic spills, chronic
pollution episodes, transportation crashes
Impact, Definition of • Social: such as strikes, demonstrations,
riots, mass gatherings
In the last half of the 20th century, there were • Intentional: such as terrorist attacks,
increases of 250 percent in the number of hostage taking
recorded disasters, 500 percent in both the num- • Compound or complex: combinations
ber of mass-casualty disasters and the number of of the above, such as “na-tech” (natural-
people affected by disaster, 1,500 percent in the technological) disasters
cost of disasters, and 1,640 percent in insurance
reimbursement as a result of disaster, according The distinctions are somewhat artificial. To
to the 2000 data compiled by the Munich Re begin with, natural phenomena are not necessarily
Insurance Company. These trends have continued inherently disastrous. As the human propensity to
488 Impact, Definition of

Table 1 Nonquantitative classification of levels of emergency

Incidents Major incidents Disasters Catastrophes
Impact Very localized Generally localized Widespread and severe Extremely large
Some mutual Intergovernmental Major international
Response Local efforts assistance response response
Standard operating Emergency plans Emergency plans fully Plans potentially
Plans and procedures
procedures activated activated overwhelmed
Some outside Interregional transfer Local resources
Local resources
Resources assistance of resources overwhelmed
Public involvement Very little involvement Mainly not involved Public very involved Extensively involved
Recovery Very few challenges Few challenges Major challenges Massive challenges

put oneself at risk is paramount, and thus vulner- meet the impact, for example, by sheltering from
ability is the root cause of many natural disasters, tornadoes or evacuating in advance of hurricanes.
the word natural is more a convenience term than Nonetheless, as Table 2 illustrates, the best way to
a robust descriptor. Moreover, there are many distinguish size of event is probably in relation to
process-based links between the categories. For the thresholds of capacity to cope with it at each
instance, natural disasters may affect technologi- level of civil administration.
cal capital, technology may abate or increase vul- In causal terms, the bases of disaster impact are
nerability to natural disasters, natural disasters hazard and vulnerability, which combine to pro-
may affect social stability, social conditions may duce risk. Besides the direct cause–effect relation-
help incubate dissidence and thus foster inten- ship of extreme phenomena that produce damage
tional disasters, and terrorism has a technological and casualties, there are various sources of com-
component. plexity. Secondary hazards can be triggered by
As Table 1 shows, there are grounds for creat- the initial impact; for example, post-earthquake
ing a semantic classification of the size of event on fire. Thus, after the magnitude 7.3 Hanshin-
the basis of its geographical extent, its complex- Awaji earthquake at Kobe in Japan on January
ity, the nature of the emergency response required, 17, 1995, 531 seismically induced urban fires
and the degree of involvement of public authori- broke out, including a major conflagration in a
ties and the affected population. However, the dis- retail precinct. Risks may interact: for example,
tinctions between an incident, a major incident, reservoir dams may be subject to flood, siltation,
a disaster, and a catastrophe are purely notional: landslide, rock avalanche, subsidence, structural
they cannot easily be quantified, and they are not failure, and spillway failure hazards, in a complex
accepted by all of the protagonists in this field. combination of technological and natural causes.
Moreover, other distinctions need to be added to Furthermore, on January 11, 2011, an undersea
the classification. One of these is between sudden earthquake of magnitude 9 caused a tsunami
impact events and “creeping” disasters, or slow- and nuclear radiation release disaster in eastern
onset events. Among the latter, accelerated soil Japan, killing 22,600 people and severely damag-
erosion may eventually cause disastrous damage ing or destroying 218,000 buildings. The Tohoku
to structures and local food production, but it may earthquake, or Great Eastern Japan Earthquake
take decades to arrive at that point. The sudden- and Tsunami (GEJET), focused international
onset disasters vary according to their degree of attention on cascades, or chains, of causality. In
predictability and forewarning: most earthquakes a country where antiseismic construction is the
occur virtually without warning, while storms norm, the earthquake itself had limited impact:
allow varied propensities for meteorological fore- indeed, it may have killed as few as 100 people.
casting that grant lead time for preparation to However, time will tell whether the tsunami (and
 Impact, Definition of 489

Table 2 Thresholds of capacity to deal with impacts of various sizes

Local incident Local response
Threshold of local capacity
Small regional incident Coordinated local response
Threshold of intermunicipal capacity
Major regional incident Intermunicipal and regional response
Threshold of regional capacity
National disaster Intermunicipal, regional, and national response
Threshold of national capacity
International catastrophe Intermunicipal, regional, and national response, with more international assistance

associated persistent economic effects) or the con- The context of risk and vulnerability can trans-
tamination of several prefectures with radiation form an incident into a disaster or a disaster into a
will be the most enduring legacy of the disaster. catastrophe. This observation has distinctive con-
No matter how large the catastrophe, impact is notations for the impact of terrorism. Relatively
always primarily local, but as a result of economic few people are directly involved in terrorist out-
linkages, the implications may be international or rages, but the impact of disruption leads to high
even global. Hence, GEJET disrupted industrial costs for society and economic activity. For exam-
production in Europe, where components were ple, the cost of security has risen from 6 percent
manufactured for Japanese industry. of running an airport in 1995 to around 38 per-
One measure of the impact of disaster is its cost cent in the 2010s, regardless of whether terrorist
in terms of gross national income (GNI). In Japan, attacks occur or not. Another particular context
comprehensive cost estimates for GEJET suggest is that of business continuity management (BCM),
that it could reduce GNI by 6 percent, although in which the impact of an incident or disaster is
the effects would be spread over a period of 6–10 measured in terms of both physical damage and
years. Normally, in highly developed countries, disruption, on one hand, and potential damage
disasters do not cost more than about 0.2 per- to a firm’s reputation on the other. Hence, BCM
cent of gross domestic product (GDP). By con- deals with managing both the incident itself and
trast, in poor countries they may absorb 20 per- the communication problems involved with pro-
cent or more of GDP. Nonetheless, scenarios for a tecting reputation (and thus also, for example, the
modern repetition of the 1923 Kanto earthquake stock market price of a firm’s shares). Terrorism
with a major impact on Tokyo have suggested and BCM are two examples from among many
that up to half of Japanese GDP could be lost, that illustrate how context is important to the
with knock-on effects around the world financial understanding of impact.
markets. Such estimates have been criticized as Finally, the protagonists of the United Nations’
exaggerated. Nevertheless, there is no doubt that International Strategy for Disaster Reduction
insurance, one of the paramount means of trans- (UNISDR) have worked hard to shift the global
ferring risk, does not have a large enough global emphasis from responding to disasters to reduc-
pool of capital to amortize the effect of a really ing and preventing impacts by mitigation. This
large catastrophe such as that envisaged in the is the basis of its Hyogo Framework for Action,
Tokyo earthquake scenario. Even in the United 2005–2015, whose main priorities include the
States, it has been estimated that the National enhancement of warning processes, the creation
Flood Insurance Program is short a billion dollars of a culture of safety and resilience, the promotion
with respect to potential losses if epochal floods of measures to reduce underlying disaster risk fac-
were to occur. tors, and the strengthening of prior preparedness
490 Impact Analysis

at all levels. Despite this important endeavor, and Munich Re. Natural Catastrophes: The Current
whatever strategy succeeds it after 2015, much Position. Munich, Germany: Munich Reinsurance
work needs to be done to shift the balance from Company, 2000.
the current heavy emphasis upon responding to United Nations International Strategy for Disaster
disasters to one in which preventing and reducing Reduction (UNISDR). “Hyogo Framework for
impacts is paramount. Action 2005–2015.” Geneva: UNISDR, 2005.
Van Aalst, Maarten K. “The Impacts of Climate
Specific Ways to Consider Impact Change on the Risk of Natural Disasters.”
Despite attempts to shift the emphasis from Disasters, v.30 (2006).
response to prevention, there is still a very obvi- Wald, D. J., K. S. Jaiswal, K. D. Marano, and D.
ous need to consider impact from the point of Bausch. “Earthquake Impact Scale.” Natural
view of crisis management. The resources needed Hazards Review, v.12 (2011).
to respond adequately to a disaster will be propor-
tional to its severity, complexity, and geographical
extent. The difficulties inherent in the response to
disaster are a function not only of the nature of
the event but also of the degree of prior prepared- Impact Analysis
ness, including planning, training, and exercising.
Emergency response involves personnel, equip- An impact analysis is used primarily when
ment, consumable supplies, communications, “change” occurs. For crisis management teams
vehicles, and command structures. It requires (CMT), this means performing an impact analy-
organization, plans, and standard operating pro- sis—both perceived and hypothetical—to deter-
cedures designed to cope with exceptional contin- mine the impact of a crisis or disaster. A crisis/
gencies. In some respects, from the point of view disaster is the biggest change that any individual,
of the crisis manager, a crisis is merely an interval community, or corporation can experience. How
of time distinguished by the accelerated consump- and when is an impact analysis performed, and
tion of goods and services, but in other ways it what aspects need to be considered by the CMT?
is a critical period in which everything possible The first impact analysis performed by a CMT
must be done to reduce adverse impacts on human is usually at the outset or discovery of a crisis.
health, society, and economic activities. Immediately upon being formally notified of the
situation, the team must uncover and determine
David Alexander what the impacts are—both positive and nega-
Global Risk Forum, Davos tive, real and hypothetical—on the following:

See Also: Catastrophe, Definition of; Damage • Departments/divisions

Assessment; Damage Containment; Debriefing; • Business processes and operations
Disaster, Definition of; Disaster Assessment; Hazard • Technology systems (information
Vulnerability Analysis; Impact Analysis; Losses, technology [IT] infrastructure)
Quantitative Versus Qualitative; Multiple Disaster • Facilities
Problem; Reputational Risk; Risk Assessment; • Finances/financial institutions/fines
Trauma; Uncertainty. • Vendors/partners/suppliers
• Employees
Further Readings • Regulatory/legal requirements
Blong, Russell. “A New Damage Index.” Natural • Long-term ramifications
Hazards, v.30 (2003). • Service level agreements (SLA) (contracts)
Blong, Russell. “A Review of Damage Intensity • The general public (for public relations)
Scales.” Natural Hazards, v.29 (2003).
Gardoni, Paolo and Colleen Murphy. “Gauging the Often during a crisis, the impacts of a decision
Societal Impacts of Natural Disasters Using a are determined regarding how to immediately
Capability Approach.” Disasters, v.34 (2010). resolve, mitigate, or respond to a specific situation,
 Impact Analysis 491

Case Study: Impact Analysis During the August 2003 Northeast Blackout

The great northeast American blackout of sites, as they would need to initiate many of the
August 2003 is known around the world, among redirection activities because those located at the
corporations and communities alike. It is known as impacted sites no longer had the ability to do so.
a defining moment in business continuity, disaster Once the impacts were determined and the
planning, and emergency response processes. appropriate response implemented, an assessment
Some were able to weather the power outage, and was performed as to the impacts upon external
many others were unable to respond effectively. sources. This means that they needed to discover if
One such corporation—a leading human there was any impact to their clients and partners
resource service provider in Canada—experienced because the corporation was not available, as many
the blackout just like many other corporations, yet partners had specific timelines—and deadlines—for
when performing an impact analysis with its crisis electronic files to be submitted. In many instances,
management team (CMT), it was able to manage a missed deadline resulted in a financial penalty, as
the situation and continue operations without the corporation’s unavailability impacted millions
missing a single submission deadline. of Canadians, most notably throughout the financial
systems of the country.
Immediate Activation of Crisis Management Plan Along with facilities, the team looked at the
When the blackout occurred at approximately power supply for the impacted sites and found that
4:10 p.m. on August 14, the company immediately they could keep core critical operations running,
activated its incident management/crisis but for a limited time only, as diesel generators
management protocols, which brought together can operate only so long. Their operability lasted
representatives from all major lines of business long enough to ensure data and systems were not
and senior executives using cellular phones and corrupted and that redirection of operations could
personal message devices that were not impacted be performed in the other facilities.
by the power outage. Next, the CMT looked at the impacts the
They immediately set to work performing an blackout was having on core operations that
impact analysis of what they knew about the were “in progress” at the time of the outage.
situation and which activities, based on the Fortunately, there was enough power available
known assessment, could be implemented. The through backup systems (generators, batteries)
team focused on which facilities were impacted, to ensure key files were disseminated to financial
whether operations within those facilities were institutions and legal bodies without missing
operational, and which workload activities could any deadlines, which were fast approaching. All
be transferred to locations in other parts of the nonessential services and equipment were powered
country that were unaffected by the blackout. down and taken off the power source so that these
Not only did they assess the impact on the functions could be performed. Employees were
nonoperational business units but also the impact asked to turn off their computers and laptops
on those other facilities taking on the additional to not drain any emergency power so that these
workload, as these areas would need to extend functions could be performed.
business hours and ensure only critical functions
were the focus. Continuous Communication
This analysis was performed for all areas The reoccurring meetings, which started at every
impacted by the blackout and for those that had hour and then moved to every two hours, ensured
the potential of receiving diverted phone calls, that the corporation focused on the core areas
e-mails, and other core business functions that that it knew would be impacted: the corporation,
would be above their normal level of operational vendors and partners, clients and customers,
activity. This was performed in conjunction with employees, its facilities, and any service level
technology team employees located at the other agreements (SLAs).
492 Impact Analysis

but the long-term impacts of those decisions are left unchecked or unresolved, it escalates and the
not considered. However, the impact analysis does impact begins to grow, compounding the issues
look at the long-term impacts of the crisis or disas- at hand.
ter and at the impacts of decisions made at the time Based on the impacts and severity levels of
of the disaster. An impact analysis must determine those impacts—during real disasters or plan-
the long-term impacts and whether decisions must ning for potential ones—draft messages can be
be changed and/or amended based on the chang- developed so that they can be disseminated to the
ing circumstances of the situation. appropriate audiences at the appropriate times.
Temporary decisions may have had benefits Pre-developing communications can be directly
based on an analysis performed at the outset of related to the impact levels of a crisis, which are
the disaster/crisis, but once the immediate crisis determined ahead of time.
has passed, then it is time for a different analy- An impact analysis can help proactively iden-
sis to see if impacts have changed—or not been tify crisis management actions and preventive—
realized as expected—and which activities must as well as response—mechanisms in the event of
be amended based on the new impact. The impact a disaster. Of course, it goes without saying that
analysis helps manage the immediate and ongo- these communications, strategies, and contingen-
ing responses required by the crisis or disaster cies are practiced—or tested—prior to anything
situation. occurring. It can also help decide where to focus
It will determine the path and actions to take. resources and what needs to be available, when it
It may require a “wait and see” period, but needs to be available, and to whom. The derail-
there still needs to be a plan in case the impact ment of a train requires the focus to be on initially
increases or changes. The impact must be moni- ensuring that lives are saved and protected, and
tored because it may change, and if it does, the thus an assessment or analysis of the impact must
team must be ready with the appropriate action be performed to know where to direct the correct
strategy to implement immediately. resources, evacuation procedures, and/or contain-
During an impact analysis (immediately upon ment processes. The impact of the situation must
finding a crisis), it is necessary to know what the be assessed so that the right responses and actions
worst case scenario could be, based on known can be implemented. Each disaster/crisis has its
information; this will help determine which strat- own characteristics, and an impact analysis of the
egies to implement or warnings to provide so that situation helps determine the correct course of
the appropriate teams are ready. The team can- action to take to ensure the situation is contained
not wait to find out what will happen and then and managed effectively.
try to determine the proper crisis response; time The bottom line is also a critical element to be
is ticking, being lost because it has taken too long addressed by an impact analysis. How much can
from the initial impact analysis. These strategies be paid for a disaster response? Is it possible to
are aligned and provided to the crisis team so be down for a few days with minimal impact, or
that they are aware of what can/cannot be imple- does the business need to be up and running in
mented based on the impact analysis of the situa- under 24 hours?
tion—what is known and what is not known. Long-term impacts that may occur can also be
The impact analysis should be performed more identified during the process so that corporations
than once during a crisis because as more infor- and communities can address them proactively.
mation becomes known, the more some items The CMT can find out if any impact to customers
may apply or may not apply. It depends on how (long term) needs to be addressed. Will changes
the situation develops. need to be made or new initiatives need to be
The impact analysis must look at internal and implemented based on the ever-changing ebb and
external impacts, as they could be very different. flow of a disaster or crisis situation? Sometimes a
They may even be staggered in their impact. What crisis can be more severe than originally thought,
starts as an internal problem may go on too long and thus a constant impact review must be moni-
and could suddenly start impacting external part- tored so that response mechanisms can adjust to
ners. It may not have immediate impact, but if meet new needs as the situation unfurls.
 Improvised Explosive Devices 493

An impact analysis must aid the CMT in know- An IED has five main components: an initia-
ing which resources need to be maneuvered to tor, a switch, a power source, a main charge, and
ensure that the right focus is given where it is a container. Additional material such as nails
most needed: power resumption, shelter, or trans- or metal fragments can be included in the main
port requirements, to name a few. charge or secured around the outside in order to
increase its destructive ability. The main differ-
A. Alex Fullick ence between an IED and a conventional explo-
Independent Scholar sive armament is that the former can appear to be
any kind of object. IEDs have taken the form of
See Aso: Contingency Planning; Contingent luggage, cans of cooking oil, television sets, pack-
Coordination; Incident Management; Recovery Time ages of various types, books, and letters. They
Objectives; Response. have been sent through the mail, transported in
vehicles—these are then known as vehicle-borne
Further Readings improvised explosive devices (VBIEDs)—or pedal
Barton, Laurence. Crisis Leadership Now. New York: cycles, or worn in vests or belts on the person.
McGraw-Hill, 2008. VBIEDs, including those carried by boats, can
Cardoza, Barry. Building a Business Impact Analysis contain a huge amount of explosive material. The
(BIA) Process: A Hands-On Blueprint. Tulsa, OK: method of delivery list is endless.
K&M Publishers, 2007. IEDs planted by roads, commonly referred to
Elliott, Dominic, Ethne Swartz, and Brahim Herbane. as roadside bombs, are typically placed in drains
Business Continuity Management. New York: or culverts or are buried close to the edge of the
Routledge, 2010. road and exploded by remote control as a tar-
Fullick, A. Alex. Made Again: Practical Advice for get draws level. In such cases, the target forces
Business Continuity Programs. 2 vols. Guelph, often cease moving by road in favor of moving by
ON: StoneRoad, 2010. helicopter.
Mitroff, Ian I. Why Some Companies Emerge Many commonly available materials can be
Stronger and Better From a Crisis. New York: used to manufacture IEDs. Powerful explosives
AMACOM, 2005. can be made from precursor chemicals found in
Schmidt, Klaus. High Availability and Disaster common consumer goods that are readily avail-
Recovery: Frankfurt, Germany: Springer, 2006. able commercially. For instance, ammonium
nitrate, normally used in fertilizers, can be mixed
with such items as fuel oil, icing sugar, nitroben-
zene, and sugar. IEDs can be triggered using,
among other things, a command wire, radio,
Improvised Explosive and cell phone and a variety of timing devices,
whereby the device is set to go off at a specific
Devices time. Advances in the miniaturization of electron-
ics and the ready availability of cheap triggering
An improvised explosive device (IED) is a bomb devices such as cellular telephones, pagers, oven
manufactured in an unconventional way that timers, video timers, and the like have enhanced
incorporates destructive, lethal, noxious, pyro- the means of activation considerably.
technic, or incendiary chemicals and is designed IEDs were used by the Viet Cong against South
to destroy or incapacitate people, buildings, and Vietnamese and U.S. forces during the Vietnam
vehicles, including aircraft and ships. Although War. In both the Iraq and Afghanistan conflicts,
such devices are much older, the term is believed IEDs have been used extensively against coalition
to have originated in Northern Ireland, when it forces, government forces, and civilian targets. In
was used by the British Army after the Provisional Afghanistan, IEDs were also used against Soviet
Irish Republican Army (PIRA) manufactured and troops following the invasion in 1979. In Chech-
used bombs made from fertilizer and semtex nya, Russian forces have again been the target
smuggled from Libya. of IEDs since 1994. Between 1982 and 2000,
494 Improvised Explosive Devices

in Oklahoma City. The IED exploded, destroy-

ing much of the building and killing 169 people.
A year later, Eric Rudolph left a backpack con-
taining “pipe bombs” in the Centennial Olympic
Park in Atlanta where the 1996 Olympic Games
were being held. The resultant explosion killed
two people and injured a number of others. In
May 2010, a terrorist attack was foiled in Times
Square when two street vendors noticed smoke
coming from a car that had recently been parked.
Inside the vehicle were four IEDs, making up one
large IED, consisting of gasoline, a quantity of
firecrackers, gunpowder, propane, and urea-based
fertilizer. This was all connected by wires to two
alarm clocks, which were to act as the triggering
device. Fortunately, the device’s ignition failed to
set it off.
In some cases, the IED may be set off unknow-
ingly by the victim, such as the device that killed
Member of Parliament Airey Neave in the under-
ground car park of the House of Commons. In
this case, the IED had a tilt switch, which oper-
ated as he drove up the slope from the under-
ground garage to reach the street in March 1979.
Responsibility was claimed by the Irish National
Liberation Army.
An Afghan National Army soldier participates in a simulated The IED that was aimed at the UK prime minis-
counter–improvised explosive device operation with U.S. Air ter and her cabinet while they stayed at the Grand
Force explosive ordnance disposal technicians on March 13, Hotel in Brighton in 1984 had a long-delay timer
2012, at Kandahar Airfield, Afghanistan. made from video recorder components, allow-
ing Patrick McVeigh to hide it at the hotel some
two weeks earlier. The IED that brought down
Pan Am Flight 105 over Lockerbie in Scotland in
Hezbollah regularly used IEDs to attack Israeli December 1988, killing all 259 people on board
forces in Lebanon. and 11 people on the ground, consisted of a small
There are a number of examples of incidents amount of semtex in a Toshiba radio cassette
where IEDs have been used in countries not asso- player. It was timed to explode over the Atlantic
ciated with such conflict. In the United States, for Ocean, but the flight was late leaving Heathrow.
instance, a truck containing an IED was driven The four IEDs set off by “home-grown” terror-
into an underground parking garage at the World ists in July 2005 on the London transport system
Trade Center in April 1993; the IED was subse- consisted of homemade organic-peroxide devices
quently estimated to be a urea-nitrate-hydrogen packed into rucksacks. Although in this case they
gas enhanced device weighing 606 kilograms. The were probably given advice by someone, no great
occupants of the vehicle lit the 20-foot fuse and expertise was necessary to assemble the devices,
fled, leaving it to explode, killing six and injuring most of which could have been obtained from
over 1,000 people when it exploded. Two years open sources.
later, Timothy McVeigh drove another VBIED,
manufactured from 2,300 kilograms of ammo- Tony Moore
nium nitrate and nitromethane, and parked it Institute of Civil Protection
outside the Alfred P. Murrah Federal Building and Emergency Management
 Improvising 495

See Also: Biological Weapons; Chemical Weapons; constrain—creative problem solving in all phases
Civil War; Failed States; Suicide Bombings; Terrorism. of emergency management.

Further Readings Preparedness and Decision Making

Federal Research Division, Library of Congress. Preparedness in emergency management means
“Improvised Explosive Devices: Booklet of Related organizing for emergency response before the
Readings 25.” (2008). http://www.fas.org/man/e event occurs. The need for plan revision can arise
print/iereadings.pdf (Accessed March 2012). from numerous circumstances. An emergency
Levinthal, David. I.E.D: War in Afghanistan and may evolve to the point where implemented plans
Iraq. Brooklyn, NY: PowerHouse, 2009. are no longer applicable. An emergency may be
Vernon, A. “Response to Homemade Explosives.” multifaceted, requiring emergency response orga-
Fire Engineering, v.164/11 (November 2011). nizations (EROs) to combine many plans in unex-
pected ways. In a response involving numerous
organizations, allocation of resources to certain
tasks may make those resources unavailable for
other tasks. Finally, resolution of unanticipated
Improvising contingencies may not be immediately assignable
to any particular organization. In these circum-
The ability to act creatively and successfully stances, EROs must be prepared to improvise—
under time pressure is a hallmark of the skilled that is, to rework their knowledge in a novel way
emergency manager. Much anecdotal and scien- to fit the requirements of the current situation.
tific evidence suggests that this ability follows Typical activities during the management of
from exposure to a wide range of field conditions, emergencies are monitoring operations during
as well as considerable experience in understand- normal conditions, selecting an appropriate pro-
ing the potential and limits of emergency response cedure when planned-for contingencies arise, and
plans. The term improvising is used to refer to the revisiting the appropriateness of these procedures
process of real-time, creative action as practiced as other potentially disruptive events occur. With
by individuals, groups, or organizations. Improvi- the onset of an unplanned-for contingency—an
sation can also be associated with significant dif- event for which no planned-for procedure exists—
ficulties in some cases, including decreased situ- the responding organization must develop and
ational awareness, group conflict about priorities, deploy new procedures in real time.
and diminished performance. When faced with an unplanned-for contin-
gency, response procedures are intended either
Improvisation in the Field to resolve the emergency itself or to allow the
Research into the 9/11 attacks in New York City managing organization to return to following
revealed many such instances of improvisation, planned-for procedures. Decision making in this
both during response (e.g., the waterborne evacu- situation can be regarded as a two-stage process.
ation of lower Manhattan, the creation of a new In the first stage, the responding organization
Emergency Operations Center) and recovery (e.g., recognizes either that no planned-for procedure
the rewiring of lower Manhattan, the cleanup of applies to the current situation or that an appro-
Ground Zero). A reasonable first step is to under- priate, planned-for procedure cannot be exe-
stand when and how improvisation happens suc- cuted. Once the need to depart from the plan has
cessfully in order to generate programs for train- been recognized, the second stage is the real-time
ing in improvisation, and potentially to guide the development and deployment of new procedures.
systematic selection of emergency managers based The action may range from substitution (e.g.,
on personality and cognitive traits that predispose using a school bus to transport injured persons)
rapid recombination of assets and personnel to fit to the construction of new procedures (e.g., using
the task environment. An appropriate next step fire trucks to provide mobile showers following a
is to use this understanding to guide the develop- chemical exposure). In addition to actions, roles
ment of technologies that enable—and properly of response personnel may also be improvised.
496 Improvising

Improvised decision making entails rework- planned-for routines and the situations for which
ing knowledge to produce a novel action in time they are appropriate can contribute to this abil-
to meet the requirements of the given situation. ity, provided that response personnel can recog-
Improvisation is therefore creative action in con- nize when it is appropriate to depart from plans.
text, where the context is provided by the need Exposure to a wide variety of situations may also
to meet goals, such as mitigating economic or contribute to the capability to improvise.
human losses while satisfying time constraints. The question of the level of improvisation can
Indeed, there is considerable evidence to suggest be described along a degree dimension, rang-
that teams in decision settings like emergency ing from simple reinterpretations to completely
management enact strategies based on recogniz- novel solutions. There is also a second contextual
ing characteristics of past problems in the current continuum reflecting the difference between pro-
one. To understand improvisation, it is therefore cedural versus command or management impro-
necessary to understand how decision makers visation, anchored at one end by first responders
“make do” with their existing knowledge when adjusting and recombining specific tools, skills,
faced with unplanned-for contingencies. leaders, or organizations and rapidly realigning
large numbers of assets and personnel. Qualitative
Training studies of complex, ad-hoc, and civilian-controlled
The question of when to improvise may be con- organizations and large military organizations
ceptualized as a categorization or choice problem, with similar characteristics suggest that command
in which the ability or likelihood of a decision improvisation is typified by a flattening of hierar-
maker to categorize correctly is influenced by a chy, sudden shifts in roles and authority, concen-
number of factors, such as penalties associated trating resources and expert knowledge to support
with making an incorrect choice and the likeli- authority shifts, and altering communication flow.
hood that the response will succeed. Increased Four overall training needs that pertain to
time pressure and risk may also influence how the improving skill in improvising may thus be iden-
choice is made, in part by reducing the inclina- tified: (1) recognizing when it is appropriate to
tion to improvise when the choice arises. The cor- depart from planned-for procedures, (2) learning
rect choices in this problem (improvising when no how to develop and deploy new procedures in
planned-for procedure applies or can be executed; a serial fashion under time constraint, (3) com-
not improvising when a planned-for procedure municating across multiple decision makers, and
does apply and can be executed) have been fairly (4) making inferences about the present and likely
well investigated. There are also numerous studies future states of complex systems such as physi-
of one incorrect choice (failing to improvise when cal/public infrastructure and making judgments
an appropriate, planned-for procedure either can- about and compensating for the risks associated
not be found or cannot be executed). The second with improvisational action.
incorrect choice (improvising when a planned-for
procedure applies and is executable) is certainly Documenting and Evaluating Improvisation
underinvestigated. Once the organizational context has been estab-
The activity of improvisation is understood lished, the next stage is to identify, describe, and
to begin with a search for resources that may be classify cases of emergency response decision mak-
recombined to fit the requirements of the prob- ing. The identification and selection of cases for
lem. The utility of this novel solution is typically study is likely to arise from the particular needs
uncertain, the solution must be modified as it is of the study. Data sources that may be of use for
applied, and planning and task execution begin to this stage include communications logs, video-
occur almost simultaneously. tapes, questionnaires, interviews, news reports,
The question of how to improvise may be con- after-action reports, testimony, and emergency
ceptualized as a search and assembly problem, response plans and procedures. Classification is
which may be influenced by factors such as time accomplished by applying content analysis based
available for planning, risk in the environment, on keywords of the decisions made in the cases.
and the results of prior decisions. Knowledge of Because disasters induce greater narrowness and
 Improvising 497

selectivity in human perceptions in comparison to and trainers to reflect on the rationale behind cor-
routine situations, corroborating sources may be rect and incorrect performance. During response,
sought in an attempt to find multiple perspectives information systems such as geographic informa-
on the same events. tion systems for consequence management can
be useful for supporting shared situation aware-
Role of Technology ness. During recovery, other systems, for example
At present, the importance and relevance of document management systems for tracking con-
improvisation in emergency management is not tracts, can support organizations in cataloguing
well reflected in the design of accompanying infor- lessons learned from the response. But a persis-
mation technologies. In training, information tent problem with these and other information
technology-based systems (e.g., Internet-based technologies is that many cannot adapt them-
examinations for National Incident Management selves: instead, they must be reprogrammed to
System training) have a proven effectiveness at meet emergent needs. As a result, sophisticated or
inculcating skills and drills, allowing personnel highly specialized technologies may be dropped

Case Study: Improvisation to Restore Electrical Power During 9/11

This case study concerns the loss of electric power facility. Other options were not considered. In fact,
to a telecommunications facility in New York City the decision to use diesel generators was made
following the 2001 attack on the World Trade Center. in a “split second,” according to the manager.
The standard operating procedure for Concurrent goals were to clean the environment
restoring power could not be executed for a and equipment.
number of reasons, some involving emergent The standard procedure for connecting a
interdependencies with other critical infrastructure generator to the building would likely have been to
systems. According to a senior networks operations connect via the basement hookups and thus power
manager from the company that ran the center, the building. The hookups and switches located in
“The reason [the standard operating procedure] the basement were clearly labeled with the names
didn’t work here was that there were water main of the floors to which they pertained. However,
breaks at the same time. So, [because] the the water and debris in the basement made this
generators are in the basement of our building, procedure unexecutable. A decision was then made
they got flooded.” Water had also entered the to connect cable from the diesel generators directly
basement as a result of firefighting activities. A to the floors they were to power, but “there’s no
second contingency had arisen when debris from good way of doing that, because it’s all hard wired
the collapse of World Trade Center 7 clogged in an elaborate system of switches,” the manager
the air intakes of one of the generators in the noted. This decision was “one of those decisions
telecommunications building. As a result, by about that truly took milliseconds. I said, OK we have to
5:30 p.m. there was “no commercial power and no get the building risers—meaning the hard-wired
generators operating, but equipment still operating cables—cut them and splice cables from the
normally on batteries.” The batteries became street into the riser.” The risers are cables within
depleted approximately five hours later, after which the building that are normally used to transmit
time none of the building’s telecommunications power throughout the building. This solution
systems were operative. required cutting those cables and attaching them
The need for power was immediately obvious to portable generators that had between 1- and
and of primary importance. A decision was made 2.5-megawatt capacity. The requirement was to
to connect diesel fuel-powered portable generators “solve the problem as if there was no basement in
to the electrical system of the telecommunications the building, where all the equipment was located.”
498 Incident Action Plans

because they were not built to solve the current and Why.” International Journal of Management
problem, and would require too much time and Reviews, v.1/3 (1999).
effort to reconfigure. On the other hand, ill-fitting Rankin, A., N. Dahlbäck, and J. Lundberg. “A Case
technologies may continue to be used even when Study of Factor Influencing Role Improvisation in
it would be best to discard them. It is therefore Crisis Response Teams.” Cognition, Technology
appropriate to consider what information tech- and Work, v.13 (September 2011).
nologies can provide the best fit to the task at Trotter, M. J., P. M. Salmon, and M. G. Lenné.
hand, given the tremendous uncertainty that can “Improvisation: Theory, Measures and Known
accompany disasters. Influencing Factors.” Theoretical Issues in
Ergonomics Science (forthcoming).
Conclusion Webb, G. “Role Improvising During Crisis
Emergency response organizations are faced with Situations.” International Journal of Emergency
complex, unprecedented events with the potential Management, v.2/1 (2004).
for catastrophic losses. Prior research on behav- Weick, K. E. “The Collapse of Sensemaking in
ioral aspects of improvisation in emergency man- Organizations: The Mann Gulch Disaster.”
agement and other domains has led to improved Administrative Science Quarterly, v.38/4 (1993).
understanding of its extent during response oper-
ations and how its incidence and effectiveness
may be influenced by a variety of factors. Yet if
improvisation is to be planned for, it is vital to
clarify the understanding of underlying processes. Incident Action Plans
David Mendonça It is already known that emergency management
Rensselaer Polytechnic Institute describes the science of managing complex sys-
Zeno Franco tems and multidisciplinary personnel to address
Medical College of Wisconsin extreme events, recurrent disasters and crises
across all hazards, and through the phases of mit-
See Also: Multiple Disaster Problem; Operational igation, preparedness, response, and recovery. We
Plans; Pre-Crisis Training and Planning; Preparedness; have been exposed to certain terms like incident
Terrorism. command, first responders, hazard analysis, and
mobilizing emergency response. One key aspect
Further Readings of the entire emergency system is the incident
Kreps, G. A. “Organizing for Emergency action plan, or IAP.
Management.” In Emergency Management: An IAP is a fairly detailed and extensive docu-
Principles and Practice for Local Governments, ment. Emergency management describes the sci-
T. E. Drabek and G. J. Hoetmer, eds. Washington, ence of managing complex systems and multidisci-
DC: International City Management Association, plinary personnel to address extreme events, across
1991. all hazards, and through the phases of mitigation,
Mendonça, D. “Decision Support for Improvisation preparedness, response, and recovery by the fire
in Response to Extreme Events.” Decision Support chief, senior emergency expert, or emergency man-
Systems, v.43/3 (2007). ager based on certain requirements, threat issues,
Mendonça, D. and W. A. Wallace. “A Cognitive and operational principles that enable emergency
Model of Improvisation in Emergency response operations to run as smoothly as possible.
Management.” IEEE Systems, Man and The IAP is tailored to the specific incident, as it is
Cybernetics: Part A, v.37/4 (2007). immediately understood and is subsequently modi-
Moorman, C. and A. S. Miner. “Organizational fied as needed afterward based on new information
Improvisation and Organizational Memory.” arising from the crisis scene itself.
Academy of Management Review, v.23/4 (1998). For example, a bus crash on an interstate high-
Pina e Cunha, M., J. V. da Cunha, and K. Kamoche. way where the bus left the roadway and careened
“Organizational Improvisation: What, When, How down an embankment killing seven and injuring
 Incident Action Plans 499

35 people provides a fairly straightforward emer- will rely on in managing an emergency incident
gency situation calling for an IAP tailored to that so that a common operational framework exists.
situation. By contrast, if the vehicle is changed to Most IAPs contain fundamental elements com-
a tanker truck carrying anhydrous ammonia that mon to all that capture the basic ingredients
leaves the highway and ends up embedded in the of a fluid and dynamic plan that must fit every
wall of an elementary school, a variety of immedi- conceivable emergency situation, from ordinary
ate, developing, and emerging issues must be fac- disasters to major complex terrorist events. The
tored into the IAP. This is done so all threat issues flexibility of the IAP structure allows it to expand
and risks related to the truck crash, the driver, and contract depending on the simplicity or com-
injured pedestrians or passers-by, release of toxic plexity of the emergency situation. Looking at the
fumes, the safety of the school, the possible evac- normal structure and flow of ordinary IAPs, there
uation of the crash scene and neighborhood, and are certain basic elements, as follows:
other related issues have been comprehensively
addressed. • Designation of incident commander and
When the IAP is developed by the senior deputy
emergency management expert on scene, one • Designation of incident command staff and
of the first issues is to determine which aspects experts
of that specific crisis or emergency are linked to • Assessment of the emergency situation
either “hazard-generated actions” versus “crisis- • Determination of overall strategy, priorities,
driven actions” based on the kind of appropri- and options (expected SOP or unexpected?)
ate response needed. Both of these elements often • Outline key objectives and tasks to reduce
operate at once, with the hazard-generated actions or eliminate the emergency
being those that reflect the need for the following: • Assign key people to perform and complete
these tasks
• Public warning • Assign appropriate resources and
• Search and rescue technology to task completion
• Care of injured or dead • Determination of operational periods and
• Restoration of essential services tasks to be completed for each period
• Actions to reduce continuing threat • Issuance of initial emergency situation
report
In contrast, the crisis-driven actions often refer • Command communications (site maps,
to different activities, such as the following: weather, proximate hazards)
• Special protective equipment required by
• Emergency communications responders
• Continuous assessment of the emergency • Establishing safe perimeters/restricted access
situation to emergency site
• Coordination of mobilized emergency assets • Update IAP at least every 10–12 hours or
• Effective application and utilization of when threat situation changes
resources and technology
• Assessment of triage needs, relocation, and IAPs are sensitive to the demands placed on
evacuation risks the response system; the issues addressed first
are usually demands created by the hazard itself,
Based on guidance issued by the Department of followed by the need to develop an appropriate
Homeland Security, many aspects of the IAP sys- response strategy and set of objectives, which is
tem are included in the National Incident Manage- normally done by the incident commander dur-
ment System (NIMS). This document reflects tra- ing response planning. When well-known hazards
ditional operational practices of urban fire chiefs, and emergency events can be reduced to standard
experts, and emergency managers and contains operating procedures (SOPs) by senior experts,
newly designed techniques aimed to codify and the relative ease of response to future emergencies
sharpen the procedures senior emergency officials of that type is dictated by the similarity between
500 Incident Action Plans

the actual crisis and the SOP developed to deal • Phase III: Actions taken to prevent further
with it. The IAP also contains general tactics to damage or harm to public safety
achieve goals and objectives within the overall • Phase IV: Actions taken to finalize the crisis
response strategy devised, while providing impor- and terminate the emergency
tant information on event and response param- • Phase V: Actions taken to restore order,
eters, resource management issues, and time- redeploy equipment, resume preparedness
phased response operations. Equally important,
the IAP facilitates dissemination of critical infor- Finally, once the phase of controlled termina-
mation about the status of response assets them- tion (Phase IV) occurs, the incident commander
selves. Because incident parameters evolve, action reallocates staff and resources and focuses on
plans must be revised on a regular basis (at least residual damage and cleanup, including anything
once per operational period) to maintain consis- from site decontamination to simply departing
tent, up-to-date guidance across the system. the scene in such a way that no safety or secu-
Emergency situations can be divided into at rity issues remain at the emergency operations
least two general realms of operational demand: site that pose a threat to the public. Termina-
the situation is either under control or it is not. tion actions involve placing emergency equip-
Incident priorities shift from life safety to prop- ment back into service and getting ready for the
erty conservation very quickly, and many actions next incident, but they also involve leaving the
based on well-known SOPs may mitigate a vast scene in the safest state possible for the occu-
majority of the emergency incidents requiring a pant/owner, law enforcement personnel, or fire
response. Actions based on prediction, prepara- investigators.
tion, and development of standard operating pro- Establishing a priority for every incident is
cedures make response an easier job. When initial the bedrock foundation for a successful IAP, and
actions fail to control the incident, continuing although many of these may vary depending upon
actions are required, and a plan must be devel- the specific hazard or emergency, the National
oped and implemented. Fire Academy identifies three incident priorities:
Continuing actions by senior emergency offi-
cials or the incident commander may address the 1. Life safety
remaining life-safety priorities or allow emer- 2. Incident stabilization
gency responders to concentrate on reaching the 3. Property conservation
point of stabilization. This phase of emergency
response means the “out of control” situation What does life safety exactly mean? It involves
has shifted to a much more controllable situation. first responders, other emergency workers on
Even then, however, a strategy must be developed scene, and the general public. However, an IAP
and tactical objectives must be determined and must also consider developing a zone of safety
assigned to bring the emergency to a point of con- between the immediate emergency and its reso-
trolled termination. In all cases, and in all phases, lution. This is particularly difficult in a complex
coordinated actions and accountability of person- search-and-rescue situation where searchers enter
nel are key elements of the IAP. Once a situation a situation in mid-crisis while ongoing efforts
is stabilized, a dramatic shift occurs. The “out of by firefighters and others to control the crisis
control” situation is now “under control,” and are under way at the same site. This is both a
time, once against us, is now fully on our side. As safety and an incident management situation that
a consequence, incident command switches from requires that an IAP deal with rapidly changing
reactive to proactive actions. circumstances. Similarly, knowing when an emer-
This can be better understood in terms of the gency situation has in fact been stabilized is yet
phases of an ordinary emergency, as follows: another key issue for an IAP, because clear and
unambiguous indicators of diminished or nulli-
• Phase I : Assessment of the emergency fied risk are hard to find in complex emergency
• Phase II: Actions taken to stabilize or situations. This is one reason why outside subject
control the emergency matter experts (SMEs) are often needed.
 Incident Action Plans 501

One aspect of incident command specified in environmental damage, and economic and social
the IAP that may not be well understood is the destruction should be made. Termination efforts
risk-benefit analysis that the incident safety officer during this phase should be directed at leaving the
(often the incident commander [IC]) must perform emergency site in the safest condition possible.
and regularly update in each operational period Again, a dedicated size-up and risk-benefit analy-
that normally extends for 12 hours at a time. Of sis should be conducted. When checking for hot
course, safety is everyone’s job, especially the first spots, crews should monitor the air for elevated
responders, who should keep risks at a reason- carbon monoxide levels. Also, the building’s struc-
able level. The incident commander must conduct ture should be assessed and, if necessary, building
a risk-benefit analysis for the entire incident and officials should be properly notified of any haz-
monitor changes as the crisis moves from “out of ards that may exist. Obvious hazards should be
control” to the “under control” phase. eliminated and potential hazards identified.
The incident action plan is based on the sum Writing the objectives and tasks for an IAP is
of all resources immediately available and those generally derived from actual experience in wit-
expected to continue responding. The goals and nessing how specific incidents are managed, and
tasks established are devised in accordance with the general rule is that the goals and tasks should
the incident priorities from which a strategy must be specific, measurable, achievable, realistic, and
emerge; tactical objectives, aimed at meeting the calibrated to a timeliness requirement if possible.
strategy, are then determined and specific assign- The quality of response is often much more sig-
ments made (if not already addressed in the SOPs). nificant than the quantity of response, although
An accountability system should be established as IAPs seldom reflect this distinction.
assignments are made. This is generally the basic Finally, the IAP is an integral part of the NIMS
formula for all IAPs. From a resource consump- framework and must be understood as a criti-
tion standpoint, consideration must always be cal component of it. So it is equally important to
given to standby reserves and backfill positions understand how an IAP supports the everyday
in an IAP, along with supplemental resources, to management of a crisis and undergirds the NIMS
ensure no interruption in continuous, high-qual- in every way. The Incident Command System
ity emergency response. (ICS), as described in NIMS, refers to the com-
Specific steps associated with incident coordi- bination of facilities, equipment, personnel, pro-
nation and communication must also be spelled cedures, and communications operating within a
out in an IAP to the extent possible. In some cases common organizational structure and designed to
of unforeseen events, experienced incident com- aid in the management of resources during inci-
manders have built in a contingency to ensure dent response. The ICS is based on eight concepts
there is no lapse in the intensity and coverage of that contribute to the successful application of
emergency response even if a substantial surprise this system:
or setback may occur. Humans have the capac-
ity to be creative under duress and in very stress- 1. Common terminology: Use of similar
ful situations, but IAP direction and uniformity terms and definitions for resource
of purpose are key. Some first responders will be descriptions, organizational functions,
tempted to “freelance” in the absence of a specific and incident facilities across disciplines.
assignment; however, the IAP should consider 2. Integrated communications: Ability to
and anticipate this to the extent feasible. send and receive information within an
At Phase V in the overall IAP process, there is organization, as well as externally to
still a need for a new detailed size-up and risk- other disciplines.
benefit analysis. Information previously received 3. Modular organization: Response
should be reevaluated, and new information resources are organized according to
should be gathered and considered in detail. their responsibilities. Assets within each
Whether it is a destroyed building, a downed air- functional unit may be expanded or
plane, or a HAZMAT scene scattered over a few contracted based on the requirements of
acres, complete surveys for structural damage, the event.
502 Incident Management

4. Unified command structure: Multiple Raymond, M. “Fire Combat!” Presentation at

disciplines work through their designated National Fire Protection Association, Fire
managers to establish common objectives Command, First European Fire Conference, August
and strategies to prevent conflict or 1974.
duplication of effort. Reeder, Forest. “Develop an Incident Action Plan.”
5. Manageable span of control: Response Fire Engineering (April 2009).
organization is structured so that each
supervisory level oversees an appropriate
number of assets (varies based on size
and complexity of the event) so it can
maintain effective supervision. Incident Management
6. Consolidated action plans: A single,
formal documentation of incident goals, Large-scale crisis events such as the 9/11 terrorist
objectives, and strategies defined by attacks, Hurricane Katrina, the Japanese tsunami,
unified incident command. and the swine flu outbreak illustrate crises whose
7. Comprehensive resource management: scale, distribution, complexity, and duration
Systems in place to describe, maintain, require unique management capabilities. Incident
identify, request, and track resources. management provides this capability.
8. Predesignated incident facilities: Incident management capability starts with
Assignment of locations where expected anticipating and planning for the unexpected.
critical incident-related functions will Although it is impossible to predict all eventuali-
occur. ties, planning and anticipation increase the range
of circumstances incident managers can respond
For ICS to be effective, the incident must be to promptly and effectively. A second issue is
formally defined so that there is clarity and con- recognizing and acknowledging that large-scale
sistency as to what is being managed. This may crises present demands that fall well outside nor-
be best accomplished by defining the incident mal response capacities. This introduces a need to
response through delineation of enumerated plan in ways that afford opportunities to consider
response goals and objectives, and by explaining how best to use limited resources over potentially
response parameters through an incident action prolonged periods of time and the need for flex-
plan (IAP)—the primary documentation that is ibility and adaptation. For example, volcanic and
produced as a result of the incident action plan- pandemic crises can persist for months and even
ning process. With a well-developed ICS and longer and result in having to manage escalating
emergency management support, the incident impacts with dwindling resources. Frequently, the
response proactively addresses both types of initial emergency impact cascades into second-
demands and, in fact, reduces many response- ary impacts, such as loss of critical infrastructure.
generated demands to often a more routine status. Meeting these unique demands calls for incident
management to occur at three interdependent lev-
Robert McCreight els: strategic, tactical, and operational.
George Washington University
Strategic Incident Management
See Also: Impact, Definition of; Impact Analysis; Strategic incident management is responsible for
Incident Management; Incident Response; National developing requisite policy, plans, and capabili-
Incident Management System (NIMS); Response; ties. This includes developing integrated disaster
Risk Assessment. management capability, how this capability will
be activated and used, and the procedures and
Further Readings practices required for effective functioning.
Molina, Louis N. Emergency Incident Management During a crisis event, strategic responsibilities
Systems: Fundamentals and Applications. encompass securing and coordinating resource
Hoboken, NJ: Wiley, 2006. access and deployment to sustain response over
 Incident Management 503

the longer term, managing on-flow impacts on box” in order to anticipate the scale and implica-
community and societal functioning (e.g., eco- tions of crisis events, and develop their risk man-
nomic impacts), and activating recovery plan- agement culture accordingly. The outcomes of
ning. The time frame for such activities is approx- these deliberations are encapsulated in the poli-
imately 1–7 days (for resource procurement) to cies and the management procedures, practices,
months (for recovery planning). Crisis events and attitudes required to facilitate managing
present several unique challenges to the strategic future crises and for considering the implications
planning process. These are illustrated with ref- of multiagency and staffing issues.
erence to organizational learning, multiagency
response, and staffing. Multiagency response: Strategic incident plan-
ning requires the involvement of key stakehold-
Organizational learning: The infrequent nature ers (e.g., emergency management, public health,
of large-scale crises means that strategic incident law enforcement, health and mental health care,
managers have limited, if any, experience of the jurisdictional legal authorities). This ensures that,
kinds of events they may have to manage. To as far as possible, all stakeholder groups likely to
enhance their adaptive capacity, strategic incident have roles and responsibilities are identified and
managers develop their understanding by learning included in the planning process. Planning should
from past crisis events, learn to think “outside the also consider staffing issues.

Corey Gruber (center), assistant administrator for FEMA’s National Preparedness Directorate, observes students working on a “survivor”
prior to a simulated decontamination. Rick Dickson (left), assistant director of CDP Training and Education, explains how, through this
process, first responders understand how their responsibility affects another responder’s role. Strategic incident managers develop their
risk management culture by studying past crises in order to anticipate the magnitude and implications of future crisis events.
504 Incident Management

Case Study: The 1995 and 1996 Ruapehu Volcano Eruptions

The 1995 and 1996 eruptions at Ruapehu efforts, as relationships had to be developed
volcano created unprecedented activity at a New in situ. Problems were compounded by inter-
Zealand volcano. Incident management challenges organizational differences in operating structures,
arose from multijurisdictional management, the procedures, and terminology. Although incident
need for multiple incident management centers, management teams had identified agencies
and the large number of response organizations that could be involved, networking was poorly
and agencies involved. In addition, the duration developed and initial planning and decision
and tempo of the event created some problems. making were conducted on an ad hoc basis,
For example, there was a need to manage the with this contributing to both coordination and
implications of the dynamic interaction between communication problems. Stress associated with
volcanic (such as changes in levels of ashfall) the initial urgency of issues, problems accessing
and meteorological (including wind strength and and interpreting information about dynamic
direction and rainfall) processes (such as wind processes, and operating in ad hoc groups were
creating impacts several hundred miles from identified as contributing to coordination and
the volcano and changes in wind direction that communication issues.
resulted in different communities being affected Information management was also a problem.
at different times). An external review found that 56 percent of
The scale of the event resulted in strategic incident management team members reported
management being handled at a national level and receiving too much information, 50 percent
involved collaboration with agencies such as the receiving too little information, and 56 percent
Civil Aircraft Authority, the Meteorological Service, finding relevant information difficult to obtain.
and a scientific advisory group that provided input In addition to coordination issues, this review
on vulcanological processes that had not been identified problems associated with training
planned for. The distribution and changing patterns and contingency planning. Use of existing local
of impacts resulted in the activation of tactical government structures that inhibited flexibility
incident management groups at regional levels. when responding to dynamic demands was also
Reviews identified several issues that adversely identified as contributing to communication and
affected incident management. decision-making problems.

Most Significant Issues Review

The most significant issues were a lack of clear A review identified a need for training and
responsibility for coordination between strategic development work to cover multidisciplinary
and tactical levels and inadequate coordination of teamwork, the transitory adoption of different
response at the tactical level. With regard to the operating and decision systems and processes when
former, coordination difficulties were attributed working in incident management teams including
to tactical groups assuming a level of direction multiagency membership, consultative (contingent)
from the strategic level that was inconsistent planning and creative problem solving and decision
with strategic capabilities as they grappled with making to translate plans and adapt them in
problems anticipating the nature of evolving events. response to changing needs and circumstances,
This created issues as both levels were forced managing the transitory transfer of control to
to deal with contingencies as they arose. This external agencies when situational demands
problem decreased as understanding and processes require it, coordination and task assignment
developed. in multi-jurisdictional/organizational operating
At a tactical level, lack of familiarity between contexts, and the need for emergent management
the agency representatives involved in tactical roles (e.g., media, interorganizational liaison, and
management undermined initial coordination administration).
 Incident Management 505

Staff roles and deployment: Realistic human ensure more representative situational awareness
resource planning is essential. Staff may have to and definitions of response problems (which can
be deployed in novel ways in threatening circum- change rapidly as events escalate), and they facili-
stances for periods that may range from days to tate the ability of incident management teams to
months. Incident management planning should prioritize problems and needs and plan the alloca-
anticipate contingent staff deployment specifi- tion of limited resources.
cally in relation to disaster demands and needs. The performance of these activities is expedited
Because staff and their families can be affected by by being able to use analytical and crisis (e.g., nat-
the disaster, staff should be involved in planning uralistic) decision making to make effective deci-
to ensure that they understand and accept their sions. A key competence is the ability to antici-
roles and consider the implications of the event pate and manage problems under conditions of
for their availability (e.g., whether they report to uncertainty with incomplete and ambiguous data.
work if a pandemic occurs). Staff availability can These demands frequently result in stress on inci-
be affected by infrastructure losses (e.g., earth- dent management team members. The use of
quake) that limit staff mobility and availability, buddy systems and peer support can help manage
particularly during the first few crucial days. stress and help sustain performance capability.
Thus, it is important that plans do not overesti- Stress management and performance capability
mate staff availability. can be sustained by developing information man-
Planning should address the need to pro- agement capability.
vide basic education on disaster preparedness,
response, and support, and the availability of Multiagency incident management: An impor-
procedures and resources (such as risk manage- tant tactical competence is being able to inter-
ment protocols, personal protective equipment, pret, collate, and use diverse information to
and antivirals) required to ensure staff safety as manage complex events. In complex disasters,
far as possible and facilitate their effective per- this is done in multiagency and multi-jurisdic-
formance under challenging and threatening tional contexts. For example, the information
circumstances. required to comprehend and manage terrorist
During crisis response, the strategic level can events is developed in teams comprising gov-
delegate some aspects of the short-term manage- ernment, medical, public health, biological and
ment to the tactical level for coordination. Feed- radiological, medical, and emergency manage-
back from the tactical level is used by the strate- ment representatives. The management of vol-
gic level to inform resource procurement and to canic crises can involve emergency managers,
adapt long-term response and recovery plans. vulcanologists, public health experts, meteorolo-
gists, and structural engineers.
Tactical Incident Management Teams The capacity for interagency communication
Tactical incident management is concerned with and decision making can be developed using
adapting plans and actions to balance strategic interagency team development to better integrate
objectives with operational (i.e., real-time) reali- respective agency roles. Joint training facilitates
ties within time frames that are measured in hours a capability for proactive response management
to days. Decisions at the tactical level relate to by facilitating the development of shared “team
managing and mitigating the immediate and indi- mental models” that increase the capacity of
rect effects of the emergency, even including pri- diverse professionals to share understanding of
oritizing resource deployment to cope with lim- evolving events, coordinate inputs, and make
ited staff and other resources to address the most decisions. This increases implicit information
pressing issues or neediest groups. This frequently sharing during high-workload periods, enhanc-
involves coordination within an ad hoc group or ing team performance and adaptive capacity for
between groups that may or may not be collo- proactive response management through better
cated and also to coordinate with others involved tactical decision making and resource allocation.
in the emergency response (e.g., community The quality of the latter process has a significant
relief and recovery centers). These diverse inputs influence on the operational response.
506 Incident Response

Operational Incident Management Further Readings

Operations are enacted at the front line of Flin, Rhona. Sitting in the Hot Seat: Leaders
response. Key aspects include executing the tacti- and Teams for Critical Incident Management.
cal plan and providing feedback/changing circum- Chichester, UK: Wiley, 1996.
stances to the tactical level. Operational response Flin, Rhona and Kevin Arbuthnot. Incident
involves the execution of the tactical plan based Command: Tales From the Hot Seat. Aldershot,
on exercising professional, technical, or scientific UK: Ashgate, 2002.
skills, but in atypical, challenging, and threatening Haraway, Mark. Large Scale Incident Management.
circumstances. Although people often apply their Independence, KY: Cengage, 2008.
routine professional or technical competencies, Molina, Louis N. Emergency Incident Management
their roles and relationships can change if circum- Systems: Fundamentals and Applications.
stances require (e.g., police officers being deployed Hoboken, NJ: Wiley, 2006.
for body recovery work or assisting triage). Waugh, William L. and Kathleen Tierney. Emergency
The complex nature of crisis response can result Management: Principles and Practice for Local
in operational staff having to work with and col- Government. Washington, DC: International City/
laborate with members of other professions. For County Management Association, 2006.
example, the response to a terrorist event could
involve hazardous materials response teams,
urban search-and-rescue assets, medical services,
bomb squads, and private contractors.
Operational incident management personnel Incident Response
face the highest risk of experiencing stress and
traumatic stress reactions from their direct expe- Perhaps nine out of 10 incidents are small and
rience of the disaster and from working in stress- simple enough to require no deviation of proce-
ful roles in challenging (e.g., too few staff, non- dures from normal modes of operation. Hence,
routine roles) and threatening (e.g., working in this article concentrates on the small minority in
damaged or smoke-filled buildings, contact with which regular procedures are suspended and sub-
infected people, contamination) circumstances. stituted with special ways of working. The term
Stress can be managed in several ways, including incident is taken here to mean an abrupt, proba-
management practices, support, and training. bly unexpected, negative occurrence. Destructive
Training and simulation play key roles in pre- landslides, structural collapses, bomb attacks,
paring operational staff for the unexpected. Sim- hostage taking, minor earthquakes, crowd
ulations afford opportunities for individuals to crushes, and transportation crashes are all exam-
review plans, develop technical and management ples of such incidents.
skills, construct realistic performance expecta- When an incident occurs, it is first necessary to
tions, practice skill use under realistic circum- establish the geographical extent and severity of
stances, increase awareness of stress reactions, what has happened. This information enables a
and facilitate rehearsal of strategies to minimize scene commander to assess whether a major inci-
stress reactions. dent declaration is needed. It is imperative that dec-
larations be made in concert between the respond-
Douglas Paton ing services to ensure that the change to emergency
Christine Owen procedures is properly synchronized. It is also
University of Tasmania important to ensure that the “all clear” and “stand
down” are announced to signal the end of the inci-
See Also: Command and Control; Contingent dent and its associated emergency operations.
Coordination; Crisis Information Management
Systems; Decision Making Under Stress; Emergency A Model of Incident Response
Manager; Interoperability; Mental Models; A standard model, or anatomy, of incident
Operational Readiness; Pre-Crisis Training and response is shown in Figure 1. In urban envi-
Planning; Strategic Plans. ronments where communications are good and
 Incident Response 507

Funerals
Debriefings
Anniversaries Case History: The 2005 Buncefield,
Plan revision
Inquests England, Oil Storage Depot Explosion
Public enquiries
Trials At 6:02 a.m. local time on Sunday, December
Awards
Consolidation Memorials 11, 2005, a valve malfunction triggered a major
phase Training explosion at an oil storage depot at Buncefield,
Court cases
Recovery
adjacent to the town of Hemel Hempstead,
Phase north of London. About half of the 22 tanks of
RESPONSE

isolation phase

Stand-
down
kerosene, gasoline, and diesel fuel at the site
Emergency

Major
incident caught fire and the flames were not extinguished
declared
Investigation until 1:00 a.m. on the following Wednesday. Sixty-
seven people were injured but, miraculously, no
TIME
one was killed. The response required a large area
Figure 1 Anatomy of response to a major incident to be cordoned, including part of the adjacent
trunk freeway. The wreckage of 237 vehicles had
to be searched for possible trapped occupants
(fortunately, none were found). Three hundred
response times are fast, the emergency isolation fire trucks, 2 kilometers of hoses, and 12 high-
period will probably only last a few minutes volume pumps were used at the site. Once
before the full apparatus of emergency response the water hoses were operationalized, vehicles
is mobilized. The consolidation phase involves could not drive over them, which required some
bringing the scene under control and limiting fur- ingenuity in the design of traffic flows. Water
ther damage or other adverse effects. Cordoning usage peaked at 2 million liters an hour, and
is positioned (see Figure 1), command is estab- the largest foam attack in European history was
lished, and victims are rescued. A mobile com- mounted, with 25,000 liters per minute pumped.
mand post may be brought to the area and a radio Blast effects had damaged local housing,
link established with an emergency operations which had to be made safe, boarded up, and
center (EOC), which will be fully activated until cordoned to prevent unauthorized access, while
the incident is declared over. Medical centers may 2,700 residents had to be evacuated immediately.
also declare a major incident, which involves call- Foam covered the site of operations, including
ing in extra personnel, halting normal admissions open manholes, which rescuers were liable to fall
and routine surgery, and preparing for triage of into. The fire threatened to cause tanks, rendered
incoming patients to determine which priorities plastic by the intense heat, to give way and
for treatment to adopt. Patients may even be sent release burning fuel on the rescuers. Likewise,
home in order to clear space and free up resources containment bunds threatened to disintegrate in
for a mass-casualty influx. the heat, allowing fuel to wash across the site.
The incident may end with a detailed forensic Eventually, when the fire was extinguished and a
investigation, which will be conducted either to week had been spent cooling the wreckage, some
establish blame for the incident (negligence or 30 million liters of contaminated water remained
culpability) or to identify measures that will help at the site, and the environmental cleanup was
avoid or reduce such events in the future. Finally, prolonged. Meanwhile, business continuity
the longer-term aftermath, measured in months measures had to be activated for some 300
and years, will involve societal events that assimi- businesses located in the adjacent technology
late the incident into the culture of modern life. park, which was devastated by the blast. In
There will be grieving and memorial services, pos- synthesis, emergency operations were efficient
sibly including a monument, and there may be a and successful, but highly demanding. Because
public inquiry and legal proceedings against any 90 percent of the county’s firefighters were used
person or agency suspected of culpability. The at the site, mutual aid from neighboring counties
experience and lessons of the incident will be proved indispensable.
incorporated into training and planning activities.
508 Incident Response

An incident that happens on a discrete, cir- Points of

Rescuers’
assembly point
cumscribed site (such as a transportation crash access to
cordoned
or bomb blast) will probably require cordoning. off areas Public
Failure to accomplish this would lead to an “ant- assembly
hill” response to the emergency, in which many of
the people in the operational zone are extraneous Incident
Cordon I
Rescuers
to emergency activities. In contrast, cordons help only
ensure that only responders with designated tasks
and adequate personal protection are allowed into Authorized
the area affected by the incident. They also help personnel only
protect evidence for the forensic investigation. Cordon III Cordon II
In this respect, the rescue of victims and making for traffic
control Multiagency
safe of the site (for example, by putting out fires) Pedestrians only
operations
take precedence over the needs of the gatherers of command
forensic evidence, but as a rule, rescuers should Figure 2 A three-cordon model of incident response
disturb the site as little as possible until the inves-
tigation is complete.

Cordons and What Is Inside Them allowed access. This ensures that assembly areas,
Figure 2 shows a three-cordon model derived command posts, and casualty collection points
from European practice. The inner cordon bounds are able to operate with minimal congestion. The
the area that is operational but dangerous, into outer cordon excludes extraneous traffic in order
which only rescuers with personal protection are to ensure rapid movements of emergency vehicles.
allowed entry. The second cordon bounds the area This model is designed to help make on-site oper-
to which only rescue personnel and vehicles are ations efficient, but at the expense of requiring

Secondary
staging
Mortuary area
area Medical post
medial post
Advance

for personnel Minor

injuries
Incident
command Triage Primary treatment
post area staging area

Control post
Rescue Ambulance
loop loading area
MASS
CASUALTY
INCIDENT Helicopter
ambulance
r
te
Ou
n
r do
Inner cordon co

Figure 3 The main elements of incident response

 Incident Response 509

substantial personnel (probably from police determine which resources need to be sent to the
forces) to man the cordons, especially in urban operational area. An advance medical post (also
areas where there may be many access routes to known as a first-aid post) serves to give pre-hos-
the site. It may also restrict legitimate emergency pital care to patients whose condition needs to be
operations if not all responders are authorized to stabilized. Before that can happen, a triage officer
pass the roadblocks. Note also that for simplic- determines which patients should receive priority
ity, the model is given as circular and concentric, for initial treatment and transportation to a hos-
whereas in reality it will be irregular in form. For pital. Patients arrive on stretchers via the rescue
example, a chemical contamination incident may loop. Those (if any) who are dead or moribund are
require the cordoned area to be extended down- triaged as “black-coded” and placed in the mor-
wind. Decontamination units may be situated tuary area. Red-coded (urgent) patients are given
adjacent to the control posts for entry to the cor- primary care and sent to a hospital. Ambulances
doned areas. follow the loading and evacuation circuit but are
Figure 3 simplifies the pattern of cordoning but activated according to “first-wave protocol.” This
includes more of the elements that appear in a means that primary triage must be completed
typical incident response. The linkage between the before patients are loaded and transported, in
mobile command post and a distant emergency order to ensure that the priority of cases is correct.
operations center serves to relay information Finally, “yellow” (delayed urgency) and “green”
from the field and enables the EOC personnel to (walking wounded) patients are escorted to a

Figure 4 Pattern of response to a mass-casualty incident

510 Incidents Versus Crises

holding area pending mass transport to a place, Decision Making; Emergency Management,
such as a clinic, where they can receive proper Principles of; Emergency Management System;
medical checks and be discharged as appropriate. Emergency Medical Care; Health and Medical
There are two other elements of the scene to Response Scenarios; Incident Action Plans;
describe. For medical evacuation and urgent Incident Management; Incidents Versus Crises;
deliveries, a helicopter landing area is required, Interoperability; Perimeter Control; Reciprocal
which must be free of obstructions. This means Agreement; Surge Capacity, Hospitals.
that it must have an adequate expanse of firm,
flat ground and no trees or overhead wires within Further Readings
a 35-degree arc centered on its periphery (as heli- Borell, Jonas and Kerstin Eriksson. “Improving
copters tend to land diagonally, not vertically). Emergency Response Capability: An Approach for
There must be no loose objects that the wind from Strengthening Learning From Emergency Response
rotors can pick up and throw around. These even Evaluations.” International Journal of Emergency
include objects as large as a motorbike, as air cur- Management, v.5 (2008).
rents can be strong during takeoff and landing. Buncefield Major Incident Investigation Board.
Finally, the news media will require an observa- Recommendations on the Emergency Preparedness
tion point, and this should be designated such for, Response to and Recovery From Incidents.
that it gives an adequate view of the site without London: UK Government, 2007. http://www.bunce
obstructing official movements and operations. In fieldinvestigation.gov.uk/reports/preparedness.pdf
a major incident, news media operatives will pool (Accessed May 2012).
their resources, such as video footage of the inci- Jackson, Brian A., Kay Sullivan Faith, and Henry
dent and interviews with key individuals, which H. Willis. “Are We Prepared? Using Reliability
will go some way to reducing their need for access Analysis to Evaluate Emergency Response
to the site. Systems.” Journal of Contingencies and Crisis
Management, v.19 (2011).
Communication and Collaboration McEntire, David A. Disaster Response and Recovery:
Figure 4 shows the full complexity of the response Strategies and Tactics for Resilience. Hoboken, NJ:
to a mass-casualty incident. The efficiency of Wiley, 2007.
operations will depend on that of information Salmon, Paul, Neville Stanton, Dan Jenkins, and
flows, and therefore on communications between Guy Walker. “Coordination During Multi-Agency
the various elements shown in the diagram. Emergency Response: Issues and Solutions.”
Modern TETRA (terrestrial trunked radio) sys- Disaster Prevention and Management, v.20 (2011).
tems such as Airwave are robust, digital means Waugh, William L., Jr., and Kathleen Tierney.
of communication that embody a high degree of Emergency Management: Principles and Practice
flexibility and interoperability. Indeed, interop- for Local Government. 2nd ed. Washington,
erability is one of the keys to incident response. DC: International City/County Management
If local resources are insufficient, then the vital Association, 2007.
solution may be to invoke mutual aid agreements Yang, Lili. “On-Site Information Sharing for
with neighboring authorities. These serve both Emergency Response Management.” Journal of
to cover the needs generated by the incident and Emergency Management, v.5 (2007).
to ensure that normal operations are maintained
when many personnel and resources are respond-
ing to the incident.

David Alexander Incidents Versus Crises

Global Risk Forum, Davos
The term incidents differs from the term cri-
See Also: Agency Notification and Mobilization; ses. The word incidents is commonly used to
Backup Facility; Business Continuity Management; denote actions requiring immediate emergency
Command and Control; Crisis Communications; responder attention, usually tactical operations.
 Incidents Versus Crises 511

The term crises denotes incidents wherein the that consequences of incidents increase from an
required resources are not readily available or emergency to a disaster and then to a catastro-
are beyond the capabilities of the organization phe. Any one of these types of incidents could be
responsible for providing immediate emergency a crisis if appropriate response capabilities are
attention. The term may also pertain to an inci- exhausted, overwhelmed, or unavailable.
dent seen as very serious, for example, an ethical Efforts to reduce the possibility of incidents
or financial crisis at a private-sector corporation. becoming crises include such measures as mutual
This article clarifies the difference between an aid agreements, the Emergency Management
incident and a crisis with examples drawn from Assistance Compact (EMAC), and memoranda
real-world situations. of agreement (MOA) or memoranda of under-
In the field of emergency management, an inci- standing (MOU) between two or more organiza-
dent is an unexpected occurrence such as a fire, tions. Incidents occur daily, and most are handled
a vehicle accident, or a natural hazard, such as a by local authorities without escalation or atten-
tornado, an earthquake, or a flood. The incident tion from the media. Those that escalate into
may also of human origin, such as a shooting or a larger incidents, or possibly crises, often require
terrorist attack. Though unexpected, such occur- multiple agencies from more than the affected
rences are not unpredicted. Authorities prepare jurisdiction.
to respond to a storm, an accident, or an attack
by planning, training, and exercising. Though an Types and Categories of Crises
incident may be predictable because of the history Crises are occurrences requiring greater resources
of prior incidents, it sometimes occurs with little than may be immediately accessible or avail-
or no warning. A hurricane warning provides able. Whether a natural disaster, a human-made
greater time to prepare with the help of meteo- disaster, or a threat to an organization’s reputa-
rological science and sophisticated tracking and tion, crises are managed to reduce risk of further
early warning systems. A tornado provides less damage. The most familiar crises are large-scale
time for advanced warning, and a vehicle acci- natural disasters, such as a flood, hurricane, or
dent, a fire, a shooting, or a terrorist attack may earthquake. Such disasters may destroy criti-
provide no warning at all. cal infrastructure or block emergency response
routes, which creates delays in fixing the problem.
Incident Response The Stafford Act provides a system of escalating
The vast majority of incidents are managed by requests for assistance by the federal government
a single resource or a small unit of resources. when local or state resources are exhausted.
Law enforcement most often responds to an inci- There are many types of crises. Ian I. Mitroff,
dent with one officer, whereas the fire service is Edward S. Devlin, Steven Fink, and others have
more likely to respond with a team of firefighters created tables or lists that contain all or some
assigned to a specific piece of apparatus. In either of the following specific problems: a product
case, the incident is either resolved or escalated, issue, a negative public perception of an orga-
in which case additional resources are required. nization, a financial problem, an industrial rela-
As an incident develops, it may become a crisis if tions problem, an adverse international event,
resources are unavailable or delayed. workplace violence, or the sudden loss of senior
In New York’s Citywide Incident Manage- executives. There are also categories of crises:
ment System (CIMS), all types of incidents are economic, informational, physical (facilities),
assigned to lead agencies. Establishing preas- human resource, reputational, psychopathic
signed response lead agencies addresses issues of acts, or natural disasters. All of these situations
command responsibility. CIMS helps reduce the may require special crisis management response
number of crises by identifying leadership roles expertise.
prior to and during an incident. There are also incidents that may become crises
There are escalating categories of incidents. without endangering anyone’s life or safety. An
Enrico Quarantelli defined emergencies, disasters, example is an ethical crisis in which an organi-
and catastrophes. The ascending order suggests zation is vulnerable to reputational damage as
512 Incidents Versus Crises

a result of the poor conduct of an employee or These steps pertain to various aspects of
executive. Similarly, product tampering or equip- responding to a crisis or an incident. In incident
ment failure may create crisis conditions for an management, an officer on scene might take charge
organization. Examples exist in banking, poli- quickly, possibly transferring command later to a
tics, religion, college athletics, and nuclear power supervisor or an incident commander. In the pri-
entities when the actions of one or more persons vate sector, taking charge may be a function of the
impact the entire organization and its stakehold- chain of command or policy. An employee first on
ers. Public affairs personnel treat such incidents the scene, or first to become aware of the crisis,
as crises because of the vulnerability they present may only report it to a superior rather than tak-
to the organization and its reputation. ing any other action. In a “size up,” responders
A crisis can be good or bad. In either case, the determine the facts as quickly as possible, espe-
capabilities of the responsible party are strained cially those pertaining to safety. Greater analysis
or exhausted. In the simplest form, a good cri- of a crisis may be required to determine either the
sis might be the unexpected arrival of a busload cause or the full extent of the damage. The pos-
of high school students at a popular fast food sibility of subsequent damage, such as a tsunami
restaurant when minimal staff are on duty. The following an earthquake, is also assessed when
arrival may mean increased income for the busi- determining the facts.
ness, while it may be a crisis for employees whose Public information officers or public affairs
resources to serve the customers well are strained personnel are charged with and specially trained
or inadequate. A crisis considered to be negative, to “tell the story” to a variety of audiences and
bad, or detrimental could be a fire in a crowded stakeholders. Special training or experience is
building, a vehicle accident on a desolate stretch best when communicating to the media. There
of highway, or flooding from a dam failure. In have been instances where a report to the media
each case, the resolution of the incident may not has escalated a crisis rather than resolving it.
resolve the threat of danger fast enough to protect Such instances have occurred in coal mining
life, property, or the environment. Anyone who accidents, hostage situations, and product tam-
might suffer from the impact of the impending pering. In the Incident Command System, opera-
threat will see the incident as a crisis. tions section personnel will fix the problem at
In the private sector, crises may include labor most incidents. They have the training to per-
strikes, loss of proprietary information, loss of form tactical operations. If the execution of any
critical physical infrastructure (buildings, data one of the four steps is beyond the capabilities
centers), workplace violence, damaging rumors, of the responsible responders, a crisis may ensue
product tampering, hostage taking, or any natu- and increase.
ral disaster that interrupts business activity.
Catastrophes and Disasters in U.S. History
Four Basic Management Steps Emergency management historians and schol-
Crisis management differs from incident manage- ars list incidents spanning the 18th through
ment. While incident management is often struc- 21st centuries in the United States. These may
tured through the use of incident-management include the 1900 hurricane in Galveston, Texas;
systems, such as the Incident Command System the 1906 San Francisco fire and earthquake;
(ICS), crisis management is often subject to a set the 1918 flu pandemic; the 1927 Great Missis-
of policies or detailed crisis plans, especially in sippi Flood; the Dust Bowl storms in the 1930’s;
the private sector. Devlin simplified basic incident the 1933 Long Beach, California, earthquake;
and crisis management by proposing the follow- the 1947 Texas City explosions; the 1992 Los
ing four steps for managing a crisis: Angeles riots; the 1999 Columbine High School
shootings; the terrorist attacks on September 11,
1. Take charge quickly 2001; the 2001 anthrax poisonings; Hurricane
2. Determine the facts Katrina in 2005; the 2011 Joplin, Missouri, tor-
3. Tell your story nado; and the Aurora, Colorado, movie theater
4. Fix the problem shootings in 2012.
 Incidents Versus Crises 513

Though the list is not comprehensive, in each with data supporting multiple incidents with ade-
case local emergency response capabilities were quate response may maintain its current budget
strained or exhausted, which caused each inci- for patrols. The same organization, recognizing
dent to reach beyond an emergency to attain the from the data that there were serious reputational
level of either a disaster or a catastrophe, and issues regarding how incidents were handled,
each escalated from incident to crisis. Moving might increase the budget to provide additional
from an incident to a crisis may involve immedi- personnel or systems to handle crisis management.
ate needs, or the crisis may develop during the Response may have been excellent at an incident,
course of supporting an immediate response, but public perception of the response may have
such as when a hospital receives victims in need created a reputational or trust crisis. Knowing the
of emergency care. Similarly, a crisis might difference between the two is important and may
develop during a power outage in which the influence critical decisions.
immediate impact is loss of lighting, air condi- Finally, knowledge and comprehension of ter-
tioning, heating, or critical equipment. Such an minology leads to effective application, analysis,
incident becomes more serious and may move to evaluation, and judgment. When the terms are
the crisis level if the restoration of power takes clear, the decisions, actions, and consequences
longer than expected. are more likely to be understood by all involved.
In emergency management, the term event is Clarification of incidents versus crises promotes
often used in place of incident, but these words understanding and successful crisis management.
are not the same. An event more commonly refers
to a human-made “planned event,” such as the Thomas D. Phelan
Super Bowl or the Thanksgiving Day parade in Independent Scholar
New York City. Both events are planned well in
advance, but they require much of the same plan- See Also: Catastrophe, Definition of; Coping
ning, training, and exercising to prepare respond- Capacity and Response Capability; Crisis, Definition
ers should the event become an incident or should of; Crisis Communications; Crisis Information
something unexpected interrupt the flow of the Management Systems; Crisis Management,
event. If the occurrence or interruption is seri- Emerging Trends in; Disaster, Definition of; Disaster
ous, a crisis may develop because of any difficulty Assessment; Disruption of Organizations; Emergency,
or delay in obtaining the required resources to Definition of; Emergency Management Systems;
resolve it. An example of an event turning into Emergency Public Information; Fink’s Crisis Life
a crisis would be a large concert in an arena Cycle; Incident Management; Mitroff’s Five Stages
(planned event) without adequate fire suppression of Crisis Management; Mutual Aid and Assistance;
systems or clearly marked evacuation routes. Reputational Risk; Routine Emergencies Versus True
Crises; Spokesperson, Designating and Utilizing;
Benefits of Differentiation Stafford Act.
The benefit of differentiating between the terms
“incidents” and “crises” is found in crisis com- Further Readings
munication and emergency response. It is also Devlin, Edward S. Crisis Management Planning and
important in compiling statistics wherein data Execution. Boca Raton, FL: Taylor & Francis,
on the frequency and level (severity) of occur- 2007.
rences informs resource deployment and acqui- Fink, Steven. Crisis Management: Planning for the
sition. Planning the budget for tactical response Inevitable. Lincoln, NE: iUniverse, 2002.
operations and crisis management functions may Harvard Business School Press. Harvard Business
depend on accurate statistical data revealing the Review on Crisis Management. Boston: Harvard
need for one or the other. Staffing levels in man- Business Press, 2000.
agement positions may vary, and staffing in tacti- Hillyard, Michael J. Public Crisis Management: How
cal operations may vary depending on the num- and Why Organizations Work Together to Solve
ber, severity, and frequency of either incidents or Society’s Most Threatening Problems. Lincoln, NE:
crises. For example, a law enforcement agency Writers Club Press, 2000.
514 Income Inequality and Labor Unrest

Howitt, Arnold M. and Herman B. Leonard. Labor unrest was rampant in the 1870s. After
Managing Crises: Responses to Large-Scale the expense and chaos of the Civil War, in places
Emergencies. Washington, DC: CQ Press, 2009. outside the Reconstructed south the railroads
Mitroff, Ian. I. Managing Crises Before They Happen: brought great prosperity to capitalist business
What Every Executive and Manager Needs to owners, and the United States began to take
Know About Crisis Management. New York: the lead in the Industrial Revolution. This was
AMACOM, 2001. the age of America’s first industrial tycoons, the
Regester, Michael and Judy Larkin. Risk Issues and first Americans to become truly and overwhelm-
Crisis Management: A Casebook of Best Practice. ingly wealthy from business—men like Andrew
3rd ed. Sterling, VA: Kogan Page, 2005. ­Carnegie, Cornelius Vanderbilt, Jay Gould, and
John D. Rockefeller, whose name has been syn-
onymous with wealth ever since.
Railway workers and coal miners, whose labor
laid the foundation for this prosperity, were the
Income Inequality first to demand better treatment, and their pro-
tests ranged from reasonable pursuits like the cre-
and Labor Unrest ation of political parties, labor unions, and lobby-
ing groups, to the shameful massacres of Chinese
Labor unrest defines a broad category of actions workers (who were hired to work at much lower
taken by workers, especially collectivized as pay than whites, and often replaced whites, who
unions, to express their dissatisfaction with were then left without work) in the northwest.
employers, including striking and picketing, as Labor agitation in Chicago led to the Haymarket
well as violent actions like riots and the uprising bombing and shoot-out of 1886, in response to
of the Luddites during the Industrial Revolution. which American labor unions became better orga-
This underlying dissatisfaction can sometimes nized and more professional, but were unfortu-
be encouraged by or correlated with economic nately associated in the public mind with terrorism
inequality, because a significant disparity of for the next several decades. At the end of the 19th
wealth between workers and employers implies century, only 3 percent of the population belonged
that the workers have not been proportionately to a labor union; as the country urbanized in the
compensated for the wealth they have generated first decades of the 20th century, labor unions saw
for others. Historically, this has been most true in prolonged steady growth, and labor strikes were
working-class, nonfarming communities, where treated more frequently as a reasonable bargaining
major employers include manufacturers or mines; tactic rather than being described as quasi-criminal
although there is no reason to consider it less true acts of economic obstruction, as industrialists had
when the workers are in the service industry, for depicted them in the 19th century.
instance, or are white-collar office workers, the
history of labor action is more strongly associated Economic Inequality and Happiness
with the exploitation of industrial workers. A 2011 study published in Psychological Sci-
Inequality is more sharply felt during times of ence, based on survey data from 1972 to 2008,
overall recession. In 2012, for instance, the United found that Americans as a whole were signifi-
States was more than four years into an extended cantly happier when the wealth gap was smaller,
financial crisis in which unemployment was high and that there was a relationship in those years
across all demographic sectors, housing values had between American happiness and the perception
fallen, and conventional middle-class expenses like of fairness and general trust. The study offered an
education and childcare had skyrocketed; at the answer to the question often raised by social sci-
same time, stock indices were at near-record highs, entists: Given that American national wealth had
corporate executive earnings were the highest they grown significantly over the second half of the
had been in recent memory, and many wealthy 20th century, why did American happiness decline
employers paid the same effective tax rate or less instead of increase? The growing income inequal-
than their lowest-paid employees. ity would seem to be the answer, particularly as
 Infectious Disease 515

happiness did increase in European countries Gilens, Martin. Affluence and Influence: Economic
where economic growth was matched by growth Inequality and Political Power in America.
or stability in economic equality. Princeton, NJ: Princeton University Press, 2012.
Is there a causal link between people’s unhappi- Kenworthy, Lane. “Rising Inequality, Public Policy,
ness about economic inequality and labor unrest? and America’s Poor.” Challenge, v.6 (2010).
Science suggests there is, and that the observed Lambert, Peter. Distribution and Redistribution of
correlation in history is not coincidental. In a Income. Manchester, UK: Manchester University
study published in Nature, scientists trained mon- Press, 2002.
keys to collect pebbles for them in exchange for Oishi, Shigehiro, Selin Keseber, and Ed Diener.
cucumbers, prompting the monkeys to harvest “Income Inequality and Happiness.” Psychological
pebbles in return for food. The system seemed Science, v.22/9 (2011).
stable. When the scientists began giving some Page, Benjamin I. and Lawrence R. Jacobs. Class
monkeys grapes (a preferred treat over cucum- War? What Americans Really Think About
bers), while the rest of the monkeys continued to Economic Inequality. Chicago: University of
get cucumbers, the economy collapsed: The over- Chicago Press, 2009.
whelming majority of the monkeys ceased collect- Salverda, Wierner, Brian Nolan, and Timothy
ing pebbles, even though previously cucumbers M. Sneeding, eds. The Oxford Handbook of
had been treated as a sufficient incentive. (Some Economic Inequality. Oxford: Oxford University
may have predicted that the monkeys would col- Press, 2009.
lect more pebbles in the hope of getting grapes,
but this proved not to be the case.) This may
imply that dissatisfaction with perceived unfair-
ness is an evolved, instinctual response—not one
acquired through human culture. Infectious Disease
Historically, there is a general inverse relation-
ship between unemployment and income inequal- Infectious disease is any infection or disease caused
ity; that is, the more people are unemployed, the by certain microbes (called pathogens), such as
greater the gap is between rich and poor. This viruses, bacteria, fungi, parasites (including proto-
is true even of the working class—that is, when zoa and helminths), and atypical proteins known
unemployment is high, workers’ wages are dis- as prions. (Viruses are not considered microbes
proportionately low relative to the wealth of by strict definition but are included in this discus-
the upper class. A simple explanation, undoubt- sion.) Infectious disease is determined by the pres-
edly only one factor, is that when unemployment ence of a pathogenic agent and the common symp-
is high, employers have little incentive to raise toms (some are asymptomatic in humans) for the
wages, either in the form of entry-level wages or particular microbe. Not all microbes are harmful,
of raises to existing employees. When there are and many are beneficial, to humans. Microbes live
not enough jobs to go around, workers have little almost everywhere in/on humans, soil, water, or
choice but to take what they can get. plants. Globally, infectious disease is the leading
cause of child and adolescent mortality and a sig-
Bill Kte’pi nificant contributor to adult mortality. Six infec-
Independent Scholar tious diseases account for about 82 percent (12
million out of 14.7 million) of the deaths, which
See Also: Bankruptcy, Corporate; Blame, Politics of; are lower respiratory infections including pneumo-
Budget Crisis; Commodity Shortages; Debt Crisis; nia, influenzas, and acute bronchitis (3.9 million);
Poverty; Protest; Stock Market Crises; Strikes. HIV/AIDS (2.8 million); diarrheal diseases (1.8
million); tuberculosis (TB) (1.6 million); malaria
Further Readings (1.3 million); and measles (about 1 million). Most
Brosnan, Sarah F. and Frans B. M. de Waal. “Animal of these are preventable or treatable diseases.
Behaviour: Fair Refusal by Capuchin Monkeys.” Infectious diseases are spread by direct and indi-
Nature, v.428/6979 (March 11, 2004). rect contact, typically from human to human, and
516 Infectious Disease

by vectors, and include various zoonotic diseases Contact Transmission

(animal to human transmission). Contact transmission requires the new host to
come in direct or indirect contact with the patho-
Historic Infectious Disease Pandemics gen. The direct route is commonly through physical
Throughout history, infectious diseases have been contact. An example of direct contact transmission
responsible for many pandemics. For example, the is sexually transmitted infections (STIs) (formerly
black death (or bubonic plague) was a vector-borne called sexually transmitted diseases [STDs]). STIs
illness that killed 25–50 percent of the European, are diseases acquired during vaginal, anal, or oral
African, and Asian populations in five years (1347 sex (less common). During sexual intercourse,
to 1352). Black death is spread by a vector (flea) infectious bacteria or sores make physical con-
that has been infected with the bacterium Yersinia tact and can be transmitted from the infected to
pestis and then bites a human, giving him or her the noninfected. Infected secretions, such as semen
the infection that spreads to lymph nodes, which or vaginal lubrication, can gain access to another
swell. In the 18th century, smallpox killed over 60 person’s bloodstream through tiny fissures in the
million Europeans and killed over 75 percent of penis or tears in the vagina or rectum. Examples of
children under 5 years of age. Smallpox is caused STIs include bacterial (i.e., chlamydia, gonorrhea,
by one of two variants: variola major or minor. TB syphilis), viral (hepatitis B, herpes, human papillo-
is caused by the microbe Mycobacterium tubercu- mavirus [HPV]), fungal (yeast infection), parasites
losis, which throughout the 19th century killed (crabs), and protozoal (trichomoniasis).
about 25 percent of Europe’s adults. The 1918 Indirect contact is when a susceptible person
influenzavirus A H1N1 (called Spanish influenza) comes in contact with a pathogen-contaminated
pandemic was estimated to have infected over a object or surface and acquires an infection. An
quarter of the world’s population and resulted in example is fomites, which include doorknobs,
50 million deaths. countertops, medical instruments, eating/drink-
ing utensils, keyboards, toys, towels, pens, books,
Modes and Routes of Transmission and/or money. Common infectious diseases spread
There are several modes of infectious disease trans- by fomites are the common cold, diarrhea, meth-
mission, such as contact, vehicle, and vector. Con- icillin-resistant Staphylococcus aureus (MRSA),
tact involves direct, indirect, and droplet trans- conjunctivitis, measles, lice, pinworms, and influ-
mission, whereas vehicle transmission includes enza. Many of these diseases are also transmitted
airborne, waterborne, and food-borne transmis- through direct contact. Another example of indi-
sion. Vector transmission involves mechanical rect transmission is iatrogenic transmission (e.g.,
and biological transmission. Infectious disease is a type of nosocomial infection), which happens
directly transmitted in two ways: horizontal and when a pathogen is introduced to the human dur-
vertical disease transmission. Horizontal trans- ing a medical procedure, such as a surgery, organ
mission involves one host transmitting to another transplantation, or blood transfusion. Examples
via direct or indirect contact, whereas vertical include Creutzfeldt-Jakob disease (CJD), HIV/
transmission is passing the pathogen from par- AIDS, hepatitis B, and malaria.
ent to child (across the placenta in utero, during Droplet and airborne transmission both utilize
labor, or through breast milk). the respiratory route; however, droplets require
Pathogen survival necessitates they be trans- close contact to infect others because they travel
mitted from one host to another, and they are shorter distances (about a meter) and are larger
typically specialized around a specific route of (more than 10 micrometers) than the airborne
transmission. Routes of transmission include transmission. In contrast, airborne transmission
respiratory, gastrointestinal, physical contact, of viruses and bacteria can cover considerable dis-
through vectors, fecal-oral, fomite, or an inter- tance on dust particles. Under the right tempera-
mediate host (e.g., eating undercooked bear or ture and humidity conditions the mucus coating
pig meat [trichinosis]). Some microbes, such as of influenzavirus evaporates, resulting in the virus
chicken pox or anthrax, can utilize more than one staying airborne. The respiratory route involves
transmission route. inhaling the infected aerosolization (i.e., the
 Infectious Disease 517

person speaks, coughs, sneezes, laughs, and even life cycle. The most common vector is mosquitoes
sings) of airborne droplets. Droplets can enter the (females), which transmit malaria, dengue fever,
body through the eyes, mouth, and/or nose. Com- yellow fever, West Nile virus, and Rift Valley fever.
mon examples include the common cold, influ- Other common vectors are flies, mites, fleas, ticks,
enza A and B, pertussis (whooping cough), TB, rats, and dogs. Examples of vector-borne disease
measles, and bacterial meningitis. are African sleeping sickness, viral encephalitis,
babesiosis, Chagas disease, Lyme disease, plague,
Vehicles rabies virus, scabies, and tularemia.
Vehicles are when the pathogen is brought into the
body, commonly through the air, water, or food. Infection Classification
A common pathogen airborne transmission route Infectious disease illness is dependent on the
is the respiratory route. Waterborne and food- interaction between the body’s immune system
borne transmissions utilize the gastrointestinal (to defend/resist) and the pathogen’s ability to
system. When a person ingests contaminated food infect. A pathogen’s ability to infect is classified
or water, the pathogen enters the digestive system, as primary or opportunistic infection. A primary
where it multiplies and causes illness. After being infection is illness/disease caused in healthy peo-
infected, the person can shed the pathogen via feces, ple, whereas an opportunistic infection is disease
which can infect others. An example is fecal-oral caused in unhealthy people (i.e., those with a
transmission (also a direct contact) route, which weakened immune system) and rarely in healthy
results from food preparers not washing contami- people. Pathogens can be either contagious (easily
nated hands and preparing food that is ingested transmitted), virulent (malignant and/or lethal),
by another person or when untreated sewage or and/or both. A further distinction is whether the
fecal matter has contaminated drinking water pathogen caused an infection and disease. An
and is drunk by a person. Eating fish or shellfish “infection” is when a pathogen invades and mul-
that lived in contaminated water is another route. tiplies/grows (colonization) in the body. A “dis-
Common food and waterborne illnesses are sal- ease” is based on the pathogen’s ability to invade
monella, campylobacter, shigella, E. coli, Bacillus tissue (invasiveness) and produce toxins (toxi-
cereus, tapeworms, and prions. Prion disease (mad genesis). The human immune system can defend
cow disease in cows, scarpie in sheep, and CJD in against a pathogen infection, but if this fails or
humans) is a degenerative brain disorder resulting the immune system is overwhelmed, the develop-
from abnormal proteins, which can be from eating ment of a disease is a possible outcome.
contaminated tissue, an inherited disease, or from
iatrogenic transmission. Prevention, Diagnosis, and Treatment
Prevention of infectious disease requires under-
Vectors standing the microbe and using appropriate
Vectors carry pathogens from one host to another means to inhibit multiplication and spread. Basic
via mechanical or biological transmission. A prevention strategies (not applicable in all situa-
mechanical vector transfers a microbe from one tions) include vaccinations, chemoprophylaxis,
host to another but is unnecessary for the para- universal health precautions, practicing strict
site’s life cycle. An example is a housefly that barrier procedures, avoiding direct contact with
lands on pathogen-containing feces. The feces gets blood and/or bodily fluids, disinfection, vector
on its appendages. The fly then lands on human avoidance/control measures, and even quaran-
food, whereby the pathogen is ingested. What tine. Prevention strategies are based on recogniz-
makes this mechanical is that the pathogen never ing its virulence, contagiousness, and range.
entered/lived in the fly. A biological vector trans- There are many different ways to diagnose
fers a microbe from one host to another and is infectious disease, both directly and indirectly.
necessary for the parasite’s life cycle. An example One of the most common diagnosis tools is a
is a mosquito with plasmodium parasite (causes physical examination along with a clinical presen-
malaria), and the parasite requires both the mos- tation of specific symptom constellations. Direct
quito (vector) and a human (host) to complete its diagnosis/confirmation tests include microbial
518 Infestations, Parasite

cultures, microscopic examination (light or elec- people are experiencing longer illnesses and higher
tronic), biochemical (serological and immuno- mortality. Another emerging issue is superinfec-
assays), and molecular diagnostics (polymerase tion. A superinfection is a new bacterium, virus,
chain reaction [PCR], reverse transcription poly- or fungal infection or coinfection that develops
merase chain reaction [RT-PCR], nucleic acid during antimicrobial treatment.
sequence-based amplification [NASBA]). Other
direct tests provide images of internal abnormali- Andrew Hund
ties, such as magnetic resonance imaging (MRI), Independent Scholar
and computed tomography (CT) and positron
emission tomography (PET) scans. See Also: Ebola Virus; Epidemics; HIV/AIDS
Treatments are categorized broadly into two Epidemic; Influenza; Malaria; Measles; Pandemics;
types of antimicrobials: microbistatic or micro- Quarantine; Severe Acute Respiratory Syndrome
bicidal. Microbistatic antimicrobials operate by (SARS); Tuberculosis; Vaccinations.
hindering the replication of the pathogen, whereas
microbicidal antimicrobials kill the microbe. For Further Readings
example, bacteria are prokaryotes, and antibiotics Pommerville, J. Guide to Infectious Diseases by Body
used for treatment either kill the microbe (bacteri- System. 2nd ed. Sudbury, MA: Jones & Bartlett
cidal) or inhibit its growth (bacteriostatic). Some Learning, 2010.
examples of bactericidal antibiotics include peni- Wertheim, H., P. Horby, and J. Woodall, eds. Atlas of
cillins and fluoroquinolones, whereas examples Human Infectious Diseases. Hoboken, NJ: Wiley-
of bacteriostatic antibiotics include tetracyclines Blackwell, 2012.
and sulfonamides. Treatments for viral diseases World Health Organization (WHO). “The World
are generally focused on lessening the symptoms Health Report 2004: Changing History.” Geneva:
and waiting on the immune system response or WHO, 2004.
host death. There are a couple of antiviral drugs
(microbistatic) available. For example, acyclovir
is used to treat herpes outbreaks. Another antivi-
ral is AZT, which hinders HIV from replicating.
Fungal and parasite (protozoa and helminths) Infestations, Parasite
diseases involve a different treatment process from
bacteria and viruses, because fungi and humans An infestation is a state of being invaded or over-
are eukaryotes. Both antifungal and antiparasitic run by parasites. Parasites are plant or animal
treatment/drugs seek to expel or kill the fungi organisms that are metabolically dependent on
or parasite without causing harm to the infected other organisms (a host) to live, feed, or reproduce.
host. These treatment/drugs can have side effects. Parasites, such as protozoa, helminths, arthropods,
Antifungal drugs work by hindering the fungi’s fungi, or bacteria, can cause infestations or an
ability to replicate. Anthelmintics are a class of infection. Infestations are categorized by whether
drugs (benzimidazoles, diethylcarbamazine, etc.) the parasite is located on the skin or inside the host.
that expel parasitic worms (helminths) from the The medical definition of an infestation differ-
intestinal tract by either vermifuges (disorienting entiates parasites into two groups. The first group
them) or vermicides (killing them). Natural anti- of parasites lives and feeds on the surface or in
helmintics include tobacco, garlic, and pineapple. the pores of the skin and is called ectoparasites
Over the years, antimicrobial medications have (i.e., external parasites). Ectoparasites’ life on the
been used extensively, and microbes have been host can range from a brief period of time to the
adapting, rendering treatments less effective at entire life of the parasite. Common examples are
inhibiting and/or killing the microbes. These are lice, fleas, bedbugs, mites, and ticks. Ectopara-
drug-resistant microbes, which include almost sites do not generally cause disease but can be
all staphylococcal strains (resistant to penicil- the vector for transmitting diseases. In medical
lin), HIV/AIDS, malaria, and TB. Drug-resistant terms, ectoparasites are an infestation. The sec-
microbes require more advanced treatments, and ond group lives, feeds, or reproduces inside the
 Infestations, Parasite 519

human body and is called endoparasites (i.e., Body lice are treated by regular changes into
internal parasites). Common examples are hel- laundered clothes and improvement of hygiene,
minths (i.e., tapeworms, pinworms, and round- such as regular bathing. There are a number of
worms) and protozoa (i.e., giardia and crypto- over-the-counter lotions, mousses, and sham-
sporidium). Each endoparasite has a specialized poos, as well as prescription medications, for the
location within the host, with many inhabiting treatment of pubic lice. The appropriate chemical
the intestinal system. For example, the tapeworm treatment of all lice for adults and especially small
uses its mouth, equipped with suckers with hooks children and pregnant women requires consulta-
(scolex), to anchor/attach to the intestinal wall of tion with a physician, since many treatments are
the host. In medical terms, the presence of endo- toxic and can have severe side effects.
parasites is called an infection, not an infestation.
Fleas
Lice A flea is about 0.03 to 0.09 of an inch (1–2.5
Three types of lice that affect humans are head, mm) in size and feeds on blood. Some common
body, and pubic lice (commonly called crabs). types of fleas are the cat, rat, and human flea.
Lice are generally specialized to one host but can People in North America are most likely to be
move from one host to another. Both male and bitten by a cat or rat flea, because the human flea
female lice feed on blood. Adult lice are 0.08 to is not common. The bites of fleas cause itchy pap-
0.13 of an inch (2.1–3.3 mm) in size. Head lice are ules, generally in groups of three, with some peo-
a global problem and found in every geographic ple having an allergic reaction to the bites. Fleas
region. Annually, in the United States, 6 million are a common vector for transmitting bacterial
to 12 million infestations occur, mostly affecting (typhus), viral (myxomatosis in rabbits), proto-
children aged 3 to 11 years. In the United States, zoan, helminth, and rickettsial parasites to ani-
head lice infestations are less common in African mal and humans. Fleas have been involved in sev-
American communities than in any other ethnic eral epidemics throughout history, with the most
group. The infestation rate among children in widely known being the black death (or bubonic
developed countries is between 2 and 10 percent. plague). The black death was spread by fleas that
Globally, the infestation rate average is approxi- were infected with the bacterium Yersinia pestis,
mately 10 to 25 percent, with some regional vari- which killed 25 to 50 percent of the European,
ation ranging from as low as 5 percent to as high African, and Asian populations between 1347
as 90 percent. Body lice are similar to head lice, and 1352. The fleas acquired Yersinia pestis
except they infest the body and clothes. Pubic lice from feasting on infected rats and then infested
or crabs infest the pubic region of adults and the humans by biting them.
eyelashes of children. Adult transmission is pri- Removal of fleas from living areas requires the
marily from sexual contact of an infested person use of an insecticide by a trained professional
with a noninfested person. exterminator. The use of over-the-counter foggers
Head lice are transmitted by head-to-head con- is considered limited in its effectiveness. Itching
tact, such as through the bedding, towels, hair- from fleas bites can be relieved with calamine
brushes, or combs of someone who was infected, lotion or hydrocortisone creams.
and/or via the infected person’s clothing. Man-
agement includes laundering the infected person’s Bedbugs
clothing and bedding in hot water and drying Bedbugs have made a comeback since the 1980s
them with high heat. Items that cannot be washed and are found throughout North America,
are quarantined by placing them in sealed plastic Europe, and most Asians countries. They were
bags for at least two weeks. Combs and brushes almost eradicated in developed countries in the
are disinfected in hot water. Adults with head lice 1940s. The most common bedbugs are species of
should wash their hair with a shampoo containing Cimex lectulariu and Cimex hemipterus (tropical
pediculicides in a two-treatment cycle spaced up origin) of the Cimicidae family. A bedbug has six
to 10 days apart. The lice eggs (called nits) should legs, and an adult is about the size of an apple
also be removed manually with a fine-tooth comb. seed. Bedbugs feed mostly at night on human
520 Infestations, Parasite

blood. A bedbug bite causes itchy red papules Scabies mites cause scabies and are a global
resembling a rash, with some people having an problem. Worldwide, there are an estimated 300
allergic reaction to the bites. Although bedbugs million cases of scabies annually. Globally, the
can be infected with over two dozen pathogens, infestation rate average is approximately 1 to 10
they are not known to transmit disease to humans. percent, with population variation ranging up to
Bedbugs can be challenging to remove from a 50 to 80 percent. The scabies mite burrows in the
living area because they can survive for several skin and deposits eggs. Once an egg hatches, a larva
months without eating. Removal of bedbugs from comes out of the burrow, moves across the host’s
a living area requires the use of a pesticide by a skin, and repeats the cycle. Scabies mites are noc-
trained professional exterminator. Nonchemi- turnal. Persons with scabies can be asymptomatic
cal treatments include vacuuming the cracks and and able to transmit the infection to others. Scabies
crevices where they are prone to hide, such as are commonly transmitted by direct skin-to-skin
picture frames, the lips of mattress seams, furni- contact with an infected person. Norwegian sca-
ture, and under electrical outlet plates. Bedding bies (called “crusted”) can be spread by brief skin-
and clothing should be washed in hot water (at or to-skin contact or by using an infected person’s
above 120 degrees F (49 degrees C) and placed in bedding, clothing, and/or furniture. Appearance of
a dryer for at least 20 minutes. Heavily infected scabies requires the household or all those occupy-
mattresses or furniture should be discarded. Itch- ing the same living area to be treated concurrently.
ing from bedbugs can be relieved with calamine Bedding and clothing are washed in hot water (at
lotion or hydrocortisone creams. or above 120 degrees F [49 degrees C]) and dried
with high heat. Items that cannot be washed are
Mites quarantined by placing them in sealed plastic bags
Acarology is the name of the scientific field that for several days or up to one week. Institutional
studies mites and ticks. Mites are similar to outbreaks are more problematic and are generally
insects but have eight legs as adults (six in the difficult to control. There are scabicides available,
larva stage). Both mites and ticks go through four but they require a prescription.
stages of development, which are egg, to larva, to
nymph, to adult. There are about as many types Hard and Soft Ticks
of mites as insects. Some mites help decompose Ticks are eight-legged blood-sucking organisms
recently dead plants and animals, others infest that are found throughout the world. Some species
plants, and still others attack insects and arthro- of ticks (a relative to mites) can grow up to one-
pods. They also bite humans and animals, causing quarter inch in length. Although ticks can attach
skin irritations. Mites are tiny, with most being anywhere on a human, the preferred areas are in
around 100 to 600 microns. The average size of a the pubic and anus region, armpits, behind the
dust mite is 6 to 10 microns. ears, and hairline. There are two families of ticks,
Some of the most common mite infestations are which are hard (Ixodidae) and soft (Argasidae).
dust mites and scabies. Dust mites feed on human Hard ticks have a hard shield behind their mouth
skin flakes and are not visible to the human eye. that is visible. Examples of hard ticks include the
The feces and body appendages of dust mites can dog, deer (also known as black-legged tick), West-
cause allergic conditions, such as rhinitis (hay ern black-legged, brown dog, Gulf Coast, lone star,
fever), itchy eyes, running nose, eczema (skin and Rocky Mountain wood. Soft ticks lack the
rashes), and coughing. Exposure to a significant hard shield behind their mouth, do not have a scu-
dust mite infestation can result in children devel- tum (shield), and primarily feed (infest) on birds.
oping asthma as well as triggering asthma attacks. Examples include the common fowl and relapsing
Treatment of dust mites is to reduce their pop- fever tick. The hard type remain attached to the
ulation. Examples include dustproof or allergen- host for several days of feeding, whereas the soft
blocking bedding, regular vacuuming (a HEPA- tick feeds more quickly and drops off the host.
filtered vacuum is recommenced), washing of Most bites from ticks do little to humans, but
bedding, and dusting of the house (at least once some ticks can transmit viruses, rickettsiae, bac-
every week). teria, and protozoa microbes that cause human
 Influenza 521

disease. For example, Rocky Mountain spot- worldwide. This acute viral infection is character-
ted fever (RMSF) can be transmitted by the dog, ized by inflammation of the nasal mucosa, throat
brown dog, and Rocky Mountain wood ticks; (pharynx), and conjunctiva. Globally, influenza
and Taiga encephalitis (brain inflammation), causes 4 million cases and 250,000–500,000
endemic in former Soviet Bloc countries and cen- deaths every year. In the United States, seasonal
tral Europe, is transmitted by the groundhog, influenza affects around 5 to 20 percent of the
taiga, and sheep ticks (i.e., ixodid ticks). The dog, population, with 200,000 people hospitalized as
wood, and lone star ticks are responsible for the a result of complications and 36,000 deaths.
transmission of tularemia, commonly known as The influenzaviruses are consistently evolving
rabbit fever. Besides ticks being a vector for dis- and changing because they are genetically unsta-
ease, there are over 40 species of ticks that can ble. For example, influenzaviruses are made up of
directly transmit a neurotoxin via their salivary eight distinct segments of RNA; they are unable
glands to humans, causing the condition of tick to repair errors (mutations) that occur during
paralysis. Some examples of these paralysis- reproduction. Influenzavirus evolves two ways:
inducing ticks include the dog, scrub (Australia), antigenic shift and drift. Antigenic shift occurs
and Rocky Mountain wood ticks. only sporadically and is a sudden significant
When in heavily tick-prone areas, people change in viruses’ glycolproteins (e.g., hemagglu-
should examine areas on the body where ticks tinin [HA] and/or neuraminidase). Antigenic drift
commonly attach, such as behind ears and knees, is a continual gradual process with deviations to
armpits, head, and groin area. An attached tick the viral structures, which can infect persons who
can be removed with a tick remover or a pair lack antibodies to the new variant. Influenzavirus
of tweezers, focusing on removing the head and A can undergo both kinds of changes, while type
mouthparts. B and C viruses change by antigenic drift. Influ-
enzavirus A can undergo antigenic shift because
Andrew Hund it can genetically reassort (i.e., mixing of HA of
Umeå University human/avian/pig strains), cross the species barrier,
and also reappear after being dormant. All new
See Also: Epidemics; Infectious Disease; Living strains can cause seasonal outbreaks, regional
Modified Organisms; Malaria; Pandemics; Public epidemics, or less common pandemics based on
Health Surveillance; Quarantine; Social Distancing. antigenic variation and ability to spread, and can
cause serious illness to those lacking immunity.
Further Readings
Eldridge, B. and J. Edman, eds. Medical Entomology: Pandemic Outbreaks
A Textbook on Public Health and Veterinary Since the 20th century, the world has seen four
Problems Caused by Arthropods. 2nd ed. New pandemic viruses: the 1918 H1N1 (Spanish
York: Springer, 2003. influenza), the 1957 H2N2 (Asian influenza),
Gessner, R. Pathogens: A Handbook of Infections, the 1968 H3N2 (Hong Kong influenza), and the
Infestations, Contagions, and Pestilence. 2nd ed. 2009 novel H1N1 (swine flu). All humans are
Atlanta, GA: Kendall Hunt Publishing, 2011. susceptible to the three strains, but influenza A
Goddard, J. Infectious Diseases and Arthropods. 2nd is the most virulent and historically responsible
ed. New York: Humana Press, 2010. for pandemics. Of these four pandemics, only the
1918 virus has been associated with excessive
mortality. The 1918 pandemic was estimated to
have infected over a quarter of the world’s popu-
lation and conservatively resulted in 50 million
Influenza deaths. Many reports claim people died within
hours of becoming ill. Differing from other influ-
Influenza (called the flu) is a highly infectious respi- enza, deaths from the 1918 strain were highest
ratory disease caused by three different strains of among adults under 50 years of age, rather than
the influenzaviruses (A, B, and C) that circulate children or the elderly.
522 Influenza

The 1957 and 1968 influenzavirus A are sus- variant was not as severe as the early reports said.
pected to be the result of a genetic reassortment Like the 1918 pandemic, 80 percent of mortality
(antigenic shift) of the avian and human viruses. was among those under 65 years of age. It also
This new H2N2 variant of 1957 circulated until affected children and young adults at a higher rate
1968, when it was replaced by the Hong Kong than typical seasonal flu. Some have theorized
virus (H3N2). Globally, the 1957 influenza esti- that those born before 1950 may have acquired
mated mortality was 2 million, while the 1968 immunity to the new H1N1 virus from the previ-
strain estimated mortality was 1 million. Some ous H1N1 of 1918. This novel H1N1 has now
scientists hypothesize that those infected by mostly replaced the former H1N1 virus.
the 1957 variant were partially immune to the
1968 variant. In addition, five of the eight RNA Influenza Strains
sequences of the modern H3N2 influenza virus Influenzavirus A can infect humans, wild birds
have their origin in the 1918 variant. (aquatic birds, i.e., ducks, geese, terns, etc.), pigs,
The novel H1N1 influenza of 2009 originated horses, dogs, cats, domesticated birds (chickens,
in Veracruz, Mexico, and was an unusual genetic turkeys, pheasants, etc.), and recently discov-
reassortment of swine, avian, and human influ- ered fruit bats. Influenzavirus A from aquatic
enza. This novel strain likely originated from an birds does not grow well in human cells, and vice
intermediate host, like a pig. The novel H1N1 versa. However, both avian and human influenza

A hog shown in the Spotted Swine class rests at the Minnesota State Fair’s swine barn, August 27, 2012. Although a University of
Minnesota epidemiologist recommended pigs be banned from the fair and other public events because of concerns about swine flu,
fair and health officials chose to keep the pig barn open, citing the low number of state cases. By September 5, three cases of influenza
were confirmed to be linked to the fair. A woman whose grandson showed fair hogs was treated for the H1N2 strain and released.
 Influenza 523

replicate better in pigs. Influenzavirus B is less low genetic diversity, it is unlikely to trigger an
severe than type A and almost exclusively found epidemic or pandemic.
in human populations, can cause illness, death,
and even epidemics, but not a pandemic. Influ- Swine Influenza Virus (SIV)
enzavirus C is a milder illness than A and B and Swine influenza virus (SIV) is any influenza vari-
has not caused an epidemic or a pandemic. Only ant endemic in pigs. SIV causes most respiratory
influenza type A viruses are classified into sub- illnesses in pigs and circulates year-round. As of
types, while B viruses are classified by strains. 2009, the known SIV strains included influenza
C (rare) and the influenzavirus A subtypes found
Influenzavirus A Subtypes in pigs, which are H1N1, H1N2, H2N1, H2N3,
Influenzaviruses A are classified and identify by H3N1, and H3N2. There are no reports of influ-
two glycoproteins: hemagglutinin (HA) and neur- enza B in pig populations. Most influenzavirus A
aminidase (NA). There are 16 known HA and and C types from pigs do not grow well in human
nine known NA subtypes, with many possible cells, and vice versa. Although rare, since 1958
combinations of HA and NA proteins. For exam- reassortment of pig and human strains is proba-
ple, H3N2 is a subtype of influenza A and the HA ble based on 50 documented cases of direct trans-
has three proteins while the NA has two proteins. mission of swine flu to humans. In 2004, H3N2,
Likewise, in H1N2 virus the HA has one protein like the 2009 novel H1N1, was the result of an
and the NA has two proteins. unusual reassortment of swine, avian, and human
The influenzavirus A subtypes that affect influenza. H3N2 influenza virus is suspected to be
humans are H1N1, H1N2, H2N2, H3N2, and able to reassort with the avian H5N1 viruses in
H10N7. Influenzavirus A H1N1 caused the 1918 an intermediate host.
and 2009 epidemics. H1N2 is a reassortment of
the presently circulating H1N1 and H3N2 sub- Avian Influenza Viruses (AI)
types. Specifically, the H1N2 virus HA protein is The natural reservoirs (hosts) for these all influ-
similar to the H1N1 viruses, and its NA protein is enzavirus A subtypes are wild birds. Wild birds
similar to the H3N2 virus. The new H1N2 vari- do not always become sick with influenzavirus A,
ant is similar to seasonal influenza in illness and but domestic poultry have commonly died from
outbreak potential. avian influenza subtypes (H5N1, H7N1, H7N2,
H3N2 can infect humans, birds, and mammals. H7N3, H7N4, H7N7, H9N2, and H10N7).
Since 2006, H3N2 has been increasingly resistant Duck viruses have been linked to influenza out-
to the adamantanes antiviral drugs. In human breaks in whales, seals, horses, pigs, and turkey
populations, H3N2 is a common virus resulting populations.
in about 30,000 U.S. deaths annually. The origin Avian influenzavirus A is classified by two
of H3N2 was an antigenic shift of H2N2 in 1968. types—low pathogenic avian influenza (LPAI) or
In 2011, a new variant was found, which was highly pathogenic avian influenza (HPAI)—based
called H3N2v. Egypt in 2004 reported H10N7 in on the molecular makeup and the viruses’ ability
humans for the first time after the deaths of two to cause disease. The LPAI variants result in mild
children. asymptomatic infection in poultry and symptoms
The influenzavirus B is less common than A and from conjunctivitis to nonfatal respiratory illnesses
is mostly found in human populations, but also in in humans. The HPAI virus infections can cause
ferret and seal populations. Type B has a lack of severe illness in poultry and range from asymp-
antigenic diversity, has limited hosts, and has a tomatic to fatal conditions in humans. The rare
slower mutation rate when compared to type A— HPAI virus strains (H5N1, H7N3, and H7N7)
which are a few of the reasons it does not cause have produced serious conditions ranging from
pandemics. Even though humans are exposed to conjunctivitis (H7N3, H7N7) to acute respiratory
type B early in life, it mutates enough over time diseases and mortality (H7N7, H5N1) in humans.
that lifetime immunity is unlikely. Influenza C has The three main subtypes of avian influenza that
triggered small localized outbreaks among chil- infect humans and birds are influenza A H5, H7,
dren in Japan and California, but because of its and H9 (each has nine potential neuraminidase
524 Information Asymmetry

subtypes). H5N1 is a major pandemic threat, as Kolata, G. Flu: The Story of the Great Influenza
the fatality rate of H5N1 in human populations Pandemic of 1918. New York: Farrar, Straus &
is 50 to 60 percent; however, the current strain Giroux, 2001.
is limited in its human-to-human transmission. Nelson, Tim. “State Fair to Be More Vigilant, but
The present HPAI H5N1 virus circulating in Asia Pig Barn Stays Open.” Minnesota Public Radio
and Europe is endemic to poultry. Influenza A H7 (August 21, 2012). http://minnesota.publicradio
can be transmitted from birds to humans through .org/display/web/2012/08/21/health/ban-swine
direct contact, but it is rare and is limited in -from-state-fair-expert-says (Accessed September
human-to-human transmission (H7N7). H7 sub- 2012).
types are considered as LPAI (e.g., H7N2, H7N7)
and HPAI (e.g., H7N3, H7N7). The zoonotic
likelihood of H7N7 is unusual. Influenza A H9
subtype is LPAI and rare in human populations.
It was confirmed in 1999, but all three infected Information Asymmetry
children recovered fully.
The term information asymmetry describes a
Prevention, Treatment, and Management circumstance in which the parties involved in a
The best prevention against the influenza virus situation—typically a transaction, as the term
is vaccination. The annual vaccine includes the originates in economics—include one party who
influenza A (H3N2, H1N1) and B viruses but not has more information or more accurate informa-
C. Every year, genetic changes occur to the domi- tion than the other party or parties. Such asym-
nant strains because of antigenic shift/drift, result- metries lead to imbalances of power, which can
ing in the need for a new vaccine. Vaccines take harm the least-informed party and may develop
about six months to produce, and in some years, into deeper and more disastrous problems. The
the antigenic shift/drift results in the new vaccine simplest example of an asymmetry is fraud, in
being ineffective. The introduction of influenza which one party is swindling the other, but the
into overcrowded situations such as evacuation term would not be broadly useful if this were
centers after a disaster will favor an outbreak, the only case considered. For instance, in buying
and the introduction of a virulent swine or avian medical insurance, if the customer knows more
influenza that is easily transmitted can trigger an about his/her medical condition than the insurer
epidemic and a possible epidemic. does—whether because of a preexisting medical
condition, a hereditary propensity for a medi-
Andrew Hund cal problem, or information deliberately hidden,
Independent Scholar such as a smoking habit—then the insurer is in a
position in which the rates set will not be fairly
See Also: Epidemics; Infectious Disease; Pandemics; matched to the risk of payout taken on. The same
Public Health Surveillance; Quarantine; Social is true if the insurer is aware of information about
Distancing; Vaccinations. the insured that correlates to a risk factor but is
unable to act on that information because of the
Further Readings regulatory environment, such as laws prohibiting
Abramson, J. Inside the 2009 Influenza Pandemic. adjustments to insurance rates based on gender,
Hackensack, NJ: World Scientific Publishing, 2011. ethnicity, or preexisting conditions. The term
Giles-Vernick, T., S. Craddock, and J. Gunn, eds. information asymmetry is not strictly accurate in
Influenza and Public Health: Learning From Past the second scenario but is still helpful if we imag-
Pandemics. London: Routledge, 2010. ine a less-informed doppelganger of the insurer
Jacobson, Anne. “Local Woman Gets Influenza who possesses only the information it can act
Linked to Swine Exposure.” The Republican Eagle upon and the difference that information asym-
(September 5, 2012). http://www.republican-eagle metry makes in its decisions.
.com/event/article/id/83340 (Accessed September Consider as well information asymmetry in
2012). contrast with “perfect information,” the situation
 Information Asymmetry 525

Case Study: The 2008 Financial Crisis

At the end of the 1990s, a decade that the risk in order to calibrate investing strategies to
began with a $100 billion expenditure by the his/her acceptable levels of risk and prospective
federal government to remedy the savings and return. This is perhaps especially true in the case of
loan crisis and with a recession caused in part the aforementioned hedge funds and other funds,
by the effects of that crisis on the finance and where the purpose of their investment portfolio is to
real estate industries, legislators dismantled the “hedge their bets,” reducing risk exposure through
Glass-Steagall Act, which had been passed in diversification—an investment strategy that is highly
1933 to regulate the finance industry in order to sensitive to the quality of the investor’s information.
prevent another Great Depression. The flurry of It is an understatement to say that an
previously disallowed mergers of banks, brokerages, information asymmetry existed with collateralized
insurance companies, and mortgage companies debt obligations and other new or newly popular
that followed was one significant complication to derivatives. Many of the “quants,” highly
the industry and to the investment market. Another specialized mathematicians and physicists hired by
was the increased prominence of computers the finance industry to structure these derivatives,
and mathematicians in the industry. The former, didn’t understand them as fully as they thought,
coupled with software, trading Web sites that as hindsight eventually made clear; those outside
increased access to the markets, and electronic that elite had an even less sure grasp, and most
exchanges, led to the spread of high-speed trading. investors impacted by these new derivatives
The former designed ever more complicated understood no more than the fundamentals.
financial instruments, many of which were intended Mortgaged-backed securities and collateralized
to eliminate the risk of high-risk loans by bundling debt obligations were subject to pricing models
them with lower-risk loans. entirely out of sync with the actual risks underlying
Investments always carry a risk, and investors them. On top of that, the housing market of the
understand this. What they understand less 2000s was widely misunderstood. In retrospect,
perfectly are the magnitude of that risk and the it seems obvious that the housing bubble would
probability of loss. Some investors are especially inevitably burst, that speculation in the form of
risk averse, either because of personal preference “house flipping” artificially drove up prices, and
or because of a requirement placed on their that predatory lending practices and the growth
investment behavior: The managers of hedge funds, of subprime mortgages increased banks’ risk
pension funds, and the investment portfolios of exposure, essentially generating risk and selling
institutions like schools and charities, for instance, it off as an investment, but as late as 2007
are supposed to engage in low-risk investing, in commentators predicting such a collapse were
some cases accepting gains not much greater dismissed or ridiculed.
than the offset of inflation in return for protection The deregulation of the finance industry and
against significant loss. Risky investments are the resulting mergers created a situation in which
supposed to carry a risk premium in order to there was insufficient transparency about bank
be worthwhile—the expected return of a risky behavior and the risks engaged in by financial
investment must be greater than the known return institutions. This would be true even if it were not
of a risk-free investment (such as a certificate of also true, as later investigations found, that there
deposit, government bond, etc.). The greater the were numerous cases in which financial institutions
risk, the greater the difference in expected return themselves did not adequately understand the risk
should be—a principle called the “pricing of risk.” they engaged in, and other cases in which risk
Just as an insurance company needs to have an was deliberately concealed or misrepresented. The
adequate understanding of the risk factors faced asymmetry of information led investors to take on
by a prospective customer to be insured in order to larger risks than they intended to take on, and
set its premium, so must an investor understand (Continued)
526 Information Asymmetry

(Continued) industry and the effects that would have on the

when some of those risks were realized, financial economy, currency, and availability of credit. It is
institutions began to fail, leading to government worth remembering, of course, that the term too big
bailouts on a much greater scale than the cost of to fail was coined in 1984—a time when, although
remedying the savings and loan crisis two decades deregulation was favored by many politicians,
earlier. Those bailouts, though they have their critics, the financial industry was nevertheless much
represented a basic principle in public policy: that more heavily regulated than it was 24 years later.
some financial institutions are “too big to fail.” Regulation is a protection against moral hazard: the
While opponents of the Troubled Asset Relief tendency, when an entity is shielded from risk by
Program (TARP) and other bailouts saw in those the promise of remedy, to engage in riskier behavior
expenditures an unfair reward paid to institutions than would be considered without that safety net. It
that had engaged in morally hazardous behavior, is for that reason that many legislators and consumer
the proponents of the program, including the sitting protection advocates called for greater regulation
president and both presidential candidates, saw it of the finance industry—a return to Glass-Steagall,
as a hedge against a much greater risk: the collapse as a minimum—in order to reduce future risks and
of significant portions of the American financial contain the present crisis.

assumed in many game theory models in which that owners of lemons are more motivated to
behavior is predicted based on the assumptions place their cars on the used car market, and the
that all agents make rational choices and have bad thus drive out the good. Because many of the
access to the same information to inform those elements making up a car’s quality are not discov-
choices. In contrast with perfect-information situ- erable by inspection—and need not be intention-
ations, in situations of information asymmetry, ally hidden to remain invisible—the buyer of a car
the rationality of agents is constrained by the has limited information about the quality of the
information they have access to, or the effects of car, especially compared to the previous driver,
misinformation—an idea economists and other whose knowledge is deep and experiential. The
social scientists call “bounded rationality.” Work car may even have lemon elements that the previ-
on information asymmetry began roughly in the ous driver does not consciously consider, having
1960s and 1970s in papers by economists George absorbed compensatory behaviors as part of his
Akerlof, Michael Spence, and Joseph E. Stiglitz, driving habits—he knows without thinking about
who were awarded the Nobel Prize in Economics it that the handle of the passenger-side front door
in 2001 for their contributions. sticks, that the car needs to be braked gradually
The insurance example above represents a in the rain, or that it stalls on winter mornings
case of adverse selection, or negative selection, if it isn’t run for a while before backing out of a
a risk management term that originated in dis- parking space. Discrepancies in the two drivers’
cussions of information asymmetry in the insur- driving habits and styles may make other factors
ance industry but has since been applied to many invisible, such as if one driver does more highway
other contexts. Akerlof’s landmark 1970 paper driving or is used to turning more sharply or goes
“The Market for Lemons: Quality Uncertainty on long road trips.
and the Market Mechanism,” for instance, dis- The net effect of these asymmetries, Akerlof
cusses adverse selection in the used car market. demonstrated, is this: because asymmetries of
Used cars are referred to as cherries (high-quality information exist, sellers are financially motivated
cars) and lemons (low-quality cars). Although to pass off goods as higher quality than they are.
there may be a motive to sell a cherry if it has Because buyers are aware of this—being knowl-
become a classic car that has appreciated rather edgeable about the market at large, despite lacking
than depreciated in value, Akerlof’s analysis finds knowledge of the product involved in the specific
 Information Vacuums 527

transaction—they assume the quality of the goods party provides inducements for the other party to
is uncertain and treat products as average or reveal the information. Spence described signal-
worse. This works to drive high-quality goods out ing, in which parties adopt choices or behaviors
of the market because the seller will have too much that have the benefit of signaling the authenticity
difficulty getting a fair price for them. Similar of their claims, so that the less-informed party will
lemon markets exist in markets for used comput- trust them: graduating from college, for instance,
ers and other equipment, and the housing market signals a claim about the graduate’s capacity for
is affected by similar factors, especially in the case skilled work, or work in a specific area.
of rentals, where the renter may not be motivated
to make a thorough inquiry into quality because Bill Kte’pi
of his or her low time and financial commitment. Independent Scholar
Problems with a rented apartment may thus not
become apparent until it has been lived in for a See Also: Bankruptcy, Corporate; Blame, Politics
time, especially when problems are season-specific. of; Bounded Rationality; Fraud; Insurance; Legal
The hiring process in a workplace and the admis- Liability; Reinsurance.
sions process in a college or graduate school are
similar situations in which there is an asymmetry Further Readings
in the information possessed by each party about Akerlof, George A. “The Market for Lemons:
the candidate’s qualifications. Even dating can be Quality Uncertainty and the Market Mechanism.”
construed as a situation of information asymme- Quarterly Journal of Economics, v.84/3 (1970).
tries, the remedy for which is the raison d’être of Comfort, Louise K. “Crisis Management in Hindsight:
matchmaking services like eHarmony. In other sit- Cognition, Communication, Coordination, and
uations, the asymmetries may result in the market Control.” Public Administration Review, v.67/
simply failing to exist—an example Akerlof gives is Supp. 1 (December 2007).
that of the credit market in many developing coun- Cvetkovich, George, Michael Siegrist, Rachel Murray,
tries, although since his paper was written, micro- and Sarah Tragesser. “New Information and Social
finance initiatives have been adopted in some parts Trust: Asymmetry and Perseverance of Attributions
of the world. Now one of the most-cited papers in About Hazard Managers.” Risk Analysis, v.22/2
modern economics, “Market for Lemons” actually (April 2002).
faced considerable difficulty getting published— Mishra, Debi Prasad, Jan B. Heide, and Stanton
one journal rejected Akerlof for making his case G. Cort. “Information Asymmetry and Levels
too extreme, while others rejected the paper as, on of Agency Relationships.” Journal of Marketing
the contrary, too trivial. Research, v.35/3 (August 1998).
Because a federal consumer protection “lemon Spence, Michael. “Job Market Signaling.” Quarterly
law” was adopted five years after the publication Journal of Economics, v.87/3 (1973).
of “The Market for Lemons,” proposed laws offer- Stiglitz, Joseph E. and Michael Rothschild.
ing similar consumer protection against informa- “Equilibrium in Competitive Insurance Markets:
tion asymmetry are sometimes called “a lemon law An Essay on the Economics of Imperfect
for the such-and-such market.” One possible pro- Information.” Quarterly Journal of Economics,
tection against adverse selection, against making v.90/1 (1976).
the wrong choice, is the same in all cases: reduce
information asymmetry by increasing information
access. For insurers, this means detailed question-
naires and accurate information about risk factors,
to the extent the law allows; for car buyers, this Information Vacuums
means as thorough an inspection as possible, and
a cottage industry providing vehicle history reports Crises precipitate an increase in demand for
to interested customers. Stiglitz and Spence pro- information and present complex information
posed more specific solutions. Stiglitz introduced environments. Gathering, organizing, and dis-
the idea of screening, in which the least-informed seminating information to those who need it are
528 Information Vacuums

Case Study: Information Vacuum During the 2001 United Kingdom Foot-and-Mouth Crisis

The 2001 foot-and-mouth disease (FMD) outbreak the pub, and in meeting each other during their
in the United Kingdom (UK) constituted the work. In the crisis, this changed; they were seeking
biggest crisis ever to affect the UK farming information in an environment where many diverse
system; it was one of the worst epidemics of its actors, networks, and agencies were responding to
kind in the world, with 6 million animals being the crisis.
slaughtered. The crisis unfolded as a series In a political context, farmers were seeking
of information and communication problems, information in an environment where government
primarily from the government to farmers, with disease control measures were complex:
consequences for action in a time of crisis. A study policies and strategies were continuously being
of the Cumbrian farming community explored the adjusted to deal with the emerging situation,
multiple informational needs that it faced during and legal requirements and implementation on
the crisis and examined the factors that created an the ground were subject to continual change in
information vacuum. Three key factors emerged. order to address problems as they developed.
Farmers’ information seeking was hindered by
Changes in Information Needs at Different Stages the government response, one that was severely
Information was required at the different stages of criticized for shortcomings in the information
the crisis. At the beginning of the crisis, farmers gathering and processing and methods of
were desperate to know about the origin of the communication. Information from the government
disease, identifying the disease, finding out where was often not forthcoming, was not delivered at the
the disease was spreading and whose farms “right” time nor at the “right” place, and was often
had been infected, information on eradication contradictory.
including the slaughter and disposal of animals,
and information about cleansing of farms. Identifying Trusted Information Sources
Second, information was required on the complex The need for trusted sources of information
system of biosecurity measures introduced by the contributed to information vacuums. In a crisis,
government. trusted information takes on greater significance.
Decisions have to be made about which sources
Context of Information Seeking of information and which information providers
It is important to recognize the sociocultural to trust. These decisions were critical because by
and political contexts in which farmers were acting upon trusted information, farmers could
seeking information and how these contributed to shape and influence the nature of the crisis. As
information vacuums. Farmers live in close-knit distrust of the government intensified, an existing
communities and are very much an oral community trust divide between farmers and the government
where information is passed by word of mouth. intensified. Generally, farmers trusted anyone who
Information is acquired from family, immediate had a local connection (except local government)
farming neighbors, and farmers who often live and with whom they were familiar. Further, during
in the same valley. In the sociocultural context, a crisis, individuals must deal with information
farmers were physically isolated, their daily routines overload, from official and multiple unofficial
disrupted, unable to exchange information, gossips sources. This increases uncertainty and the
and “crack” in their usual meeting places. Their difficulty of making decisions about who and what
normal channels of communication were disrupted are trustworthy sources of information. Farmers
from one that was primarily face to face to one distrusted much of the information that reached
in which technologies were the main methods of them, and this lack of trust led to people making
communication. Normally, farmers know where to up stories, rumors, and gossip. Consequently, much
go for their information: they exchange information of the information that farmers were seeking and
at auction-marts, at farmers’ discussion groups, in receiving was second- and third-hand.
 Information Vacuums 529

critical in the management of a crisis. Informa- seek it in rumors and gossip, which are virulent
tion is needed in crisis response and recovery by during crises. In normal circumstances, it is dif-
the many diverse actors, networks, and agencies ficult to ignore gossip, but in a crisis situation
involved in a crisis: officials, victims, members of where people are desperately trying to understand
the public, and the media. Government and non- what is happening and seeking explanations, it is
governmental officials need information to be even more difficult. Often, people try to create
able to respond to a crisis, victims need informa- a narrative to fill an information vacuum and a
tion to know where to go for support, the public knowledge gap. A lot of time is spent trying to
needs information about what is happening, and interpret and make sense of stories and trying to
the media need information to broadcast news decide whether information is trustworthy.
about the crisis. Crises can present information Crisis response requires getting the “right”
overload; conversely, there is often a lack of infor- information to the “right” person at the “right”
mation, often referred to as an “information vac- time. It is important in a crisis to communicate
uum.” Operating in an information vacuum may well; effective communication by all the actors
exacerbate and increase the severity of a crisis. can help diminish an information vacuum. An
Factors that contribute to an information vac- example of a massive information vacuum was
uum include the lack of integration and coordina- reported in eastern Liberia in 2011 by Internews,
tion of information by various actors and agencies, a nongovernmental organization (NGO) work-
the need to connect informal and formal channels ing to improve information exchange in disasters.
of information, the changing information needs Internews reported that thousands of refugees
at different stages of a crisis, the uncertainty in wanted to know what had happened to their fam-
crises that often creates conflicting information, ily members, what was the state of their villages,
and identifying trustworthy sources of informa- and whether it was safe to go home.
tion. In the absence of information from a cred-
ible source—for example a government agency— Christine Hagar
people look to traditional (e.g., television, radio) San Jose State University
and new media (social media) for information.
Social media have become an important plat- See Also: Crisis Communications; Crisis Information
form to disseminate information in crises. Recent Management Systems; Emergency Public Information;
global disasters have clearly demonstrated the Mass Media; News Media; Social Media.
power of social media to communicate critical
information. Web 2.0 technologies enable the Further Readings
spread of information at great speed and to a wide Coombs, W. Timothy. Ongoing Crisis Communication:
audience. Often, information concerning a crisis is Planning, Managing, and Responding. 3rd ed.
available on social networking spaces such as Face- Thousand Oaks, CA: Sage, 2012.
book, Twitter, MySpace, and Bebo within minutes Hagar, C., ed. Crisis Information Management:
of its occurring. These tools increasingly have the Communication and Technologies. Oxford, UK:
capacity and power to inform, to misinform, and to Chandos Publishing, 2012.
identify an information vacuum, and consequently Hagar, C. “Whom Do You Trust? Information
have the potential to create panic in communities. Seeking During the UK Foot and Mouth Crisis.”
In political disruptions such as the Arab Spring, Library & Archival Security, v.23/1 (2010).
government bans on media and self-censorship Muhren, W. J. and B. Van de Walle. “Sensemaking
within mainstream media created information and Information Management in Humanitarian
vacuums. Social media tools allowed citizens to Disaster Response: Observations From the Triplex
mobilize and spread their messages where gov- Exercise.” In Proceedings of the 6th International
ernments suppressed the free flow of information. Conference on Information Systems for Crisis
With the advent of social media, bloggers fill and Response and Management (ISCRAM 2009).
attempt to fill information vacuums. http://members.home.nl/w.j.muhren/publications
Information vacuums induce rumor and gossip. /2009_Muhren_VandeWalle_ISCRAM.pdf
When individuals lack information, they begin to (Accessed April 2012).
530 Insurance

Insurance the United States have social insurance programs

for many risks involving health, agriculture, and
Insurance is a well-known risk transfer instrument floods, and many countries implement compul-
that aims to reduce the financial uncertainty of risks sory insurance for fire, employer liability, motor
that are confronted by individuals, institutions, or vehicles, and environmental pollution.
business entities and to protect them against loss It is the “insurance technology” that brings all
of capital. To serve its aim, insurance creates an social, economic, and political differences under
“economic system” in which financial loss risk is the name of insurance. This technology is based
transferred from insureds to insurer through peri- on statistical and actuarial principles such as risk
odic payments, that is, premiums. If losses occur, prediction, probability, classification, the law of
the insurer pays the claims of insureds through large numbers, and pooling. These techniques
compensation. That is, insurance provides finan- make insurance a social device in which afford-
cial aid to individuals and business entities to keep able premiums can be offered even for large finan-
them intact in case of individually (e.g., traffic cial losses; the losses of few are paid by many,
and work accidents, health, illness) or collectively uncertainty is reduced, and losses are shared in
confronted crises (e.g., economic, environmental society. In turn, losses can be compensated by
such as natural hazards and climate change, and applying the assets of other insureds, who have
political such as terrorism). Hence, both forms of not confronted a loss yet. Serving the collective
modern insurance (i.e., “private” and “social”) well-being through large pools provides social
have significant roles in crisis management, from solidarity. Besides, insurance has the potential to
recovery to risk reduction. promote risk reduction through education cam-
Private insurance, which is offered by insurance paigns, risk awareness programs, and contractual
companies as a commercial commodity, is pur- methods such as coinsurance, deductibles, and
chased by individuals voluntarily in the market. premium reductions.
Private insurance can be traced back to ancient
China, Babylon, and Greece, when it was used to The Role of Insurance in Crisis Management
compensate the losses of traders and ship own- Depending on these attributes, insurance has
ers. It is known that marine insurance was used many advantages and significant roles in crisis
during the Mediterranean trade of the 14th cen- management that can range from recovery to risk
tury. In the 17th century, fire insurance in London reduction. First, insurance has the potential to
and the Lloyd’s Coffee House in England were replace relief programs of states during recovery,
the milestones of modern insurance. In the 18th because insurance lessens the burden not only of
and 19th centuries, new security needs emerged, citizens and/or insureds but also that of states.
depending on geographical discoveries, trading, Although the state can compose ad hoc financial
capital accumulation, the Industrial Revolution, resources for extreme cases or constitute regular
and urbanization, when the development of prob- resources through disaster funds, state aid can
abilistic and statistical sciences improved calcula- prevent risk reduction activities, increase risky
tion of risk and caused the development of mod- activities, and create reluctance for self-insurance.
ern insurance technology. Simultaneously, the first Moreover, because of the rare occurrence of cri-
social insurance programs emerged in Germany. ses, states usually transfer the accumulation of
Social insurance provides security systems for contingency funds to other expenses. Thus, the
health, work-related events, accidents, injuries, scarcity of resources in case of crises leads them
illnesses and death, and old age, when participa- to reallocate their resources intended for devel-
tion usually becomes compulsory. In the 20th cen- opment and to introduce additional taxes and to
tury, social insurance was accepted as a condition borrow from international donors.
and task of citizenship, particularly in the welfare In recent years, the increasing demand on
states after 1945. Today, the liberal and neolib- international donors, particularly by developing
eral economies have worked to replace the role nations, has limited the availability of these funds
of the social state with the private sector. Never- and caused delay of states’ development. Thus,
theless, many areas including western Europe and the emerging international disaster policy of the
 Insurance 531

Bonnie Cleveland helps clean out a friend’s home in Cedar Rapids, Iowa, on June 17, 2008, after the Cedar River flooded. Most private
insurers do not offer coverage for the peril of flood, and only 20 percent of at-risk U.S. homes purchase federal flood insurance. States
may then have to compensate uninsured people in the event of a catastrophic flood, which increases state-aid expectations and further
diminishes insurance demand, generating a self-perpetuating cycle.

United Nations since the 1990s (e.g., UNISDR, the calculability of such risks by insurance tech-
Yokohama Strategy, Kobe Conference, and niques. “Adverse selection” is described as the
Hyogo Framework for Action) has recommended tendency of people at high risk to insure them-
that countries all over the world develop risk selves more than other people at low risk, and
financing instruments with the purpose of balanc- “moral hazard” refers to the lack of incentive
ing risk reduction and loss compensation. Because or willingness for risk prevention and can rise
it is a common risk transfer tool in the developed to amplify risks and the probability of loss. As
nations, use of insurance and its integration into a consequence of information asymmetry prob-
risk reduction activities (e.g., building codes and lems, accumulation of high risks in the insurance
land use regulations) is strongly suggested to other pool may result in catastrophic losses. Moreover,
nations, with particular consideration of the pro- the geographical focus and spatial dependency of
tection of low-income households. these risks can also cause catastrophic losses, so
However, insuring catastrophic events (e.g., that financial difficulties for indemnification can
terrorism, war, fire, and natural disasters such as result in insolvency.
hurricane, flood, windstorms, and earthquake) Indeed, catastrophic loss depends on the insur-
can be difficult in market conditions. In addi- ers’ capacity to absorb losses. Thus, insurers usu-
tion to a lack of necessary knowledge about these ally insure such kinds of uninsurable risks by
risks, information asymmetry problems (i.e., applying certain techniques. For instance, insur-
adverse selection and moral hazard) can reduce ance companies can increase their capacity in
532 Insurance

terms of transferring their risks into international established catastrophic insurance pools (CIPs)
capital markets through reinsurance. Moreover, as public-private partnerships. These CIPs aim
risk classification and pooling can make it easier to increase the availability of hazard insurance
to estimate potential losses through special tech- and lessen the burden of governments. Although
niques, such as probable maximum loss. Other most of them are based on the solidarity principle
techniques can include increasing the variety of and operate as social insurance programs, lack
risks in the portfolio, diversification of risks into a of risk-based premiums prevents encouragement
broader geographical area, selection of good risks of risk reduction. However, the National Flood
(low, similar, and independent), exclusion of bad Insurance Program provides incentives to local
risks (incalculable and dependent) through risk governments for identification, assessment, and
classification, and encouraging risk mitigation reduction of flood risk (e.g., the Hawaii Hurri-
through risk-based premiums. cane Catastrophe Fund contributes to a risk miti-
In recent years, however, the insurance indus- gation fund and implements premium reduction).
try has confronted catastrophic losses from natu- However, the developing nations have further
ral disasters even in the developed nations. Thus, difficulties in implementing natural hazard insur-
some insurers withdrew from flood and earth- ance, particularly in market conditions, because
quake insurance in certain areas such as Califor- of high incalculability of risks, low capacity of
nia and Florida in the 1990s, when others imple- insurers, and lack of insurance culture. Hence,
mented high risk premiums. However, decreasing the international donors support the establish-
demand for insurance has shown that states may ment of CIPs as public-private partnerships, both
have to compensate losses of uninsured people at the national level (e.g., the Turkish Catastrophe
after catastrophes, which in turn can expand Insurance Pool) and the regional level (e.g., the
the state-aid expectation and diminish insurance Caribbean Catastrophe Risk Insurance Facility).
demand. Likewise, the September 11, 2001, ter- Moreover, microinsurance, which is offered by
rorist attack in the United States has also brought insurance companies and nongovernmental orga-
about the discussion of the uninsurability of ter- nizations, can provide protection for rural house-
rorism risk. holds and small businesses in the least developed
Nevertheless, the industry continues to insure countries.
natural hazard and terrorism risks through new
techniques and innovations. For example, the Arzu Taylan
catastrophic losses in the United States during the Selcuk University
1990s led reinsurance prices in global markets
to rise and resulted in the emergence of alterna- See Also: Emergency Management, Principles of;
tive risk transfer (ART) instruments such as cata- Information Asymmetry; NatCatSERVICE (Munich
strophic bonds, swaps, derivatives, and contingent Re); Recovery; Reinsurance; Residual Risk; Risk
credits. Another trend in the industry is observed Analysis; Risk Assessment; Sigma (Swiss Re).
to be increasing concern to promote natural haz-
ard risk mitigation for households (e.g., the Insti- Further Readings
tute for Business and Home Safety [IBHS] in the Athearn, James L. Risk and Insurance. Des Moines,
United States). Moreover, the insurance industry IA: Meredith Corporation, 1969.
has made efforts to improve risk information Gurenko, Eugene N., ed. Catastrophe Risk and
through risk maps. When some reinsurance com- Reinsurance: A Country Risk Management
panies develop risk maps for several countries Perspective. London: Incisive Financial Publishing,
(e.g., CatNet of Swiss Re, NatHan of Munich 2004.
Re), some countries are observed as establishing Kleindorfer, Paul R. and Howard Kunreuther. “The
public-private partnerships (e.g., HORA in Aus- Complementary Roles of Mitigation and Insurance
tria, ZURS in Germany). in Managing Catastrophic Risks.” Risk Analysis,
In addition, some developed nations (e.g., v.19/4 (1999).
Switzerland, Spain, the United States, Iceland, Linerooth-Bayer, Joanne and Reinhard Mechler.
Norway, France, Japan, and New Zealand) have “Insurance Against Losses From Natural Disasters
 Interdependence 533

in Developing Countries.” United Nations and potential cyber/terrorism attacks are among
Department of Economic and Social Affairs many factors cited for increasing interdependen-
Working Paper Series No. 85 (2009). http://www cies. Disruptions in one infrastructure can cas-
.un.org/esa/desa/papers/2009/wp85_2009.pdf cade, affecting dependent infrastructure sectors.
(Accessed March 2012). Failures in these sectors feed back into the initially
Priest, George L. “Government Insurance Versus impacted sector, transcending through the public
Market Insurance.” Geneva Papers on Risk and and private companies, impacting essential ser-
Insurance, v.28/1 (2003). vices with far-reaching health and human safety,
United Nations International Strategy for Disaster societal, economic, environmental, and national
Reduction (UNISDR). “Hyogo Framework for security consequences.
Action 2005–2015: Building the Resilience of For example, the dependence of water and
Nations and Communities to Disasters.” Geneva: wastewater infrastructure on electricity for pump-
UNISDR, 2005. ing and for operation of treatment facilities, con-
trol systems, and monitoring systems is obvious
to most users of these systems. Water and waste-
water systems are also dependent on repair and
maintenance personnel, who are reliant on trans-
Interdependence portation, which is reliant on a continuous supply
of fuel. The sector is also reliant on communica-
Complex, interconnected, and interdependent tions for ordering supplies and equipment and on
have become definitive terms reflecting the real- financial systems to support billing, payments,
ity of the dependence of modern lifestyles on and other business services. Similarly, the electric-
the infrastructure that sustain them. The global ity industry depends on fuel supply, road and rail
economy is increasingly dependent on intercon- transportation to deliver fuel to the generators,
nected networks of infrastructures that are spread water for cooling and to reduce emissions, and
across multiple temporal and spatial scales and telecommunications to monitor system status and
serve as the critical lifelines to the functioning of system control. Acknowledging and addressing
modern society. Interdependence in the simplest these interdependencies is an important task for
definition is understood as a condition of mutual infrastructure planners and operators as part of
dependency. The concept of interdependence risk and crisis management strategies at the plan-
can be applied to an organization, a community, ning, response, and recovery stages.
infrastructure, nation-states, or the global finan- Understanding the nature and the types of
cial system. Interdependent organizations, infra- interdependencies is the first important step
structures, or nation-states are those where the toward this task. Stephen Rinaldi, James Peeren-
function of one entity is dependent on and influ- boom, and colleagues, in their seminal work,
enced by the other entity. This interdependence defined four types of infrastructure interdepen-
provides new avenues of increasing vulnerability, dencies: physical (e.g., the material output of one
where increases in the complexity and tight cou- infrastructure is used by another), cyber (e.g.,
pling of critical infrastructures and economic and infrastructures utilize electronic information and
social systems allow relatively small disturbances control systems), geographic (located in close spa-
to rapidly escalate into compound crises. This tial proximity), and logical (e.g., infrastructures
article focuses on infrastructure interdependence are linked through financial markets). Infrastruc-
given the critical importance of functioning for ture interdependencies vary significantly in scale
crisis management. and complexity, ranging from local linkages (e.g.,
Just-in-time supply chains, reliance on elec- municipal water supply systems and local emer-
tronic systems, planning and development pat- gency services), to regional linkages (e.g., electric
terns that promote the physical collocation of power [British Columbia Hydro]), to national
infrastructure/utility corridors, aging infrastruc- linkages (e.g., interstate transportation systems),
ture and increasing congestion, the increasing to international linkages (e.g., telecommunica-
intensity and incidence of severe weather events, tions and banking and finance systems).
534 Interdependence

Case Study: The November 2006 Blackout in Europe

The November 2006 blackout event in Europe of supply for more than 15 million European
is considered one of the key references and a households.
powerful case that contributes to the discussion on The impact of this blackout ranged from minutes
interdependence. As Steven Castle wrote for The to hours. Full resynchronization of the system was
Independent: “one of the worst and most dramatic completed 38 minutes after the splitting, and a
power failures in three decades plunged millions of normal situation in all European countries was
Europeans into darkness over the weekend, halting reestablished in less than two hours.
trains, trapping dozens in lifts” and prompting calls The success of the restoration was credited
for reconfiguration of the governance structure by to the adequate performance of automatic
creating a central European power authority. The countermeasures in each individual Transmission
blackout impacted other critical infrastructure System Operator control area and additional
services (such as transportation) that were manual actions by operators a few minutes
dependent on power provision. after the splitting. The decentralized nature of
Unlike the 1998 Ice Storm Blackout in the responsibilities of the Transmission System
northeastern North America, this event was not Operators demonstrated their efficiency in
caused by a severe weather event but was the managing the consequences of the direction and
result of an overload triggered by the disconnection preventing larger crisis.
of a line in the north-German grid and further This serves as an illustration of the influence
poor coordination between the system operators. of the increased level of interconnectedness and
The cascading outages split the European interdependency of infrastructures, where a small
interconnected network into three separate areas disturbance can lead to a large-scale impact
with significant power imbalances. The power because of cascading effects. It speaks to the
imbalance in one of the areas induced a severe importance of policies and strategies to address
frequency drop that caused an interruption interdependencies beyond the national boundaries.

Methodologies to Map Interdependencies flowing to and from their own companies and
Several methodologies can be used to map interde- industry sectors. Another effective way—in terms
pendencies that can be qualitative and quantitative of timing, costs, and data requirements—of assess-
in nature. For example, the Swedish Emergency ing interdependencies is through intersectoral
Management Agency’s model uses a qualitative workshops designed around raising awareness of
dependency analysis approach to critical societal interdependencies by bringing relevant partners
functions, using the “dependency wheel.” In Fin- together. This method frequently uses risk sce-
land, a linear mathematical model was developed narios for facilitating the discussion but does not
to rank the risks involved in different societal func- require detailed modeling knowledge.
tions provided by critical infrastructure sectors as Acknowledging infrastructure interdependen-
a tool for informing national level planning. In cies within planning can play an important role
Canada, Tyson Macaulay used a mixed model for for building resilience and improving crisis man-
creating a Canadian critical infrastructure inter- agement capacity. Understanding infrastructure
dependency wheel using quantitative econometric interdependencies necessitates bringing together
information about the value of goods and ser- local public, private, and other stakeholders
vices flowing among Canadian critical infrastruc- across the scales of governance to share informa-
ture sectors and qualitative metrics “data depen- tion and address regional vulnerabilities and con-
dency,” which is derived from industry executives’ sequences under different scenarios. Among the
opinions on the criticality of information and data most frequently cited difficulties for identifying
 Interdependence 535

and addressing interdependencies are a lack of the European context, the Good Practices Man-
common language among the sectors, an unwill- ual for Critical Infrastructure Policies (RECIPE)
ingness to share critical information, the private provides an example of a similar system devel-
sector is frequently unwilling to share information oped by the Swedish government tested under
on interdependencies due to fear of enhanced reg- crisis. In the aftermath of the severe disruptions
ulation, and planners/disaster managers’ lack of resulting from the ash cloud emitted from 2010
previous experience with actual disasters. Increas- eruptions of Iceland’s Eyjafjallajökull volcano
ingly, the creation of partnerships is being seen as that affected a major part of the European air
a solution to provide trusted forums to identify traffic for weeks, the Swedish emergency manage-
resilience needs and gaps and facilitate continual ment agency (MSB) used its VisuaMSB tool and
resilience improvements and crisis management dependency database to assess the consequences
capacity at the organizational and higher levels for infrastructure services on other sectors. The
of governance. findings of the potential effects were communi-
Systematic and strategic assessment of interde- cated to all relevant sectors and were used for
pendencies is increasingly emerging as a promi- planning purposes. These initiatives highlight the
nent issue in public policies around the world. In importance of building and maintaining system-
the United States, the 1997 President’s Commis- atic knowledge about infrastructure dependencies
sion on Critical Infrastructure Protection stressed that can be used as part of strategic risk and crisis
that “mutual dependence and interconnectedness management before, during, and after events.
made possible by the information and commu-
nications infrastructure lead to the possibility Lilia Yumagulova
that our infrastructures may be vulnerable in University of British Columbia
ways they never have been before.” In Canada,
the government acknowledges that ‘‘interdepen- See Also: Cascading Crisis; Coping Capacity
dency analysis must be integrated into risk man- and Response Capability; Coupling; Critical
agement decisions, mitigation and preparation Infrastructure; Resiliency.
strategies, and response and recovery.’’ The rec-
ognition of the highly interdependent nature of Further Readings
critical infrastructure in Australia has initiated a Australian Government. “Critical Infrastructure
cross-sectoral analysis of dependencies that will Resilience Strategy.” Barton, Australia:
assist owners and operators of critical infrastruc- Commonwealth of Australia, 2010.
ture and the Australian government to better Boin, A. and A. McConnell. “Preparing for Critical
understand systemwide risks that are beyond the Infrastructure Breakdowns: The Limits of Crisis
purview of individual organizations, sectors, or Management and the Need for Resilience.” Journal
jurisdictions. of Contingencies and Crisis Management, v.15/1
The Critical Infrastructure Program for Model- (2007).
ling and Analysis (CIPMA) is a computer-based Chang, S. E., T. L. McDaniels, J. Mikawoz, and K.
capability that uses a vast array of data and infor- Peterson. “Infrastructure Failure Interdependencies
mation from a range of sources (including the in Extreme Events: Power Outage Consequences in
owners and operators of critical infrastructure) the 1998 Ice Storm.” Natural Hazards, v.41 (2007).
to model and simulate the behavior and depen- Government of Canada. “Position Paper on a
dency relationships of critical infrastructure sys- National Strategy for Critical Infrastructure
tems. The capability includes a series of “impact Protection.” (2004). http://www.ocipep.gc.ca/crit
models” to analyze the effects of a disruption to ical/nciap/NSCIP_e.pdf (Accessed March 2012).
critical infrastructure services (flow-on effects of Peerenboom, J. P. “Infrastructure Interdependencies:
a critical infrastructure service disruption within Overview of Concepts and Terminology.” http://
and across sectors, impacts on economy and pop- www.pnwer.org/pris (Accessed March 2012).
ulation, the duration of disruption, and how this Peerenboom J., R. E. Fisher, S. M. Rinaldi, and T.
affects the behavior of the various infrastructure K. Kelly. “Studying the Chain Reaction.” Electric
systems as a result of the service interruption). In Perspectives Issues (January–February 2002).
536 International Children’s Fund, UN (UNICEF)

President’s Commission on Critical Infrastructure after crisis facing children and women in many
Protection. “Critical Foundations: Protecting parts of the world. Since its formation in 1948,
America’s Infrastructures: The Report of the the agency has been extremely proactive, adjust-
President’s Commission on Critical Infrastructure ing to emerging realities, strategic possibilities,
Protection.” Washington, DC: The Commission, and challenges and in the process, becoming very
October 1997. effective in managing crisis.
The RECIPE Project. “Good Practices Manual for Specific factors are critical to effective cri-
CIP Policies.” In Critical Infrastructure Protection sis management for any organization, including
(CIP) Policies in Europe. Brussels, Belgium: compliance with regulations or the law, the level
European Commission, 2011. of preparedness within an organization, and the
Rinaldi, S.M., J. P. Peerenboom, and T. K. Kelly. nature and quality of planning that an organiza-
“Critical Infrastructure Interdependencies.” IEEE tion has undertaken. Other factors include avail-
Control Systems, v.21/6 (December 2001). ability of training and resource development
Rinaldi, S. M., J. P. Peerenboom, and K. K. Terrence. activities to counter disaster threats, the infra-
“Identifying, Understanding and Analyzing Critical structure for information management, and com-
Infrastructure Interdependencies.” IEEE Control munication, upon which the systems are enabled
Systems Magazine, v.21/6 (December 2001). for effective decision making. In addition, the
The Infrastructure Security Partnership. “Regional quality of interaction with other key actors to
Disaster Resilience: A Guide for Developing an enable the organization to deal with complexity,
Action Plan.” Washington, DC: TISP, 2011. and an effective yet flexible crisis management
model, also play significant roles in the effective-
ness of crisis management.
Specifically in the context of UNICEF’s crisis
management approach, these factors can be dis-
International Children’s cussed within the following broad themes: compli-
ance, preparedness, training and development to
Fund, UN (UNICEF) be responsive and capable to managing crisis, and
generating and managing relevant information.
The United Nations Children’s Fund was origi-
nally called the United Nations International Compliance
Children’s Emergency Fund, from which its pop- UNICEF’s development and promotion of com-
ular acronym UNICEF derives. It is one of the pliance worldwide to international conventions,
agencies within the United Nations that are of key standards, regulations, and codes of practice
significance regarding crisis management world- demonstrates the agency’s awareness of critical
wide. UNICEF was formed during crisis, in the issues in crisis management. Adoption of certain
aftermath of World War II, to provide emergency legal obligations by being a signatory to or adher-
food and health care to children. ing to international conventions, for example, is
likely to influence national law and policy. Com-
UNICEF as an Organization pliance with international conventions by a state
Although some United Nations (UN) agencies may result in addressing vulnerabilities within the
have been branded ineffective and bureaucratic processes of preventing and managing crisis. Since
at times, UNICEF has generally been regarded as its founding, UNICEF has worked closely with
highly effective at achieving its aim of improving the UN Human Rights Group, which drafted the
child survival rates and enhancing the develop- Convention of Rights of the Child. The agency
ment of children worldwide. However, too often, was critical in facilitating input from nongov-
success among the UN agencies has been closely ernmental organizations, but more important, it
associated with the executive directors who are influenced the inclusion of “survival and develop-
in place at the time. In many respects, UNICEF ment rights in addition to protection rights” for
has successfully maneuvered itself away from this children. Governments of the world later codi-
situation right from its beginning, managing crisis fied a set of legal obligations toward children in
 International Children’s Fund, UN (UNICEF) 537

the form of the International Convention on the in response to an actual crisis is critical. Having
Rights of the Child. learned that crisis management can sometimes
Further, in order to mitigate against crises be a “fuzzy art and science,” UNICEF and other
affecting children, and concerned with the decline partners played a critical role in establishing an
in breastfeeding, in 1981 UNICEF and the World emergency supply center in Copenhagen, Den-
Health Organization (WHO) sponsored the Inter- mark. A range of essential supplies, including
national Code of Marketing of Breastfeeding Sub- emergency health kits, children’s recreation kits,
stitute. At the international level, this code under- basic family water kits, and School-in-a-Box kits
lined the critical role of breastfeeding, which for emergencies can be obtained from UNICEF’s
had been losing ground as a result of marketing supply warehouse in Copenhagen. Of particular
pressures by formula companies. Such strategic importance relating to the Copenhagen ware-
planning was critical in averting critical crisis house is the whole assortment of crisis-related
situations caused by dramatic incidences of mal- supplies designed to cater to diverse and unfore-
nutrition in children worldwide, thus preventing seen needs in emergency contexts. The school kits,
the need for supplements of Ready-to-Use Thera- for example, are designed to meet the immediate
peutic Foods (RUTF). and urgent needs of both teachers and children
Since their founding, UNICEF and WHO after disasters.
have jointly and consistently used international
forums to great effect in codifying and influencing Training and Development
national policy focused on child survival, devel- Crisis management also involves the ability to
opment, and protection. Throughout the history anticipate what might go wrong; scanning the
of UNICEF, such child-friendly policies have organization’s horizon for what is likely to hap-
resulted in effective crisis management for chil- pen constitutes good practice. Although there is
dren at national and international levels. an inherent assumption that crises are unexpected,
there are precautions that create a starting point
Preparedness for decision making and checking processes relat-
Another key aspect of crisis management that UNI- ing to interrelationships for action when a crisis
CEF has been effective at pursuing is preparedness occurs. UNICEF has consistently undertaken ini-
for crisis management. In about 1987, as most tiatives to develop field and local structures that
sub-Saharan African countries were faced with enhance delivery of services in both prevention
serious economic crisis resulting from debt obli- and crisis situations.
gations to both the International Monetary Fund Like other UN organizations, UNICEF was
and World Bank adjustment programs, UNICEF more vertical in its strategy and operation when
called for “adjustment with a human face.” This it was founded. This meant focusing on providing
advocacy initiative was geared toward averting technical assistance and targeting specific diseases
widespread drastic declines in education, health, such as malaria or tuberculosis. Although this
and social services under the adjustment program. approach has its strengths, UNICEF as a learning
Similarly, having observed that many sub-Saharan organization adopted a visible horizontal strategy
countries were facing imminent problems in fund- for its operations in the 1970s, empowering and
ing, UNICEF tried with some success to implement developing systems at the ground level, which has
the Bamako Initiative, whereby health fees paid by resulted in crisis-resilient communities and local
users were in some cases injected into the health agencies.
system to minimize strains on health services at
the community level. However, this was met with Information Management
fierce opposition in certain quarters. Information systems and processes are very criti-
One of the qualities of effective crisis planners cal in crisis management situations. Real-time
is their ability to discern that some areas will not information and intelligence can help decision-
always follow a predetermined trajectory. Despite making processes and outcomes and shape the
well-rehearsed and documented institutional direction of events in a crisis situation. Robust
and scenario planning, the agility of such plans information-flow mechanisms will be designed
538 International Organization for Standardization (ISO) 31000

to capture unexpected, negative surprises that (August 2, 2012). http://www.philstar.com/nation

threaten normal functioning of an institution, an /article.aspx?publicationsubcategoryid=200&articl
organization, projects, or an image. For instance, eid=833935 (Accessed August 2012).
UNICEF has been particularly proactive in United Nations Children’s Fund. http://www.unicef
designing frameworks and harnessing strategic .org (Accessed July 2012).
opportunities by establishing the UNICEF Inter-
national Child Development Centre (later known
by the name of Innocenti Research Centre) in
Florence, Italy. The establishment of this center
was closely aligned to UNICEF’s commitment to International Organization
appreciate and promote “the interrelated needs
of the whole child,” and information is generated for Standardization (ISO)
through the Innocent Centre to assist and inform
decision making. An organization designed with
31000
effective mechanisms to capture intelligence is a ISO 31000 is a collection of risk management
hallmark of effective crisis management. standards compiled by the International Orga-
nization for Standardization. ISO 31000 is not
Conclusion a certification system or a standard. Published as
Effective crisis management involves planning the ISO 31000:2009, Risk Management—Prin-
and examining processes and relations that exist ciples and Guidelines, the guidelines are designed
at different levels. This process cannot be smooth to be used by any individual or group, public or
unless relevant information, means of commu- private. The guidelines were published with the
nication, and structures for decision making are ISO Guide 73:2009, Risk Management—Vocab-
clear to everyone involved. In the final analy- ulary, and both were released in conjunction with
sis, crisis management is the art and science of the ISO and International Electrotechnical Com-
dealing with disruptions that can sometimes be mission (IEC)’s ISO/IEC 31010:2009, Risk Man-
discordant with neatly choreographed planning agement—Risk Assessment Techniques.
associated with how and where we think catas- ISO 31000 helps the user design, put into
trophes manifest themselves. effect, and use different risk management sys-
tems to manage both risk and uncertainty. It is
Martin Nthakomwa designed to help organizations in many differ-
Coventry University ent ways, including objective identification, risk
awareness, regulatory requirement compliance,
See Also: Bureau for Crisis Prevention and Recovery, resource allocation, loss prevention, improved
UN (UNDP–BCPR); International Strategy for resiliency, and, ultimately, risk management. It
Disaster Reduction, UN (UNISDR); Interregional includes 11 key principles that can be broadly
Crime and Justice Research Institute, UN (UNICRI); applied to different situations. Although generic
Office for the Coordination of Humanitarian Affairs components of ISO 31000 can be applied to each
(OCHA), UN; Poverty; Public Health Surveillance; of these groups or to individuals, their specific
Refugees and Forced Migration; World Health implementation can be adjusted as needed. ISO
Organization (WHO), UN. 31000 acts as a replacement for other risk man-
agement approaches, such as the Australian/New
Further Readings Zealand Standard (AS/NZS 4360:2004).
Danieli, Yael. Sharing the Front Line and the Back
Hills: International Protectors and Providers: Risks and Risk Management
Peacekeepers, Humanitarian Aid Workers and Precise definitions of risk used in academic, busi-
the Media in the Midst of Crisis. Amityville, NY: ness, nonprofit, and government circles vary
Baywood, 2002. widely. However, ISO 31000 defines risk as the
Philippine Star. “ILO, UNICEF, and WHO Hail effect of uncertainty on objectives, including the
Significant Increase in Breastfeeding Rates.” positive, the negative, the simply unexpected, or
 International Organization for Standardization (ISO) 31000 539

even more uncertainty. To determine which spe- and regular and long-term monitoring and review
cific risks an organization faces, the group must of risks and risk management.
determine what its objectives are, as well as the ISO 31000’s guidelines designed to encourage
potential risks to those objectives. feedback about both risks and risk management
Successful risk management must include the include (1) monitoring and review and (2) consul-
assessment and subsequent management of risks tation and communication. Each of these compo-
that exist throughout an organization or group. nents is important because they enable a group
Risk management has the potential not only to to keep track of identified risks and potentially
help groups minimize the potential impact of cri- to spot emerging or previously unidentified risks
ses but also to promote better day-to-day orga- quickly. They also allow groups to track risks
nization and functions. Within the ISO 31000 and risk management efforts, communicate those
guidelines, risk management includes a variety of risks and efforts, as needed, to other individu-
approaches to risk, such as the transformation of als or groups that can assist with risk manage-
management policy, consultations about risks and ment, and create an environment that encourages
risk management, and not only assessing risks but consultation between different parties to ensure
also monitoring them over time. Ultimately, risk knowledge and resources are best used to assess
management, per ISO 31000, is made up of activ- and manage risks. All of these steps are critical
ities (coordinated within an organization) that not only for daily risk management efforts but
control the organization’s approach to risk, such also for the necessary management of risks that
as communication, consultation, contextualizing, emerge in moments of crisis.
assessing, and monitoring a variety of risks. ISO 31000 has already been adopted by many
Given the element of uncertainty in an organizations, groups, and businesses around the
approach like ISO 31000, to determine these world. Although it is not intended to be an identi-
risks, organizations must look at the objectives cal approach in all situations and is not a stan-
in a variety of ways and consider a range of dardized certification system, the guidelines and
potential effects other elements, including crises, related vocabulary do offer some commonalities
might have on them. This risk assessment is the and standards globally. This agreed-upon use of
first critical step toward well-organized and suc- terms, definitions, and basic approaches is benefi-
cessful risk management. Once determined, risks cial to users because it facilitates cooperation and
need to be described in as much detail as possible, understanding between different groups, particu-
delineating not only the risk itself (for example, larly in moments of crisis when joint management
its size) but also who or what may be affected by may be helpful or even necessary.
it. In doing so, organizations can begin to bet-
ter form a plan to manage and perhaps mitigate Jennifer Trivedi
risks and, in turn, take steps toward crisis man- University of Iowa
agement as needed.
See Also: Disaster Risk Reduction; Hazard
Use of ISO 31000 Mitigation; High Reliability Organization Theory;
ISO 31000 includes two key components: (1) a Incident Management; Risk Assessment.
framework and (2) a process. The framework
is made up of the guidelines needed to form the Further Readings
structure and operation of risk management in a Association of Insurance and Risk Managers, Public
group. This framework includes the creation of Risk Management Association, and Institute of
policies, implementation of those policies, and the Risk Management. “A Structured Approach to
long-term monitoring and review of those policies Enterprise Risk Management (ERM) and the
and the risks they are designed to manage. The Requirements of ISO 31000.” (2010). http://www
process, in contrast, is the actions needed to iden- .safetyrisk.com.au/wp-content/uploads/downloads
tify, assess, and manage risks. It includes commu- /2010/12/SARM-Final.pdf (Accessed April 2012).
nication about the actions being taken, execution Bricker, Glen. “The Basics of ISO 31000—Risk
of policies put into place under the framework, Management.” (2011). http://perspectives.aval
540 International Strategy for Disaster Reduction, UN (UNISDR)

ution.com/2011/the-basics-of-iso-31000-%E2% by volunteer contributions from nations and insti-

80%93-risk-management-2 (Accessed April 2012). tutions (the largest donations were from Sweden
International Organization for Standardization and the World Bank). Unlike many other nongov-
Working Group on Risk Management. “Risk ernmental organizations (NGOs) described here,
Management—Principles and Guidelines.” ISO the UNISDR works to coordinate and provide
31000:2009. Geneva: ISO, 2009. useful information to various actors, from emer-
International Organization for Standardization (ISO) gency responders to nation-states.
Working Group on Risk Management. “Risk
Management Vocabulary.” ISO Guide 73:2009. Governing Philosophy and Practices
Geneva: ISO, 2009. The focus of UNISDR as an international non-
Joint Technical Committee OB-007, Risk governmental organization is to work in disaster
Management. “AS/NZS ISO 31000:2009: Risk risk reduction (DRR), especially as it relates to
Management—Principles and Guidelines.” climate change adaptation, building disaster-resil-
Wellington: Standards Australia/Standards New ient cities and infrastructure, and strengthening
Zealand, 2009. the international disaster management system. As
Knight, Kevin W. “Risk Management: New Work described on its Web site, the organization also
Reinforces a Solid Toolbox.” ISO Focus+ promotes the three goals set forth in the Hyogo
(September 2011). Framework: “integrating DRR into sustainable
Lazarte, Maria and Sandrine Tranchard. “The Risk development policies and planning, develop-
Management Toolbox.” ISO Focus+ (February ing and strengthening institutions, mechanisms
2010). and capacities to build resilience to hazards, and
Piercey, Jon. “Impact of ISO 31000 on Existing ERM incorporating risk reduction approaches into
Programs.” Sydney, Australia: Methodware, 2010. emergency preparedness, response, and recovery
programmes.”
The UNISDR does not work directly on cri-
sis management but rather on the implementa-
tion of DRR strategies and compliance with the
International Strategy for Hyogo Framework for Action 2005–2015 (HFA)
endorsed by the General Assembly. The goal of
Disaster Reduction, UN the organization is to reduce substantial losses
(UNISDR) associated with disaster both in lives and in the
social, economic, and environmental resources at
The United Nations International Strategy for local and national levels. To implement this goal,
Disaster Reduction (UNISDR) is a secretariat of the organization has four major areas of action:
the United Nations that focuses on disaster risk coordination, campaigns, advocating, and infor-
reduction as a form of crisis mitigation. This brief mation dissemination.
introduction discusses the founding and contem- First, UNISDR coordinates a large network of
porary characteristics of the organization, its gov- organizations including states, intergovernmen-
erning philosophy, and its risk reduction practices. tal and nongovernmental organizations, financial
Initiated in 1999, the UNISDR was founded institutions, technical bodies, UN agencies, and
in 1999 as a successor secretariat of the Inter- civil society to implement regional and national
national Decade for Natural Disaster Reduction platforms and to promote the HFA. Coordina-
(1990–2000). Its mandate is to serve as the hub of tion means much more than networking. The
and synergize activities by the United Nations as UNISDR effectively builds relationships between
they relate to disaster reduction. The secretariat is various agents in order to avoid replication of ser-
composed of 90 employees based in five regional vices and to ensure that all needs are adequately
offices (Kenya, Panama, Egypt, Thailand, and addressed. In addition, the organization hosts the
Belgium) with headquarters in Geneva, Switzer- Global Platform every two years to bring various
land. In 2010, the budget for the organization groups together to better understand and imple-
was about $25 million, all of which was funded ment DRR strategies.
 Interoperability 541

Second, the organization campaigns to high- United Nations International Strategy for Disaster
light the benefits of DRR and to empower citizens Reduction. “Implementation of the International
to reduce vulnerability. Biannually, the UNISDR Strategy for Disaster Reduction.” http://www.un
focuses on varying topics, including issues of isdr.org (Accessed April 2012).
human and natural vulnerability, youth and United Nations International Strategy for Disaster
disaster prevention, and prevention investment Reduction (UNISDR). “UNISDR Strategic
by governments and organizations. The current Framework 2025: Work Programme 2012–2015.”
campaign targets local city officials with the goal http://www.unisdr.org (Accessed April 2012).
of creating resilient cities by addressing issues of
local governance and urban risk.
Third, the UNISDR advocates increased invest-
ment in DRR. In particular, the organization
highlights the interconnectivity of risk reduction Interoperability
and thereby necessitates a holistic strategy that
addresses climate change adaptation, broadening Consisting as it does of 26 nations, the North
education, promoting gender equity, and sustain- Atlantic Treaty Organisation (NATO) can only
able development. be effective if the military organizations in each
Finally, the UNISDR provides tools and analy- of these countries can come together and work
sis of changing global disaster risk and supports toward common goals in joint operations. In this
the Hyogo Framework for Action (HFA) Moni- case, then, interoperability means the ability of
tor, which promotes nation-state implementation different military organizations to conduct joint
of HFA. The organization also has hundreds of operations, something that NATO has worked
documents, a robust Web site (http://www.preven toward since its inception in 1949.
tionweb.net) that connects interested people with
one another and with cutting-edge information, Lack of Standardization and Compatibility
and thousands of educational resources. As a However, the complexity of recent high-impact
result of these actions and resources, UNISDR crises such as 9/11 in the United States, the south-
contributes to the achievement of the Millennium east Asian tsunami (2004), the suicide bombing
Development Goals by protecting vulnerable of the London transport system (2005), Hurri-
populations and creating greater stability for citi- cane Katrina (2005), the Mumbai terrorist attack
zens and governments. (2008), the Haiti earthquake (2010), floods in
In sum, the UNISDR continues to influence central Europe (2010), and the Japanese earth-
how many institutions, governments, and orga- quake and tsunami (2011) has focused the need
nizations understand and deal with disaster miti- for the emergency services and other agencies to
gation and preparedness. As its motto, “connect have an interoperable capability when responding
and convince to reduce disaster impacts,” illus- to these types of crises in order to better safeguard
trates, the United Nations organization has made the communities they serve. But the fragmented
a significant impact on how disaster reduction is makeup of the various agencies involved has
understood in an increasingly hazard-filled world. revealed a lack of standardization in relation to
equipment and procedures across geographic and
Ryan Alaniz organizational boundaries that has made this very
Cal Poly State University difficult. Therefore, in some quarters, interoper-
ability in the civilian domain has come to mean
See Also: Disaster Risk Reduction; Nongovernmental the capability of organizations or parts of orga-
Organizations; Preparedness. nizations to exchange operational information
and to use it to inform decision making. But it is
Further Readings arguably wider than that. Crises and disasters do
Preventionweb. “Serving the Information Needs of not respect national borders and often have cross-
the Disaster Reduction Community.” http://www border consequences, for example, the southeast
.preventionweb.net (Accessed April 2012). Asian tsunami and the central European floods;
542 Interoperability

alternatively, crises such as the Haiti earthquake situational awareness relies on the accurate and
attract response and recovery teams from many timely exchange of information in a manner that
countries, each with their own equipment and is understood by all. The aim of interoperability is
procedures. Therefore, the aim of interoperabil- to give all those who might respond to such events
ity should be to have compatible processes and the ability to communicate in a common language
procedures in order to bring about a multiagency across national, state, and local boundaries.
response that is both effective and efficient. Com- The report into 9/11 highlighted, among other
munities deserve no less. things, the lack of interdepartmental compat-
Clear situational awareness is a key factor for ibility in communications. The New York City’s
the effectiveness of crises, disaster, and emer- Office of Emergency Management (OEM), set
gency operations It is based on the compilation of up by former mayor Rudy Giuliani, was, as part
information collected from the different teams of of its function, intended to monitor emergency
responders, sometimes from different countries, communications during a crisis, but on the fate-
speaking different languages. The building of ful day it was unable to coordinate the activities

U.S. Navy machinist Joel Rivera of the Deep Submergence Unit descends a hatch during a submarine rescue exercise with the Russian
submarine SSK Alrosa in the Mediterranean Sea, June 7, 2011. Bold Monarch is a submarine rescue exercise sponsored by the North
Atlantic Treaty Organization (NATO) that supports interoperability between all submarine rescue units. The 12-day exercise is held
every three years and involves ships, submarines, and aircraft from both NATO and non-NATO countries, including Russia.
 Interoperability 543

of the multiple responders because the New York Challenges in Europe

police and fire departments viewed themselves Europe has experienced a number of disruptive
as autonomous. Also, the OEM Crisis Manage- challenges, such as the floods in 2010 that affected
ment Center was located within the World Trade eight countries and resulted in a further five coun-
Center complex and was destroyed when the tries coming to their assistance. The main chal-
buildings collapsed. Consequently, this inability lenges for Europe’s emergency responders when
to communicate across organizational boundar- dealing with such incidents have been language,
ies clearly cost lives when police helicopters cir- technology, and physical barriers. Therefore, in
cling overhead predicted the collapse of the North 2004, a four-year program, OASIS (the Open
Tower, a view that was not communicated to the Advanced System for dISaster and emergency
fire department. management), funded by the European Union,
A report issued by the U.S. Conference of May- was launched. Its purpose was to define and
ors in June 2004 found that 80 percent of Ameri- develop an information technology framework
can cities did not have interoperable emergency based on an open and flexible architecture and,
communications. However, the Federal Emer- using standards, both existing and proposed by
gency Management Agency (FEMA) stresses the OASIS, provide a basis for a European Disaster
importance of communications interoperability, and Emergency Management System. In doing so,
pointing out that it enables emergency manage- it was intended to facilitate cooperation between
ment and response personnel and their affiliated the information systems used by civil protection
organizations to communicate within and across organizations throughout Europe.
agencies and jurisdictions via voice, data, or video According to a report by the Royal United Ser-
in real time, thus allowing for a continuous flow vices Institute in the United Kingdom, “Interoper-
of critical information at a time when it is needed ability in a Crisis,” research into interoperability
most. The National Incident Management System within the emergency response community in the
(NIMS) also outlines the requirement for interop- past has tended to focus on the compatibility of
erability and stresses that common communica- technology and equipment. As a consequence,
tions and data standards are essential if NIMS is efforts to improve interoperability have been
to be effective. It suggests that standards need to mainly focused on the ability of one response
be set for a number of functions of data. These agency to be able to communicate with another
include incident notification, situation reports, using information and communication technology
analytical data, geospatial information, and wire- that is compatible, resilient, and secure. However,
less communications. The Homeland Security Act, as the report points out, interoperability is not just
2002, as amended, mandated the creation of an about technology—it is also about people and pro-
overarching strategy to address current shortfalls cesses. More recently, in 2011, the UK National
in emergency communications in the United States. Police Improvement Agency produced “Interoper-
As a result, in 2008, the Department of Homeland ability Guidance on Multi-Agency Interoperabil-
Security issued the first National Emergency Com- ity.” Annex A of the new CONTEST strategy doc-
munications Plan (NECP), which established clear ument (the UK’s counterterrorism strategy) lists
goals for improving interoperability in the systems 29 separate government departments and agencies
of the various response agencies. As a consequence on whose cooperation—or, in this case, interoper-
of this and the criticisms that came, particularly ability—delivery of the strategy depends. Ensuring
after 9/11 and Hurricane Katrina, much has been that they all operate to common standards, levels
done to improve interoperability. A report by the of training, equipment, and technology will not be
U.S. Senate Committee on Homeland Security and easy because there are serious challenges in bring-
Government Affairs titled “Ten Years After 9/11: ing about interoperability.
Improving Emergency Communications,” issued
in July 2011, reported a much improved situation Technology Plus Willpower
across the United States in the ability of emergency Historically, the communication systems of the
response agencies to exchange data but stressed various response agencies have been hampered by
there was still much to be done. incompatible radio systems that include disparate
544 Interregional Crime and Justice Research Institute, UN (UNICRI)

networks and equipment, which is why a number Further Readings

of reports on interoperability have tended to focus Cole, Jennifer. “Interoperability in a Crisis 2: Human
on such systems. But it is not just about technical Factors and Organisational Processes.” London:
compatibility; there also has to be a desire and RUSI, 2010. http://www.rusi.org (Accessed
a will to bring together different working prac- February 2012).
tices and terminology in order to provide a shared National Police Improvement Agency. “Guidance on
common understanding of all aspects of opera- Multi-Agency Interoperability” (2009). http://www
tions, including communication. Interdepartmen- .npia.policeik/en/13291.htm (Accessed February
tal jealousies and, in some cases, a silo mental- 2012).
ity need to be put aside. Much work needs to be U.S. Senate Committee on Homeland Security and
done to ensure that responding agencies are kept Governmental Affairs. “Ten Years After 9/11:
abreast not only of changes being made in their Improving Emergency Communications.” (July 27,
own organization but also of those being made in 2011). http://www.hsdl.org/?view&did=683104
the other responding organizations. Information (Accessed February 2012).
on interoperability programs and policies needs
to be disseminated, and mandated measures need
to be taken to ensure that they are acted upon.
Interoperability is not just a concept; it should
be part of the operational doctrine of all agencies Interregional Crime and
that have a role to play in protecting the public
from the types of crises that occur today. It is the Justice Research Institute,
foundation of effective multinational and inter-
agency operations. Opportunities to train and
UN (UNICRI)
exercise together followed by multiagency work- The United Nations Interregional Crime and
shops, debriefings, and follow-up study days, Justice Research Institute (UNICRI) is one of a
which will assist in overcoming existing barriers number of global research and training institutes
of organizational culture and differing priorities, of the United Nations. UNICRI, headquartered
must be seized upon as the driver toward greater in Turin, Italy, is autonomous, led by a board of
interoperability. trustees, and reports directly to the UN Secretary-
General. Its purpose is to encourage crime preven-
Conclusion tion and criminal justice initiatives in the member
Although this article mainly focuses on respond- countries of the UN. It provides training, fosters
ing agencies, the same methods apply to any orga- research, and publishes and makes research avail-
nization be faced with a crisis, particularly those able. Among the issues targeted by UNICRI are
multinational companies that operate across state human trafficking, emerging crimes, and terror-
borders and in different languages. Similarly, ism. In its role of preventing terrorism, UNICRI
international nongovernmental organizations has a responsibility to help provide security for
should work toward greater interoperability to major events. In addition to efforts relevant to all
avoid duplication of effort when responding to countries, the organization works with country-
major crises like the Haiti earthquake. specific projects. UNICRI focuses on making rele-
vant information and resources available to those
Tony Moore responsible for law enforcement and criminal jus-
Institute of Civil Protection tice in the member countries of the UN.
and Emergency Management UN Secretary-General U Thant provided for
the founding of the United Nations Social Defence
See Also: Collaboration; Command and Control; Research Institute (UNSDRI) in 1967. UNSDRI
Coordination; Crisis Communications; Emergency was charged with preventing both adult and juve-
Management, Principles of; Information Vacuums; nile criminality by means of both research and sup-
National Incident Management System (NIMS); Pre- portive actions. The institute became operational
Crisis Training and Planning; Training. in 1969, with its headquarters in Rome. In 1989,
 Interregional Crime and Justice Research Institute, UN (UNICRI) 545

the name was changed to the Interregional Crime is the effort to make the move to terrorism less
and Justice Research Institute (UNICRI) and its appealing. Much of this work is focused on reach-
original purpose was affirmed and expanded. In ing those in prisons who might be radicalized or
2000, UNICRI moved to Turin, Italy. UNICRI might become radicalized. UNICRI seeks to pro-
maintains a Liaison Office in Rome to interact mote best practices for prisons and to encourage
with the Italian government, other governments, the rehabilitation of those incarcerated.
and other organizations. Most UNICRI efforts An aspect of Security Governance/Counter-Ter-
are carried out in cooperation with other interna- rorism is major events security. Because the secu-
tional entities. rity aspects of major events is so important, unique
UNICRI works as a part of the United Nations opportunities are provided for the advancement
Crime Prevention and Criminal Justice Pro- of programs that will enhance a country’s overall
gramme Network. This network is made up of a security practices. Two regional implementations
number of organizations devoted to crime preven- of major events security have been organized: one
tion and criminal justice issues. Much of the work for the Americas and one for Europe. Both of these
of UNICRI is done through its Applied Research seek to provide a platform for some uniformity in
Programme. The work of this division is focused quality of the security provided at major events so
in the following areas: that individuals can feel some degree of safety in
attending these occasions. Manuals of best prac-
• Emerging Crimes and Anti–Human tices, or user guidelines, have been designed for
Trafficking each of these regions. In 2009, UNICRI began the
• Security Governance and Counter- Centre on Public-Private Security Policies. This
Terrorism Laboratory effort is the beginning of a project, to be piloted
• Justice Reform in Portugal, to develop protection of vulnerable
• Post-Graduate Training targets worldwide. Vulnerable targets include
transportation and financial interests as well as
Among the emerging crimes of concern are tourism-related sites and energy-related locations.
cyber-based threats and human trafficking. As with most of its initiatives, this one is carried
UNICRI is constantly seeking to resource member out in close coordination with other entities with
states in dealing with these threats. Innovation is similar responsibilities and goals.
required to stay current with the constantly devel- The institute continues to focus on justice
oping methods of criminals. Trafficking in people reform issues around the world. A number of
is a growing and dangerous trend, with 80 percent countries have benefited from UNICRI projects
of the victims being women and children. Multi- that fostered the reform or development of justice
national crime organizations are deeply involved systems. In Mozambique, UNICRI carried out
in this trade. UNICRI has been fostering projects a three-year project seeking to provide juveniles
to prevent this trade and to rehabilitate the vic- better protection in the judicial system. Rehabili-
tims of this illegal trade. The work of UNICRI tation of minors caught up in the legal system was
in this area has been conducted in a number of a part of the emphasis. Support for street children
countries and in areas where UN peacekeeping in Argentina and Uruguay has also been part of
operations are ongoing. the work.
Security Governance/Counter-Terrorism is the The Training and Advanced Education (TAE)
UNICRI program that focuses on event security unit of UNICRI helps provide the postgraduate
and preventing acts of terrorism. UNICRI works training related to the objectives of the institute.
as a part of the United Nations Counter Terrorism This work is done in partnership with schools
Implementation Task Force (CTITF). This task of higher education around the world. Special-
force was instigated by the UN in 2005 to provide ized training is also provided when called for by
a unified effort among UN interests to prevent those in the judicial field, especially in developing
terrorism. UNICRI has organized conferences countries.
at the regional and international levels for law In the 1970s the organization, working with
enforcement workers. One aspect of this program the United States National Clearinghouse for
546 Interstate War

Criminal Justice information, established an (Terrorism lacks a consensus definition. Although

International Clearinghouse on Crime, Deviance it originally referred to the use of violence by bel-
and Social Control. The UNICRI library supports ligerents for the sake of emotional impact—vio-
the research of the institute as well as that of other lence that terrified the opposition rather than
cooperating entities. simply serving the practical end of reducing their
UNSDRI has published the World Directory of numbers—in the 21st century it has become asso-
Criminological Institutes since 1974. In the 1990s ciated with nonstate actors, especially in Ameri-
it began the International Crime (Victim) Survey, can usage.)
an authoritative resource for quantitative crime Conventional warfare seeks the reduction of the
statistics. opponent’s military capability through conven-
tional attacks, that is, with no or limited deploy-
Ken B. Taylor ment of nuclear, chemical, or biological weapons.
New Orleans Baptist Theological Seminary Such wars may be either interstate or civil. In the
second decade of the 21st century, all of the ongo-
See Also: Civil War; Cyber Crime; Cyber Security; ing wars are civil wars. (Even taking civil wars into
Cyber Warfare; Ethnic Cleansing; Hijackings; account, there has been a definite decline in armed
Hostage Taking and Negotiation; Human Trafficking; conflict in the world since the 1950s, though this
Interstate War; Land Mines; Missiles; Sabotage; does not mean, clearly, that all areas have experi-
Suicide Bombings; Terrorism; Threat Detection; enced a decline locally.) The war in Afghanistan,
Vulnerable Populations; War Crimes; Weapons for instance, is an internationalized civil war, an
Trafficking. important distinction. An armed conflict between
Sudan and South Sudan can no longer be consid-
Further Readings ered a civil war because South Sudan has gained
Fisanick, Christina. Human Trafficking. Detroit: its independence, but neither has the casualty toll
Greenhaven, 2010. exceeded the low-intensity conflict threshold.
Kangaspunta, Kristiina and Ineke Haen Marshall, eds.
Eco-Crime and Justice: Essays on Environmental Shaping the Modern World
Crime. Turin, Italy: United Nations Interregional Interstate wars have shaped the modern world,
Crime and Justice Research Institute, 2009. contributing some or all of the motivation for
United Nations Interregional Crime and Justice such phenomena as the colonizing of the New
Research Institute (UNICRI). UNICRI World, the sale of the Louisiana Territory to fund
Bibliography 2010. Turin, Italy: UNICRI, 2010. the Napoleonic Wars, both European and Japa-
nese imperialism, and the formation of the United
Nations, to name just a handful of examples,
the absence of which from the modern world is
unimaginable. War was endemic for many, maybe
Interstate War most, prehistoric communities: Our early ances-
tors were in a constant state of war, around which
Interstate war is prolonged, organized conflict many rituals developed and from which many
between two sovereign states (the belligerents), in cultural institutions were derived. Raids by war-
contrast with civil war, a war fought between fac- ring tribes distributed goods in much the same
tions within a state. Typically, conflicts are con- way trade routes did, and abductions, whether of
sidered war, in the modern era, only if they result women to take as mates or men to take as prison-
in at least 1,000 violent deaths per year. Conflicts ers of war, prevented the community’s gene pool
below that threshold are usually considered “low- from becoming stagnant. The evolutionary role
intensity conflicts” by the United Nations and of war—whether we are possessed of an instinct
the United States. Low-intensity conflicts may be for it, and to what extent our genome has been
fought between small groups or may rely primar- shaped by it—is an area of great interest and few
ily on low-lethality tactics like psychological ops, conclusions. That there is no agreement on the
tactical strikes, or attacks resembling terrorism. motivation behind war is a problem too little
 Interstate War 547

discussed, especially in the public sphere, where it the result of limited trade because of the war, or
is hidden by louder discussions about the motiva- home front manufacturing activity being focused
tion for and justness of any specific war. on the war effort), and create a sense of solidarity.
Modern warfare is, at least in theory, bound The rationed good is not always the scarce good:
by the international laws of armed conflict, which when the United States rationed gasoline during
include the agreements of the Geneva and Hague World War II, it was primarily to reduce civil-
Conventions as well as other treaties and customs. ian driving in order to reduce wear and tear on
For instance, noncombatants and anyone not tires, thus conserving rubber. Tires, in fact, were
engaged in hostilities are supposed to be protected; the first item rationed: tire sales were temporarily
for this reason, certain strategies of attack that halted four days after the attack on Pearl Har-
result in significant civilian casualties, such as the bor, and in the next three weeks volunteer-staffed
destruction of dams, are forbidden. Attacks must tire rationing boards were established around the
always be directed at military targets. The killing country. A ration of tires was allocated to each
or torturing of enemies who surrender is forbidden, board based on the number of vehicles registered
and captured prisoners must be treated humanely. in its jurisdiction, and the board redistributed
The wounded and sick must be cared for, and the them on an as-needed basis. Sales of civilian auto-
Red Cross and Red Crescent must be allowed to mobiles, bicycles, and typewriters were all tem-
provide medical aid and humanitarian relief. Some porarily halted for the same reason. A national
of the requirements of the laws of armed conflict speed limit of 35 miles per hour was imposed,
are much older than the Geneva and Hague Con- though the extent to which it was enforced isn’t
ventions, such as the tradition of the white flag as clear. At the time, the United States lacked the
the flag of truce. The United Nations and other means to manufacture synthetic rubber, and the
international bodies exist to enforce these laws and growth of automobile popularity in the previous
to seek prosecution of war crimes. two decades had already stretched thin the world
supply of natural rubber. Soon, in order to redi-
Shortages and Rationing rect manufacturing efforts, many industries were
One of the crises faced in a war is shortages of halted, mainly those manufacturing consumer
specific goods and resources, which are often goods like sewing machines or washing machines,
dealt with via a centrally controlled distribution so that production could be redirected to the
system called rationing, in which the ration is a manufacture of arms and other military needs.
specific portion of a resource. Military ration- Volunteers staffed ration boards, which
ing is standard, and of special importance in the rationed a variety of goods at different times dur-
navy, where the length of voyages historically ing the war, including gasoline, fuel oil, bicycles,
prolonged the period of time between resupply- shoes, silk and nylon, stoves, meat, sugar, lard,
ing. Giving each man a specific ration not only of cheese, butter and margarine, all processed foods
food but also of goods like rum and tobacco not and dried fruit, canned milk, coal and firewood,
only ensured fairness but also created a barter sys- and jams and jellies. Rationing also eliminated
tem—with nonsmokers trading their tobacco for panic buying by would-be hoarders preparing for
other goods, for instance—that served to boost an invasion of the United States, which after Pearl
morale (because the final distribution of goods is Harbor many considered inevitable. Ration clas-
fair but nonidentical) and has become part of the sifications were assigned to each individual in a
traditions of military life. In some wars, even bul- household based on his or her criticality to the war
lets and other supplies critical to the mission itself effort. Some goods were distributed evenly, others
must be rationed. only to those who could demonstrate a need. Most
Civilian wartime rationing (as opposed to the people with cars and a demonstrated need for gas-
peacetime rationing of planned economies) is a oline, for instance, were given an A card, the low-
more recent phenomenon and became common est level, giving them three or four gallons of gaso-
in Europe during World War I; it serves to con- line per week. Truckers received a special T card
serve certain resources for the war effort, fairly because of the necessity of gasoline to their work.
distribute other goods that are scarce (often as B cards, carrying a double ration of gasoline, were
548 Interstate War

Case Study: The Cold War and Mutually Assured Destruction

Though the United States had been uncomfortable war remains the direst catastrophe humankind has
with Russia even before the Bolshevik Revolution, made plans for. An entire genre of fiction developed
and specifically distrustful of the spread of around speculation of what life would be like after
communism since, it was in the reshuffling of the “destruction” of the world by nuclear war; a
the world order after World War II that the Soviet cottage industry sold fallout shelters, consumer
Union was treated as the country’s natural-born Geiger counters, and barrels of freeze-dried foods;
enemy. The Cold War was a period in which the schoolchildren learned to “duck and cover.” During
two countries not only squared off against each the 30 or so years between the achievement of
other in the space race and proxy wars like those this capability and eastern European communism’s
of Korea and Vietnam—each concerned equally forfeiture of the Cold War, the doctrine of mutually
with spreading its own political structures while assured destruction (MAD) developed. The doctrine
halting the spread of the other’s—but also treated was simple: nuclear weapons are so devastating
an eventual direct armed conflict as an inevitability. that if both sides retained second-strike capability
This was of special concern given that World War II (the ability to retaliate after being attacked),
had ended with the development and deployment neither side could survive; if neither side could
of the first nuclear arms; there is a sense in survive, neither side would attack.
which the start of the Cold War should be dated Both the strategy and the acronym were
from August 29, 1949, the day the Soviet Union introduced by John von Neumann (1902–57), the
detonated its own nuclear bomb, making a true most gifted mathematician in modern history and
nuclear war—one in which each side possesses the inventor of game theory, which permanently
nuclear weapons, rather than one side using such changed the American approach to war. Some
weapons to gain asymmetry over the other—a blame mutually assured destruction for redirecting
possibility. It was still some years before both sides Cold War aggression to proxy wars, arguing that
became triad nuclear powers, possessing strategic neither side would have devoted the resources
bombers, intercontinental ballistic missiles, and they did to supporting their respective sides in the
submarine-launched ballistic missiles. Korean and Vietnam Wars except as a surrogate
The purpose of becoming a nuclear triad is to for the satisfaction of a direct attack; while a valid
ensure a nation’s capacity to retaliate. By the early theory, this denies or downplays the many other
1960s, even as many hoped some of the energy factors driving the Cold War proxy wars. What
of the conflict was being redirected into the space MAD did do, though, was force each side to spend
race, each country had developed a nuclear arsenal massive resources on building up and improving
vast and varied enough that it could not be wiped nuclear arsenals it hoped not to use, in order to
out by a surprise attack. The Cuban Missile Crisis retain second-strike capability while attempting
was concerned, essentially, with each country’s to attain nuclear primacy (the ability to wipe out
desire to place missiles close enough to the other the enemy’s retaliatory capacity in the first strike).
country to be available for retaliation, even though Late in the Cold War, it also motivated each side
each acted as though the other’s missiles were to develop other strategies: the American Strategic
being positioned for first strikes. Russian missiles Defense Initiative (Star Wars) was designed to
in Cuba, American missiles in Turkey—above all, prevent a first strike by the Soviets, while the
what these would guarantee was a launch capability Soviets’ Dead Hand program was built to launch a
that would survive the first round of a nuclear war, retaliatory strike automatically, even if there were
by being placed so far from home and so near to no survivors to give the order.
the enemy. Today, the doctrine of MAD is no longer a major
It has perhaps become easy, given the effect on component of American foreign policy, though
the United States of the 21st century and the many it is arguably one of the factors governing the
high-profile natural disasters, to forget that nuclear relationship between India and Pakistan.
 Interstate War 549

awarded to defense industry employees and mili- fats were reclaimed for making soap; wartime
tary personnel. X cards were given to those who recycling efforts seem to have been far more suc-
were not subject to rationing: police, firefighters, cessful than they were in later decades.
civil defense workers, clergy, and, in some cases, The need for labor brought workers into the
those who could pull the right strings. workplace at wages they would not otherwise
Many historians argue that rationing actually have been paid. Although the image of Rosie the
exceeded the level of what was necessary. This Riveter is well remembered, World War II was
could be explained as a matter of caution, espe- nearly as significant in the effect it had on the
cially given the scale of the war and the number employment of nonwhites as on the employment
of new technologies used to fight it. It could also of women, with many blacks and Native Ameri-
be that rationing served a morale purpose, by cans finding factory work that had previously
engaging the public in the war effort regardless been denied to them, or at wages higher than they
of their occupation and keeping them constantly would have earned a decade earlier.
aware of the shortages experienced by the men The draft itself, of course, is a wartime—and
abroad. Rationing ended in 1946 and has not sometimes peacetime—crisis management tool,
since been adopted in the United States on such used to conscript labor for the military without
a wide scale, though other countries have relied relying solely on recruitment drives. The draft
on it, and a different system of gasoline rationing has a long history in the United States but was
was adopted during the 1970s oil crisis to deal not used on a national level until the Civil War—
with oil shortages. even then, only about 8 percent joined because
The expense of the war effort during World War of the draft (and most of those were paid substi-
II created other crises to deal with as well. Many tutes taking the place of draftees). The draft was
people absorb the lesson that the industrial activ- the primary means of raising manpower in both
ity of World War II ended the Great Depression, world wars; during the Cold War it was altered to
without considering the mechanisms by which the include a separate “doctor draft” for medical doc-
bootstraps were pulled. Rationing helped prevent tors, in order to ensure a steady supply of profes-
inflation, for instance, as demand outstripped sup- sional medical care for combat troops. Although
ply. Price controls did the same and were applied the draft always had its critics, and conscien-
even to many unrationed goods. The Office of tious objectors, the Vietnam War transferred its
Price Administration was established in 1941 and unpopularity to the draft used to fight it, enough
empowered to place price ceilings on all products so that when Richard Nixon—the nominee of the
except agricultural commodities. putatively pro-military Republican Party—cam-
Wage controls were especially important given paigned for president in 1968, one of the planks
the decade of employment crisis that had preceded of his platform was abolishing the draft.
the war, as many had shown in the 1930s that
the Depression had made them willing to work Bill Kte’pi
for lower wages than they would previously have Independent Scholar
considered, because going hungry was preferable
to starving. Wage controls prevented employers— See Also: Arms Control; Biological Weapons;
in sudden need of labor to deal with a massive Civil War; Continuity of Government; Ethnic
surge in manufacturing output coupled with the Cleansing; Failed States; Income Inequality and Labor
loss of much young male labor to the draft—from Unrest; Land Mines; Peacekeeping; Political and
taking advantage of the surfeit of idle hands. Gov- Organizational Leadership; Post-Traumatic Stress
ernment programs encouraging investment in war Disorder; Revolution; Terrorism; War Crimes.
bonds and the need for personal savings accounts
and insurance policies succeeded in raising con- Further Readings
sumer savings to an all-time high, which helped Carment, David and Patrick James. “Internal
cushion the postwar recession. Every major war Constraints and Interstate Ethnic Conflict: Toward
loan drive exceeded its goals. Further, scrap drives a Crisis-Based Assessment of Irredentism.” Journal
recovered valuable metals, and discarded cooking of Conflict Resolution, v.39/1 (March 1995).
550 Invasive Species

Carter, Jeff, Michael Bernhard, and Glenn Palmer. a result of the impact on other living organisms
“Social Revolution, the State, and War.” Journal of or interference with a natural geographical fea-
Conflict Resolution (February 15, 2012). ture. A crisis involving an invasive species can
Crescenzi, Mark J. C. and Andrew J. Enterline. involve ecosystem alterations; dangers to people,
“Ripples From the Waves? A Systemic, Time-Series pets, and naturally occurring wildlife; disruption
Analysis of Democracy, Democratization, and of transportation arteries; and economic dam-
Interstate War.” Journal of Peace Research, v.36/1 ages. Management of invasive species is difficult.
(January 1999). Research and monitoring are essential for any
Eckstein, Arthur M. Mediterranean Anarchy, progress.
Interstate War, and the Rise of Rome. Berkeley: Prior to the ease of travel and transport expe-
University of California Press, 2009. rienced nowadays, natural geographic barriers
Flory, Peter C. W. “Nuclear Exchange: Does mitigated against the spread of species across
Washington Really Have (Or Want) Nuclear the world. Features like oceans, deserts, and
Primacy?” Foreign Affairs (September–October mountain ranges were effective in preventing
2006). the spread of nonnative organisms. Globaliza-
Hewitt, J. Joseph and Jonathan Wilkenfeld. tion’s resulting increase in the movement of
“Democracies in International Crisis.” products from many different locales through
International Interactions: Empirical and ever-increasing modes of transport brought the
Theoretical Research in International Relations, proliferation of invasive species. The earliest set-
v.22/2 (1996). tlers to the Americas inadvertently introduced
Levy, Jack S. and William R. Thompson. Causes of earthworms to portions of North America where
War. New York: John Wiley and Sons, 2011. there were none. Forest floors were impacted by
Lieber, Keir A. and Daryl G. Press. “The Rise of U.S. the relentless work of the worms, and change in
Nuclear Primacy.” Foreign Affairs (March–April the understory led to change in the forests. The
2006). quest for beautiful gardens led to the importa-
McNamara, Robert. “Mutual Deterrence Speech.” tion of nonnative plants. Some of these were
(September 18, 1967). http://www.atomicarchive not invasive; however, others created a virtual
.com/Docs/Deterrence/Deterrence.shtml (Accessed tidal wave of crisis impacts. Chinese privet and
May 2012). Chinese tallow are examples of plants brought
Partell, Peter J. and Glenn Palmer. “Audience Costs into the United States for ornamental purposes.
and Interstate Crises: An Empirical Assessment Both have spread rapidly, taking over thousands
of Fearon’s Model of Dispute Outcomes.” of acres and crowding out native species. Cri-
International Studies Quarterly, v.43/2 (June sis managers have led projects resulting in large
1999). expenditures for eradication efforts, which have
Smith, Alastair and Allan Stam. “Mediation and not been universally successful.
Peacekeeping in a Random Walk Model of Civil Another source of invasive species is the inter-
and Interstate War.” International Studies Review, national pet trade. Imported pets that escaped
v.5/4 (2003). or were released by their owners resulted in cri-
ses. Southern Florida has experienced a dramatic
increase in the number of nonnative snakes, espe-
cially in the Everglades. These snakes are rapidly
impacting native species and have prompted a cri-
Invasive Species sis response.
South Louisiana has seen much damage to
An invasive species is an organism that has levees and canals through the increase in the pop-
moved from its native habitat to one that pro- ulation of nutria, native to South America. Nutria
vides it with proper conditions so that it prolifer- were brought in as a source of fur. The demand
ates in ways that interfere with the proper func- for fur was far outpaced by the multiplication of
tioning of the ecosystem of its new habitat. Crises nutria population. Louisiana imposed a bounty
can arise from the upsetting of this ecosystem as payable to those who turned in nutria tails. One
 Invasive Species 551

as members in the original executive order: State,

Treasury, Defense, Interior, Agriculture, Com-
merce, and Transportation. Added later were the
secretaries of Homeland Security and Health and
Human Services. The council was given, among
others, the task of coordinating U.S. resources for
dealing with the issue of invasive species. It was
to work with existing agencies to carry out this
assignment. The council was also charged with
the role of developing a national plan for manag-
ing invasive species.
In cooperation with the National Invasive Spe-
cies Council and other groups, the National Agri-
cultural Library created the National Invasive
Species Information Center. This center serves as
a reference resource related to invasive species.
Crisis managers face the challenge of the
diversity of potential problems posed by inva-
sive species. Because the invasion can be under-
ground, above ground, in the air, or in the water,
the reaction to each threat requires different
resources, skill sets, and human interactions. A
The red palm mite, Raoiella indica (magnified about 300x), is single strategy for the multiplicity of potentiali-
an invasive species from the Caribbean. It is known to feed on ties is impossible. Accordingly, crisis managers
42 palm species in the Caribbean region and Florida and is a must plan on monitoring and advance plan-
serious pest risk for the subtropical areas of the United States. ning. Regulatory complexities may reduce the
effectiveness of efforts to deal with an invasive
species crisis. Multiple governmental levels may
overly complicate an effort to come up with a
parish sheriff deployed his deputies to canal banks unified approach. Added to this is the desire of
to shoot nutria. Crises have been created by the many nongovernmental organizations (NGOs) to
increased dangers of floods and coastal erosion deal with the issues involved. State governments
caused by this invasive species. as well as local governments have developed
The U.S. National Park Service has developed plans to deal with invasive species. A number of
a multipronged strategy to deal with the invasive nations also have developed plans to deal with
species on its lands. One approach is to bring in invasive species.
interested parties, agencies, and governments to Adequate communication is essential for the
help deal with the issues. The Park Service also crisis manager to adequately address an inva-
maintains an active process of monitoring the sive species crisis. The problem can be deeply
invasive species that are found on its lands. Pre- entrenched into an ecosystem and require a sig-
vention measures have been instituted, along with nificant response. Communication between the
measures that will ensure early detection and a various stakeholders is needed for appropriate
rapid response. There are efforts to treat out- measures to be taken. Early warning can possibly
breaks to eliminate or control invasive species lead to mitigation of the spread. Crisis manage-
and to restore the native habitat that has been ment of invasive species requires time-consuming
impacted by the invasion. and expensive monitoring.
President Bill Clinton established the National The problem of invasive species is not likely
Invasive Species Council in 1999. The impor- to level off. Even with a global economic down-
tance of the role of this council was shown by turn, human migration, a gradual warming of the
the inclusion of the following cabinet secretaries globe, a growing world population, and easing of
552 Invasive Species

restrictive import/export policies foretell an increas- See Also: Climate Change Adaptation; Environment
ing invasion of plants and animals that succeed in Programme, UN (UNEP); Food Security; Infestations,
their new environments with few of the inhibi- Parasite; Marine Travel; Resource Collapse; Resource
tors of their native habitat. Crisis managers will Management.
be forced to cooperate with an increasing number
of biological experts to predict and mitigate crises Further Readings
created by the explosion of invasive species. Mooney, Harold A. and Richard J. Hobbs, eds.
Progress is being made in discovering invasive Invasive Species in a Changing World. Washington,
species problems, and there are growing coopera- DC: Island Press, 2000.
tive efforts to address them. The shortfall is in the Ruiz, Gregory and James T. Carlton, eds. Invasive
implementation of effective strategies. Additional Species: Vectors and Management Strategies.
research is needed in many areas for the crisis Washington, DC: Island Press, 2003.
manager to effectively manage even a significant U.S. Customs and Border Protection. “Philly CBP
portion of an invasive species crisis. Records First Local Red Palm Mite Interception.”
(July 6, 2012). http://www.cbp.gov/xp/cgov
Ken B. Taylor /newsroom/news_releases/local/2012_news_rel
New Orleans Baptist Theological Seminary eases/july_2012/07062012_2.xml.
 encyclopedia of

ManageMent
 encyclopedia of

ManageMent
VOLUME t WO

EditOrs
K. Bradley Penuel | Matt statler | ryan Hagen
New York University New York University Columbia University
FOR INFORMATION: Copyright © 2013 by SAGE Publications, Inc.
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 Contents
Volume 2
List of Articles vii

Articles
J 557 R 789
L 561 S 849
M 585 T 927
N 643 U 961
O 687 V 969
P 709 W 987
Q 783 Y 1009

Glossary 1011
Resource Guide 1023
Appendix: United Nations Development Programme 2010 Annual Report 1031
Index 1081
Photo Credits 1136
 List of Articles

A Bureaucracy
Agency Notification and Mobilization Business Continuity Management
Air Traffic Control Business Continuity Planning
Air Travel Business Continuity Planning Life Cycle
All-Hazards Business Impact Analysis
Alternate Site, Corporate Business Resumption Planning
American Society for Industrial Security (ASIS)
SPC.1-2009 C
Arms Control Cabinet Office, UK
Auditing Carrying Capacity
Avalanches and Landslides Cascading Crisis
Catastrophe, Definition of
B Catholic Relief Services
Backup Facility Centers for Disease Control and Prevention (CDC)
Backup Media Chaos Theory
Backup Strategy Chemical Risk
Bankruptcy, Corporate Chemical Weapons
Biological Engineering Risk Chief Security Officer
Biological Weapons Cholera
Blame, Politics of Civil Protection
Blizzards Civil War
Border Disputes Civilian Protection, Post-Conflict
Bounded Rationality Classification of Systems
Brain Drain Climate Change Adaptation
Bridges Cluster
BS 25999 Cognitive Novelty, Engaging in
Budget Crisis Cold Site
Buildings Collaboration
Bureau for Crisis Prevention and Recovery, UN Command and Control
(UNDP–BCPR) Commodity Shortages

vii
viii List of Articles

Contingency Planning Disaster Risk Reduction

Contingent Coordination Disruption of Organizations
Continual Improvement Doctors Without Borders
Continuity of Government Documentation
Cooperative for Assistance and Relief Everywhere Downtime
(CARE) Drought
Coordination Drug Resistance
Coping Capacity and Response Capability
Cosmology Episode E
Coupling Early Warning Systems
Credibility Earthquakes
Crisis, Definition of Ebola Virus
Crisis Communications Electronic Media
Crisis Information Management Systems Electronic Vaulting
Crisis Management, Emerging Trends in Electronics Waste
Crisis Simulations EM-DAT
Critical Applications Emergency, Definition of
Critical Business Functions Emergency Alert Systems
Critical Infrastructure Emergency Management, Principles of
Criticality Assessment Emergency Management Agencies, City
Cyber Crime and County
Cyber Security Emergency Management System
Cyber Warfare Emergency Manager
Emergency Medical Care
D Emergency Medicine
Damage Assessment Emergency Operations Center
Damage Containment Emergency Public Information
Dams, Levees, and Seawalls Emergency Responders
Data Mirroring Emergency Support Functions
Data Recovery Environment Programme, UN (UNEP)
Debriefing Environmental Contamination
Debris Management Epidemics
Debt Crisis Ethnic Cleansing
Decision Making Evacuation
Decision Making, Theories of Exercises
Decision Making Under Stress
Decision Stream F
Decision Support Tools Failed States
Dedicated Site Failover
Deforestation Famine
Denial-of-Service Attack Federal Bureau of Investigation (FBI)
Department of Homeland Security (DHS) Federal Emergency Management Agency (FEMA)
Disaster, Definition of Financial Risk Management in Higher Education
Disaster Assessment Fink’s Crisis Life Cycle
Disaster Declaration Fires
Disaster Declaration Officer Floods
Disaster Drills Food and Agriculture Organization of the United
Disaster Recovery Nations (FAO)
Disaster Recovery Life Cycle Food Security
Disaster Recovery Plan Test Cycle Foreign Policy Crises
 List of Articles ix

Fraud Interregional Crime and Justice Research

Freshwater Demands and Shortages Institute, UN (UNICRI)
Fusion Center Interstate War
Invasive Species
G
Global Food Crisis J
Global Warming Journaling
Groupthink
L
H Land Mines
Hazard, Definition of Legal Liability
Hazard Mitigation Living Modified Organisms
Hazard Vulnerability Analysis Logistics
Hazardous Materials Looting
Hazardous Waste Disposal Losses, Quantitative Versus Qualitative
Health and Medical Response Scenarios
Heat Waves M
High Reliability Organization Theory Malaria
Hijackings Manufacturing Risks
Historical Analogies, Use of Marine Shipping
HIV/AIDS Epidemic Marine Travel
Hospital Emergency Room Mass Care
Hostage Taking and Negotiation Mass Fatality Management
Human Trafficking Mass Media
Hurricanes, Typhoons, and Cyclones Maximum Acceptable Outage
Measles
I Mental Illness
Immigration Mental Models
Impact, Definition of Methods, Qualitative
Impact Analysis Methods, Quantitative
Improvised Explosive Devices Minimum Business Continuity Objective
Improvising Mining
Incident Action Plans Mirroring
Incident Management Missiles
Incident Response Mitroff’s Five Stages of Crisis Management
Incidents Versus Crises Mobile Recovery Site
Income Inequality and Labor Unrest Multiple Disaster Problem
Infectious Disease Mutual Aid and Assistance
Infestations, Parasite
Influenza N
Information Asymmetry Nanotechnology
Information Vacuums NatCatSERVICE (Munich Re)
Insurance National Fire Protection Association (NFPA)
Interdependence 1600, 2007, and 2010
International Children’s Fund, UN (UNICEF) National Incident Management System (NIMS)
International Organization for Standardization National Oceanic and Atmospheric
(ISO) 31000 Administration (NOAA)
International Strategy for Disaster Reduction, National Preparedness Goal
UN (UNISDR) National Response Framework
Interoperability Network for Good
x List of Articles

News Media Q
Noncommunicable Diseases Quarantine
Nongovernmental Organizations
Nonlinearity R
Normal Accident Theory Reciprocal Agreement
Normalization of Deviance Reciprocal Site
Nuclear and Radiological Weapons Recovery
Nuclear Proliferation Recovery Time Objective
Nuclear Risk Red Cross and Red Crescent
Red Tide
O Refugees and Forced Migration
Office for the Coordination of Humanitarian Reinsurance
Affairs (OCHA), UN Religious Violence
Operational Plans Reputational Risk
Operational Readiness Residual Risk
Organizational Failure Resiliency
Overfishing Resource Collapse
Overgrazing Resource Management
Overpopulation Response
Ozone Layer Depletion Response Team
Revolution
P Riots
Pandemics Risk Analysis
Panic, Nature and Conditions of Risk Assessment
Paradigm Blindness Risk Society
Paul G. Allen Foundation Emergency Relief Risk Treatment
Program Routine Emergencies Versus True Crises
Peacekeeping
Perimeter Control S
Petrochemical Risk Sabotage
Policy Setting Safety Policies
Political and Organizational Leadership Salvation Army
Post-Traumatic Stress Disorder Scapegoating
Poverty Scenario Planning
Practical Drift Search and Rescue
Pre-Crisis Training and Planning Severe Acute Respiratory Syndrome (SARS)
Pre-Impact Planning Process Sewage Spill
Preparedness Shelter-in-Place
Prevention Sigma (Swiss Re)
Product Defects and Recalls Simulations
Product Tampering Situational Analysis
Protection Smallpox
Protest Smog
Public Awareness and Education Social Distancing
Public Health Surveillance Social Media
Public Image Spaceflight
Public Relations Spokesperson, Designating and Utilizing
Public Safety Canada Stafford Act
Publicly Available Specification Stakeholders
(PAS) 200 State Emergency Management Agencies
 List of Articles xi

Stock Market Crises United Way

Strategic Plans U.S. Geological Survey (USGS)
Strengths, Weaknesses, Opportunities, and
Threats (SWOT) Analysis V
Strikes Vaccinations
Structural Secrecy Vital Records
Suicide Bombings Volcanic Eruptions
Supply Chain Volunteer Coordination
Surge Capacity, Hospitals Vulnerability
Sustainability Vulnerable Populations

T W
Terrorism War Crimes
Threat Detection Warm Site
Tornadoes and Severe Thunderstorms Warning
Training Weapons Trafficking
Transportation Security Whistle Blowers
Transportation Systems, Vulnerability Wildfire
Trauma Worker Error
Triage World Health Organization (WHO), UN
Trigger Events World Water Relief
Tsunamis
Tuberculosis Y
Y2K Bug
U
Uncertainty
UNICEF. See International Children’s Fund,
UN (UNICEF)
 J
Journaling Preventing the Crisis
Journaling can prevent crisis by becoming an
Journaling is a relatively simple action that early warning system. Consider on a large scale
requires time and focus to become a habit in a that much of what is known about historical, pre–
person’s life. Each journal is somewhat unique; weather records data is from journals. Explorers
there is no one best way to create one. No mat- have traditionally studied the journals of others
ter the intent of keeping a journal, the writings to glean information that will help them. Jour-
can serve many purposes. The key to journaling nals help the writer detect patterns because the
is consistency in taking the time to write thought- process aids memory. After a crisis occurs, a jour-
fully and with some purpose each day. Within the naler may return to the pre-crisis entries and iden-
context of crisis management, journaling can be tify indicators that foretold the coming event. As
productive and assistive in several ways. post-crisis time progresses, the journaler may rec-
Developing a journal involves a process called ognize the same patterns developing and be able
reflective writing; research indicates that reflective to either interdict the crisis or be better prepared
writing helps the writer to develop a deeper under- for what is to come.
standing of the events that are the subject of the
writing. Although there is no one best way to keep Maintaining a Frame Through the Crisis
a journal, there are some commonly recognized For the journaler in the midst of a crisis, writ-
practices that can help. Journaling should be done ing contributes to the maintenance of mind. The
at least daily; some write twice a day, once first journaler becomes a chronicler of events and, for
thing in the morning and again in the late evening the moment, is taken away from being a victim to
before retiring. Journaling works best when it is being an observer engaged in documenting what
done somewhat informally, the simpler the better; is seen. There is great value to be gained in study-
and when the writer avoids trying to write in a par- ing journals from individuals engaged in warfare
ticular style or worrying about writing mechanics, and catastrophe, where the journaler has detailed
spelling, and grammar; in other words, writing for his/her view of the events unfolding; these are
quantity instead of quality. A journal is intended sometimes written from a personal viewpoint and
for the journaler, so it should be kept personal; it is other times as though the journaler were simply a
intended for the writer’s reference, even though it recorder of the events that occurred around him
may someday help others understand past events. or her.

557
558 Journaling

the potential for survivor regret—the feelings of

“why did I survive when others did not?”
Post-crisis journaling is also recommended for
those working with survivors or helping in other
ways with the response. In the process of writ-
ing about their work, journalers are constantly
reminded that they are a part of the solution
and are helpers in recovery. Research has shown
that journaling, together with crisis counseling,
allows a better transition of responders back to
everyday life. Again, the process of reflective
writing helps journalers keep perspective with
the reality of their life away from the post-crisis
A Civil War diary being prepared for digitization at Iowa State response.
University. Civil war journals have provided historians with
intimate accounts of the experience of soldiers and civilians Documenting the Crisis
involved in the war effort. After a crisis passes, the journal serves as a record
of the process of moving through the adversities.
The journal entries made during the crisis reveal
observations of what happened and may be the
Writing about the stress that is felt in times of only link to understanding sequence. Entries also
crisis helps release those feelings into words on reveal ways in which journalers and those around
paper. Research shows that journalers report they them were impacted by the crisis and can provide
gain hope of coming through the adversity. Writ- insight into survival techniques. Although a single
ing through crisis allows the journaler to process journal presents only one view, it is one that is
the information around him or her in a way that from the inside and gives personal-level meaning
promotes process analysis, and many journalers to the crisis.
report gaining insight and even finding solutions As an example, news stories from the Ameri-
through the process of writing. can Civil War provide insight into the broader
Crisis counselors suggest that taking time each spectrum of the war and the battles fought dur-
day to write about things for which journalers ing the era. However, the journals of civilians and
are thankful may help them maintain a frame of soldiers who were engaged in the war give deeper
positive thought through the event. During times meaning to the individual impact the era had on
when the journaler feels doubt or overcome by life and reveal unsensationalized accounts of bat-
despair, the journal becomes a reminder that there tles that help historians understand the broader
is hope and a collection of self-identified positives view of the reports.
on which to focus thoughts. This contributes to
the positive attitude needed to maintain control Getting Started
through difficult times. Journaling is recommended for many reasons,
including research documentation. The process
Recovering From the Crisis produces many of the same benefits for writers
Post-crisis journaling has proven to be a valuable not embroiled in a crisis situation. In a time before
tool in coping with the issues of post-traumatic television and radio, and when society was not so
stress disorder, personal loss, and the feelings of mobile, many people kept journals. The best way
helplessness that often are associated with crisis to start a journal is to get some paper and a pen
survivors. The journal represents a safe release for or pencil and begin with what happened this day,
emotions, fears, and concerns. Writing reflectively and tomorrow make time to write again.
allows the writer to think through the event and
understand better the things that occurred and George R. Franks, Jr.
why he or she made it through, thus lessening Stephen F. Austin State University
 Journaling 559

See Also: Documentation; Historical Analogies, Use Penzu. “7 Easy Tips for Successful Journaling.” http://
of; Post-Traumatic Stress Disorder; Resiliency. blog.penzu.com/7-easy-tips-for-successful-journ
aling (Accessed May 2012).
Further Readings Williams, M. B. The PTSD Workbook: Simple,
Journaling Saves. “The Benefits of Journaling Daily.” Effective Techniques for Overcoming Traumatic
http://www.journalingsaves.com/benefits-of-daily Stress Symptoms. Oakland, CA: New Harbinger,
-journal-writing (Accessed May 2012). 2002.
Journaling Saves. “How to Journal in 10 Simple
Steps.” http://www.journalingsaves.com/how-to
-journal (Accessed May 2012).
 L
Land Mines 388,000 antipersonnel mines and over 27,000
antivehicle mines throughout the world. Further,
Land mines are generally referred to as explosive The Monitor’s 2010–11 report included 12 coun-
devices that are designed to destroy personnel tries that produce antipersonnel mines, namely
employed in an armed force or to severely dam- China, Cuba, India, Iran, Myanmar, North Korea,
age equipment. They are detonated through pres- Pakistan, Russia, Singapore, South Korea, the
sure that is activated by a specific target’s action, United States, and Vietnam. In addition, Israel,
the passage of time, and/or controlled means. The Libya, and Myanmar were identified as three gov-
social and economic cost of land mines is tremen- ernments that have laid antipersonnel mines.
dous. Once set in place, a mine may remain active Land mines can be categorized into two types:
for up to 50 years. Even when used according to antitank (AT) and antipersonnel (AP). For the
the generally accepted doctrine of marking and most part, explosive charges are concealed
recording, antipersonnel mines result in deaths beneath the land’s surface in order to slow enemy
and severe bodily injuries long after the end of advancements during war. Usually, AT mines are
a war or conflict, and this issue remains to be a designed to immobilize vehicles by destroying
fatal problem all over the world. Moreover, mine one or more vital driving components. On some
clearance is a costly task that exceeds the budget occasions, however, the vehicles’ crew members
of even some wealthy nations. Currently, there may also be destroyed. Conversely, AP mines are
are 50 to 100 million land mines in more than designed to kill or incapacitate their victims; how-
80 countries around the world. Deactivation is ever, some AP mines may also break or damage
estimated to be at 100,000 mines per year versus the track on armored vehicles.
approximately 2 million that are laid annually. If By the end of World War II, roughly 300 mil-
today’s current detection and deactivation contin- lion mines were buried in an effort to destroy
ues at this rate, removing just all existing mines enemy tanks. However, these weapons had vital
(without including those yet to be placed) will drawbacks given that it was possible for foot sol-
take at least 500 years. diers to disable them before detonation and use
According to figures provided by The Monitor, them against the very army that initially buried
a total of 4,191 new casualties were recorded in them. In order to prevent enemy soldiers from
2010, compared to 4,010 in 2009 and 5,502 in deactivating AT mines, armies therefore devel-
2008. During 2010, officials cleared more than oped antipersonnel mines that encircled their

561
562 Land Mines

antitank mines. Because of the irresponsible use

and indiscriminate killing, however, antiperson-
nel mines were severely stigmatized by the inter-
national community.

Social and Economic Costs of Land Mines

Although there is currently a lack of reliable data
pertaining to international figures related to casu-
alties attributed to land mines, it has been sug-
gested that 70 persons every 20 minutes a day are
either killed or injured, which totals more than
20,000 people a year. On the other hand, costs
associated with producing a mine may be as little
as $3, yet the cost of removing one ranges from
$300 to $1,000.
An ordinance to clear unexploded antiperson-
nel mines is a difficult and hazardous task for even
the experts. Because of accidental explosions, for
example, at least one trained mine disposal expert
will be killed and two will be injured for every
5,000 mines cleared. One of the most obvious
implications is that land mines create uninhabit-
able territories that result in millions of useless
acres. Further, it is not uncommon for individu-
als who positioned the mines to forget where they
located them. Thus, land mines that are positioned
in agricultural areas severely impact the locals’
livelihood as well as their annual food production.
In the event that no mines existed in their lands,
agricultural production would be 200 percent
higher in Afghanistan and 135 percent higher in
Cambodia. Moreover, tourism that contributes to
a nation’s postwar economy can be severely ham-
pered by the presence of land mine fields.
As would be expected from antipersonnel
devices, the most common injury suffered among
survivors is the loss of a leg. Unfortunately,
young children are particularly vulnerable to
land mines in three ways: (1) out of curiosity, A U.S. soldier performs a ground sweep for land mines outside
they are likely to pick up strange objects; (2) the Usmankhel, Kandahar province, Afghanistan, December 18,
presence of posted warning signs is useless if a 2011. Agricultural production would be 200 percent higher in
child is too young to read or is illiterate; and Afghanistan if the mines were not a constant hazard.
(3) children are far more likely to die from mine
injuries than adults.
Afghanistan, Angola, and Cambodia have suf-
fered 85 percent of the world’s land mine casual- mine-plagued continent, with an estimated 37
ties. In fact, mines are so common in Cambodia million mines embedded in the soil of at least 19
that they are now used for fishing in order to pro- countries. For example, Angola alone has roughly
tect private property and even settle private dis- 10 million land mines that have been responsible
putes. Overall, African children live on the most for an amputee population of 70,000, of which
 Land Mines 563

8,000 are children. Further, approximately one- Humanitarian demining requires that the
half of Rwanda’s children have become victims entire land area be free of mines. For example,
of 50,000 to 100,000 antipersonnel mines since the United Nations specified a clearance standard
May 1995. of 99.6 percent, or that a maximum of four mines
On the other hand, children living in at least are missed for every 1,000 that are removed
68 countries today are threatened daily by per- from the ground. Currently, the only guaran-
haps the most toxic mine pollution contamina- teed way to achieve the United Nations’ require-
tion facing humankind. According to The Moni- ment is through manual demining methods, a
tor’s 2010–11 report, more than 110 million land procedure in which mines are manually detected
mines of various types in addition to millions of and neutralized by a human deminer. Gener-
unexploded bombs, shells, and grenades remain ally, demining includes the following methods:
hidden throughout the world just waiting to be (1) electomagnetic induction, (2) ground pen-
triggered by innocent and unsuspecting persons. etrating radar, (3) nuclear quadruple resonance,
(4) infrared [IR] and hyperspectral methods,
Measures to Counter the Land Mine Problem (5) electric impedance tomography, (6) X-ray
There are several measures that can mitigate backscatter, (7) acoustic and seismic systems,
problems from land mines: a total ban on land (8) vapor sensors, (9) robotics, (10) thermal neu-
mines, demining, and increasing awareness of tron activation, (11) neutron backscatter, and
land mines. (l2) data fusion. In addition to these methods,
trained dogs have long been used to sniff out land
Mine ban: In reality, only a total ban can help mines in war-torn regions. Today, even rats and
eliminate the manufacture, export, and use of bees are used for mine removal tasks.
land mine weapons. The best-known ban, which
became effective on March 1, 1999, is the Ottawa Mine awareness: Although prevention efforts
Treaty, or the Anti-Personnel Mine Ban Conven- are already in place, namely, mine-awareness
tion, officially known as the Convention on the programs that are designed to teach community
Prohibition of the the Use, Stockpiling, Produc- residents how to identify land mines or avoid
tion, and Transfer of Anti-Personnel Mines and suspected mine field areas, these programs also
on Their Destruction. The treaty called upon all require expanded support from the public health
states to cease the use, transfer, and production of community. High-risk areas and populations can
antipersonnel mines. As of September 2011, 157 be identified through hospital surveillance and
countries, or 80 percent of the world’s nations, cluster surveys. In turn, this facilitates the alloca-
have joined the Mine Ban Treaty, and 87 of these tion of limited resources as well as the develop-
states have completed the destruction of their ment of effective prevention strategies.
stockpiles. UNICEF stated that protecting children calls
for a major international commitment based on
Demining: Demining is defined as the action of large-scale mine clearance and the development
removing land mines, booby traps, and unex- of child-oriented awareness programs as well
ploded ordinances (UXO) from an area. Given as physical rehabilitation to offset the results of
that mines and booby traps are typically hidden land mines. Essentially, children living in high-
and most often buried, two main demining goals risk areas should receive innovative education
include the following: (1) to enable a military awareness through child-to-child approaches,
force to achieve its objectives while preventing role-playing, and the use of land mine survivors
human losses and (2) to return the land to produc- as educators. In addition, greater attention should
tive use. As previously mentioned, mine removal be placed on training local mine clearance teams
is a lengthy and expensive business. Although and adapting local needs to effective international
land mines can be spread carefree at rates of over techniques.
1,000 per minute, it may take a skilled expert an
entire day to clear by hand 20 to 50 square meters Kadir Akyuz
of contaminated land. Independent Scholar
564 Legal Liability

See Also: Arms Control; Border Disputes; Hazard Laws assist with the classification of the type of
Mitigation; Hazardous Materials; Improvised emergency; the creation of the infrastructure for
Explosive Devices; Terrorism. how to prevent, detect, and respond to a crisis;
and the authorization of the performance or non-
Further Readings performance of different actions by a host of dif-
Andersson, Neil, Cesar Palha da Sousa, and Sergio ferent actors. Laws also determine the extent of
Paredes. “Social Cost of Land Mines in Four legal liability, or responsibility, for potential and
Countries: Afghanistan, Bosnia, Cambodia, actual harms that arise during crises. The legal
and Mozambique.” British Medical Journal, framework plays a significant role in the level
v.311/7007 (1995). of support for a fair, effective, and consistent
International Committee of the Red Cross (ICRC). response to prepare for the standard of care dur-
“Conference Document of Certain Conventional ing an emergency event.
Weapons Convention.” Geneva: ICRC, May 1994.
“Landmine Monitor 2011: International Campaign Sources of Crisis Management Law
to Ban Land Mines.” The Monitor. http://www Crisis management law in the United States is
.themonitor.org/index.php/publications/ rooted in the three levels of government: federal,
display?url=lm/2011/es/Major_Findings.html state, and local. Immunities allow protection for
(Accessed March 2011). emergency managers under certain circumstances.
Robledo, L., M. Carrasco, and D. Mery. “A Survey of The National Fire Protection Association (NFPA)
Land Mine Detection Technology.” International and post–September 11 federal law have set new
Journal of Remote Sensing, v.30/9 (2009). standards that apply to the entire nation during
United Nations Children’s Fund. “Impact of Armed an emergency. The accessibility of federal funds
Conflict on Children: Land-Mines: A Deadly for crises allows the federal government to pose
Inheritance.” http://www.unicef.org/graca/mines criteria for state and local crisis management per-
.htm (Accessed March 2011) formance. Many laws affect crisis management’s
University of Western Australia. “Demining Research daily activities, imposing duties on certain fields
at the University of Western Australia.” http:// of work. For instance, employers in certain dis-
school.mech.uwa.edu.au/~jamest/demining ciplines may be obligated to train their employ-
(Accessed March 2011). ees in certain conduct during an emergency. In a
Walsh, Nicolas E. and Wendy S.Walsh. similar fashion, government-employee crisis man-
“Rehabilitation of Landmine Victims: The agers have the duty to comply with the govern-
Ultimate Challenge.” Bulletin of the World Health ment’s ethics rules.
Organization (2003). A common cause of action that may ensue in
legal liability is the tort of negligence. Negligence
is a common law doctrine that articulates that
each person has a general responsibility to act in
a reasonable manner at all times in consideration
Legal Liability of the circumstances. In legal terms, negligence is
defined by five elements: a duty, a breach of that
Legal liability during a crisis pertains to the deci- duty, legal causation, personal injury or property
sions that may be the basis for a lawsuit. A sig- damage, and a result. In other words, a person
nificant role in managing legal liability requires has an obligation to act in a reasonable manner,
litigation mitigation, which is characterized by fails to do so, and this is a proximate cause to the
three elements: (1) reduction in the exposure to liability. Thus, one’s unreasonable behavior that
legal claims, (2) improvement of life safety, and causes harm to another person or property may
(3) enhancement in property protection. Attor- be subject to legal liability. In the crisis manage-
neys’ main concerns for legal liability during crisis ment context, negligence may arise from the fail-
management relate to these three elements. ure to perform specific governmental obligations.
Legal concerns are related to many issues in The unit of government may be legally liable for
crisis management and crisis standards of care. the failure to properly train or supervise crisis
 Legal Liability 565

management workers. Another source of liability The government does not profit from such acts.
includes the failure to perform the duties that are Emergency planning is immune from legal liabil-
accepted as being a part of an emergency man- ity as a “government function.”
ager’s duties. Examples that give rise to negligence The Federal Tort Claims Act (FTCA) holds the
liability include a commander’s lack of knowl- “discretionary action” immunity. The defense
edge, an executive’s poorly made decision, or the focuses on a particular governmental act or
failure to adhere to a plan. Another form of legal decision rather than on the type of activity. The
liability pertains to the failure to comply with a purpose of the act is to protect federal govern-
legal duty. mental employees at the policy level from being
concerned with lawsuits as they make decisions
Immunity during an emergency. However, if the action does
Certain factions of the government are privileged not involve a permitted use of policy judgment,
to immunity, or protection from legal liability, the government employee is not protected.
for the performance of specific activities. Statutes The U.S. Supreme Court in Berkovitz v. United
created to respond to disasters and common law States implemented a two-part test for the use of
offer customary defenses and immunities to pro- the “discretionary immunity” defense. The first
tect people who respond in an emergency. The step requires analyzing the nature of the conduct.
purpose behind the legal notion of immunity is If the questioned conduct is not an optional mat-
to encourage a certain type of proactive conduct. ter but rather an action mandated by a federal
statute or policy, then discretionary immunity is
Immunity under state law: To protect people not applicable to the conduct. Thus, the employee
from legal liability, state laws incorporate liability has no choice but to follow the directives. The
immunity for certain acts. The immunity is lim- court rationalized that, in the absence of a choice,
ited in the sense that the acts must be within the a judgment call could not be made and thus, there
employee’s scope of employment for immunity to is discretion within the conduct to act in defense.
apply. State emergency statutes frequently contain The second step applies if there is no statutory
more specific immunity provisions to protect gov- or procedural policy that mandates a course of
ernment executives engaged in critical decision- action. The conduct must involve a quantity of
making procedures during crises. Some states have judgment, which then may be determined to be
established broad immunities to shield a variety of the type of judgment that the discretionary immu-
employees, rather than only individuals involved nity was intended to defend. The exemption
in making decisions. Such provisions are gener- shields only governmental actions and decisions
ally contained in a state’s emergency management based on public policy, such as economic, politi-
laws. Some states also offer immunity for emer- cal, or social policy. If the activity is not related
gency workers, including volunteers. A “good to public policy, then the suit may continue and
Samaritan” statute may also provide immunity to discretionary immunity does not apply.
certain classes of emergency medical responders, The decision in Commerce and Industry Insur-
although the statute generally does not apply to ance Company may indicate the potential future
individuals operating in an official capacity. evolution of cases brought against emergency
management organizations for improper actions
Immunities under federal law: The federal gov- during crises. The court reasoned that firefight-
ernment utilizes two tort doctrines to provide ers violated specific regulations and distinct fire
immunity: “government function” and “discre- department policies decreed procedures for fire-
tionary action.” The “government function” fighters to follow at a warehouse fire. The court
immunity refers to long-established governmental held the organization and its employees liable for
activities, such as measures assigned by the Con- actions that fell outside the established regulatory
stitution or statute, including collecting taxes, standards. Therefore, the court held that the city
law enforcement, and legislation. These actions was not granted immunity. Emergency manage-
are typically solely performed by a governmental ment may be hard pressed to rely on discretion-
entity and performed for the benefit of the public. ary immunity to protect the unit of government
566 Legal Liability

and employees from liability. The holding dem- volunteers must be properly incorporated into the
onstrates the court’s tendency to interpret statu- emergency response organization. For instance,
tory waivers of government immunity extremely the organization may report the competencies of
narrowly by analyzing the facts underlying the the volunteers to avoid legal liability.
alleged waiver.
The Volunteer Protection Act of 1997: Several
Legal Duties members of Congress contend that the possibility
Local and state emergency management directors of litigation may discourage people from volun-
have many legal responsibilities. The foundations teering for public service. As a result, Congress
of these duties are both specific emergency man- enacted the Volunteer Protection Act of 1997 to
agement law and other laws of general application. create statutory immunity for the labor pool of
volunteer entities. The act preempts state statutes
State emergency management law: Every state that impose higher levels of liability on volunteers.
has a set of emergency management laws. These There are exceptions to the act, including acts
laws generally include specifications that establish of gross negligence and willful disregard of stan-
a crisis management agency, assign specific orga- dards of care, to discourage harmful behavior and
nization roles in responding to disasters, assign to protect victims of disaster from those who do
an executive authority to declare the state of not act in good faith during emergency responses.
emergency, and allow cooperation in the form of Furthermore, under the act, volunteers may not
mutual aid with neighboring jurisdictions. Such be sued for punitive damages if they are acting
statutes typically address other aspects of crisis within the scope of responsibilities set by the
preparedness and response. There tends to be a nonprofit organization. However, the shelter of
detailed set of responsibilities for emergency man- immunity is not awarded to the volunteer organi-
agers pertaining to warning, police, medical, and zation itself. It is important to note that the Vol-
rescue services. Additional functions may include unteer Protection Act does not protect volunteers
emergency transportation, plant protection, and from legal liability for harm caused while driving
weapons defense. Failure to perform the enumer- a motor vehicle.
ated duties may expose the emergency manager to
legal liability. Deputize actors: Some states have “deputized”
actors during a crisis, meaning the federal govern-
ment has made them federal agents. These actions
Standard operating procedures: Emergency can be enacted rapidly, permitting the actor to
response groups employ standard operating pro- receive the state’s sovereign immunity, a type of
cedures to direct their members in daily functions. protection that exists in many jurisdictions. The
Legally, standard operating procedures are a form complication of this action is that these deputized
of private law and thus, a violation of the pro- workers become the legal agents of the state or
cedure may have internal consequences. Never- federal government and therefore must be pre-
theless, standard operating procedures must be pared to perform as the state or federal govern-
in accordance with specific industry standards ment mandates, not necessarily what their own
and therefore, violations may also be a basis for institution or employer might require. Thus, insti-
a lawsuit for negligence. Furthermore, standard tutions and employers may feel a sense of uncer-
operating procedures are typically a reflection of tainty and unwillingness to cede that control.
generally accepted safe practices. Thus, an orga-
nization’s failure to adopt a set of standard oper- Planning Process
ating procedures does not prevent the organiza- The initial step for crisis management requires a
tion from avoiding legal liability. process of planning, which details resources, pro-
cedures, and trained personnel needed when a
Volunteers disaster occurs. Several potential liabilities may
Several legal issues may arise during the use of arise from the duty to plan. Typically, an orga-
volunteer resources. In order to avoid liability, nization creates and maintains an emergency
 Living Modified Organisms 567

operations plan, which may be the basis for liabil- application of biotechnology. LMOs are the sub-
ity. The absence of an emergency operations plan group of genetically modified organisms (GMOs)
may also be the basis for a lawsuit. Furthermore, that is capable of reproduction and growth. The
NFPA 1600 requires planning to be consistent term generally refers to genetically engineered
with evolving standards. Assuming a legal plan agricultural products or crops, although it can
has been established, the failure to implement the be applied more broadly to include both bacteria
plan during an emergency may subject the man- and animals. The alteration of genes is generally
ager to liability. In federal court, the decision turns achieved through recombinant DNA technolo-
on whether the plan is interpreted as setting a com- gies. DNA sequences are added, deleted, or oth-
pulsory course of action. The court may construe erwise transformed to modify the genes of a given
an emergency plan of operation to be a “specific organism. Expression of the new genes gives the
and mandatory” obligation in spite of the fact that organism new properties that may include disease
it is a private document with no direct legal conse- resistance, enhanced nutritional or pharmaceuti-
quences on the public. Therefore, a violation of an cal value, or entirely novel capabilities (such as
internal policy may lead to a lawsuit if the policy glowing in the dark).
does not leave room for implementing officials to In 1973, the first LMO was created when a
exercise independent policy judgment. Salmonella gene was inserted into the genome
of an E. coli bacterium. Applications for LMOs
Negeen Rivani have since been found in the fields of biologi-
Pepperdine University cal research, medicine, and agriculture. Liv-
ing modified organisms are also patentable. In
See Also: Blame, Politics of; Insurance; National 1980, Professor Ananda Chakrabarty geneti-
Fire Protection Association (NFPA) 1600, 2007, and cally engineered a bacterium to digest crude oil;
2010; Operational Plans; Volunteer Coordination. after Chakrabarty was denied by the U.S. Patent
Office, the U.S. Supreme Court ruled in favor of
Further Readings issuing him a patent. Research and development
Berkovitz v. United States, 486 U.S. 531 (1998). of LMOs continued throughout the 1990s, and
Commerce and Indus. Ins. Co. v. Grinnell Corp., 280 genetically modified corn entered the U.S food
F.3d 566, 5th Cir. (2002). supply in 1995. Living modified organisms have
Eburn, Michael. Emergency Law. 3rd ed. Sydney: been identified as having the potential to mitigate
Federation Press, 2010. against crises such as drought, malnutrition, and
Nicholson, William C. Emergency Response and disease. Organisms such as corn and soy varietals
Emergency Management Law: Case and Materials. are being engineered for insect resistance, frost
Springfield, IL: Charles C Thomas, 2005. tolerance, and enhanced nutritional value. But
Patel, Ameeta and Lamar Reinsch. “Companies LMOs also have the potential to compound these
Can Apologize: Corporate Apologies and Legal crises and threaten biodiviersity if improperly
Liability.” Business Communication Quarterly developed, applied, or monitored. The complex-
(2003). ity of these issues has driven the development of
Stroud, Clare, Bruce M. Altevogt, Lori Nadig, and national policy and international agreements to
Matthew Hougan. “Crisis Standards of Care: responsibly manage the risks associated with this
Summary of a Workshop Series.” Institute of new technology.
Medicine of the National Academics (2010).
Controversy and Regulation
The genetic modification of living organisms has
sparked significant controversy. Attitudes about
genetic science swing in both directions; some
Living Modified Organisms groups believe that the creation of LMOs violates
natural law, and others believe that humans, as a
A living modified organism (LMO) is an organ- species, have been modifying organisms for years
ism that has been genetically altered through the through selective breeding and animal husbandry.
568 Living Modified Organisms

Case Study: Genetically Engineered Foods and Famine in Africa

In the early 2000s, many countries in the southern its position, with the president declaring the corn
region of the African continent were falling into to be “poison” in the belief that the health and
famine. Multiple years of food shortages, poor crop medical effects of genetically modified foods had
yield, conflict, and economic decline had depleted yet to be thoroughly evaluated. The U.S. Food and
food supplies to the point where the local people Drug Administration and Secretary of State Colin
had been reduced to eating twigs, roots, and, in Powell challenged his position on the basis that
some reports, household pets. In 2002, according genetically modified crops had been allowed in the
to the United Nation’s World Food Programme, 38 U.S. food supply for more than five years with no
million Africans had significant food needs and documented negative effects. Critics condemned
about $500 million in food aid would be needed Zambian officials for allowing their people to starve;
to avert famine. The United States responded to supporters suggested that there was enough genetic
the crisis with an offer of food aid—a significant engineering–free food in the world to provide relief
amount of grain. The gift, however, was likely to for Zambians and that current shortages were
contain large volumes of genetically modified corn simply a matter of poor resource management and
kernels—a living modified organism. distribution. After two additional years of famine,
Southern African governments reacted Zambia accepted the genetically engineered corn.
differently. Swaziland, Lesotho, Malawi, and Angola In all, the food crisis in southern Africa revealed
accepted the food immediately. The nations of continued public misgivings about the safety of
Mozambique, Zambia, and Zimbabwe resisted LMOs and genetically engineered foods. Ethical
the food aid with concerns about biosecurity discussions continue to rage, with the validity
and the threat to native flora, fauna, and crops. of the precautionary principle being called into
The rejection of the genetically modified food doubt. Nations around the world are developing
underlined lingering questions and concerns about and clarifying biotechnology policies in conjunction
the ethics and risks associated with LMOs and with the Cartagena Protocol in an effort to balance
developing countries. the risks and rewards of LMO introduction. In
With the exception of Zambia, all the countries 2007, Zambia passed the Biosafety Act to provide
accepted the grain after it had been milled. Milling for regulation of and guidance to the development
the corn mitigated the risk of genetically modified of genetically engineered products. The role of
kernels germinating and contaminating the local LMOs in the developing world has yet to be entirely
crop populations with modified genes. Zambia held defined.

There are also fears that certain organisms could the cultivation of only two genetically engineered
be modified to become enhanced biological weap- crops. China and India are currently utilizing
ons. In recent years, public opinion of LMOs in LMOs to boost outputs of cotton, food, and other
the food supply has also soured, with perceived essential products to provide for the needs of their
risks greatly outweighing perceived benefits. growing populations.
These concerns, among others, have driven bio- In many countries, the responsibility for policy
safety policy formation worldwide in an effort to development and regulation is shared among mul-
balance national, scientific, and public priorities. tiple governmental organizations—usually agen-
National policies on LMOs vary greatly. In the cies in charge of national science, health, environ-
United States, policy allows the growing of large ment, agriculture, and trade policies. National
volumes of LMOs (the United States currently strategies for biosafety and the implementation of
produces the largest volumes of genetically modi- LMOs are generally conservative, relying heavily
fied food), whereas the European Union allows on “the precautionary principle,” which posits
 Logistics 569

that in the absence of consensus on whether an are identified for risk management before intro-
action or policy may cause harm to the environ- duction of the LMO, and monitoring methods
ment or the public, the burden to prove that the are put in place to detect changes in both the
action is not harmful falls to those taking the receiving environment and the organism itself. It
action. is important that the risk assessment process for
LMOs be iterative, as each reproductive cycle has
The Cartagena Protocol the potential to alter genetic content.
Hybridization and cross-fertilization between
LMOs and native organisms creates the risk of Lauren Ohl-Trlica
the “escape” of engineered genes from a popula- University of California, Los Angeles
tion of LMOs to the genomes of organisms in the
local ecosystem. The introduction of these genes See Also: Biological Engineering Risk; Biological
has the potential to significantly disrupt delicate Weapons; Crisis Management, Emerging Trends
biological processes and threaten biodiversity. In in; Famine; Food Security; Global Food Crisis;
1993, the United Nations Convention on Biologi- Terrorism.
cal Diversity entered into force to protect global
biodiversity, and the development of a framework Further Readings
for the governance of LMOs began. The resulting Cook, Jennifer and Richard Downie. African
Cartagena Protocol on Biosafety was deployed in Perspectives on Genetically Modified Crops.
2000 as a supplementary agreement to the con- Washington, DC: Center for Strategic and
vention and entered into force in 2003. The proto- International Studies, 2010.
col outlines conditions for the exchange, handling, Diamond v. Chakrabarty, 447 U.S. 303 (1980).
movement, and use of LMOs among nations, with Hill, Ryan and Cyrie Sendashonga. “General
the mission to protect biodiversity. The proto- Principles for Risk Assessment of Living Modified
col also establishes the Biosafety Clearing-House Organisms: Lessons From Chemical Risk
to facilitate the exchange of information about Assessment.” Environmental Biosafety Research,
LMOs and to maintain an LMO registry. v.2/2 (2003).
Shanahan, James, Dietram Scheufele, and Eunjung
Risk Assessment and Management Lee. “Trends: Attitudes About Agricultural
Assessments of public opinion in regard to genetic Biotechnology and Genetically Modified
engineering research show risk aversion and skep- Organisms.” Public Opinion Quarterly, v.65/2
ticism, especially in reference to the presence of (2001).
LMOs in the food chain. The framework for risk Williams, Timothy George and Bronwyn Pavey.
assessment outlined by the UN’s Biosafety Clear- The Cartagena Protocol on Biosafety. Ottawa:
ing-House is designed to facilitate a scientifically Parliamentary Research Branch, 2003.
sound and transparent assessment of the threats
and consequences posed by the introduction of an
LMO into an environment. Each LMO is assessed
on a case-by-case basis. Governments can then
make decisions on whether to allow the import or Logistics
use of an LMO based on the assessment. The step-
wise methodology begins by setting the scope for Logistics in humanitarian operations is described
the assessment through comparative studies and as a set of actions necessary to deliver aid to des-
the establishment of baselines. The organisms, ignated beneficiaries and/or to provide support to
the receiving environment, and the intended use relief operations. The logistics process is therefore
are thoroughly examined to complete the hazard aimed at transfering goods from a point of origin
profile. Appraisals of event likelihood, potential to one of destination. Logistics defines the process
consequences, exposure, cumulative effects, sys- of planning, execution, and control of the delivery
tem complexity, and general uncertainty com- of items necessary for the implementation of aid
plete the risk assessment. Mitigation strategies programs. The starting point for logistics actions
570 Logistics

is the end of the procurement process, though limited by the type of infrastructures present in
sometimes, as in the case of some humanitarian country and by their own maximum capacity.
organizations, procurement procedures can also Air transport is utilized within a country as
be included. Main processes included in logistics well; humanitarian cargo and workers are often
activities are transport, storage, and control. deployed by air, especially in order to get to the
zone of operation as quickly as possible. Air trans-
Transport port in this case is often done by helicopters that
Transport refers to all those different ways can land even where there are no airports. Air
through which the delivery of needed goods transportation is chosen also for technical rea-
is organized, that is, by sea, by air, by road, by sons, sometimes during natural disaster responses
train. A difference is normally made when plan- when the zone of operations might be inaccessible
ning between international and in-country (or by road. Security considerations can also affect
internal) transport. this kind of choice.
Transport can be both international and inter-
nal. International transport can cross one or Ground transport: Ground transport is made up
more countries before reaching the border of of road and railway systems. Ground transport
the affected nation (theater) of the humanitar- via large trucks is utilized for transferring large
ian relief operations. International transport is quantities of commodities from ports or airports
normally done by sea wherever possible, as it is to main warehouses, hubs, and secondary ware-
the least expensive way of moving goods, then houses and is also used to cover the last leg before
by road, train, or internal waterways. Transport the distribution site. This latter step is done with
can also be accomplished by air; shipping by air smaller trucks or even pickups.
is normally done during emergencies when time is Trucks utilized may be owned by the relief orga-
critical to saving lives. Once humanitarian aid is nization, especially where no commercial alterna-
in the country, it is normally directed to primary tives are present, but normally private trucks are
or secondary warehouse facilities before being utilized.
transferred to the site where the relief project is
implemented (construction materials for shelters, Railway transport: In some operations, transport
medicines for health centers, food for distribution by rail is also used. This is a cheap and reliable
to the hungry). way of moving commodities, but it is not always
available and it always needs to be connected
Maritime transport: Shipping by sea is the most with road transport for the final leg.
convenient way of transport, able to move large
quantities of relief items though not really flex- Storage
ible because it is dependent on large infrastruc- Storing the goods in a safe way is paramount
tures. Transport by sea can be done in containers for a good operational outcome. Warehousing is
or in bulk cargo, depending on the needs and the an important stage in the logistics chain. Relief
commodities. In some humanitarian operations, items pass through different warehouses from the
internal waterways are also used. And in case of moment they are produced to the moment they will
flooding or tsunami response, coastal shipping is be distributed. Size of warehouses also changes.
extensively used to reach people in need. Warehouses around sea ports and airports are
larger, as they are meant to store a greater share
Air transport: Shipping by air is utilized espe- of the incoming commodities before those are dis-
cially at the beginning of emergencies, when sav- patched to the various regional facilities that are
ing time means saving lives. However, air trans- closer to the organization’s warehouses in the area
port is expensive and requires quantities to be of the implementation. At the main hub, the com-
limited. Another challenge can be related to the modities arrive for the entire project for which
type of infrastructure available in the country to the supplies have been procured; those quantities
be served. In fact, airports might not always be are then redistributed closer to the actual delivery
able to receive deliveries because airports can be point in smaller stores. However, direct delivery
 Logistics 571

Supplies are unloaded from airplanes in Port-au-Prince, Haiti, January 17, 2010, five days after the area was hit by a devastating
7.0-magnitude earthquake. The logistics for distributing aid proved nearly insurmountable for the humanitarian and military operations
from various countries: The damaged port prevented deliveries by sea; airport infrastructures were damaged, limiting capacity; equipment
and manpower were lacking; and an avalanche of assistance came during the initial phase, when coordination was insufficient.

can also be made from the entry points during an the delivery of the materials necessary for the
emergency in order to save time, reduce handling, implementation of the different relief programs
and cut costs. (such as water, sanitation, and hygiene [WASH],
To protect the stocks and guarantee their arrival shelter, health, or agriculture), each humanitar-
to the beneficiary in proper condition is not only ian organization has a different perception of
a matter of protecting items from hazards such it. For some, it is purely transport and storage;
as weather, bad handling, and security but also a for others, responsibility of the logistics section
matter of good management in terms of account- might include fleet management, telecommunica-
ability and control and reporting. In order to max- tions, security, facility management, and other
imize program activities and account to donors, it support roles.
is paramount to know exactly what is stored and This might be because of the internal organiza-
in which conditions. tion of the agency or nongovernmental organiza-
tion (NGO) or simply that its size and resources
Logistics in Project Planning do not support having specialized personnel for
When planning and designing relief programs, each function needed, so the limited staff needs
logistics implications such as availability of sup- to ensure that different tasks are accomplished.
plies and assets should be always taken into In the larger organizations such as the United
account, together with the operational context Nations agencies, roles are clearly separated and
where the action has to be implemented, includ- functions defined, especially during humanitar-
ing country context, weather conditions, and ian responses when large deployments of staff
security. This means that relief plans need to be are made and each officer is responsible for spe-
realistic and adapted to the situation. cific duties.
Even though the logistics role is commonly per- The humanitarian logistics sector is also becom-
ceived as the set of actions necessary to support ing increasingly professionalized and is learning
572 Logistics

Case Study: Logistics During the Haiti Earthquake Crisis

Immediately following the earthquake, numerous from an administrative point of view (customs
challenges faced humanitarian workers bringing processing). For a period, however, special rules
supplies into the country. The port was damaged were in place, partially lifting customs procedures,
and closed, so nothing could be imported by which helped speed up the entry into Haiti;
sea. The airport infrastructures were damaged however, after the customs “grace” period ended,
(passenger terminal out of order and cargo further challenges were added to the Haitian relief
facility heavily damaged); its control tower was operations.
nonfunctional for a number of hours until the U.S. Another challenge was finding a balance
military installed an emergency tower. The limited between the need for increased trucking capacity
capacity of the national airport, linked to its single and the concern to engage local transporters and
runway, resulted in a delay to absorb the amount not further damage the local economy with the
of supplies that were needed and being planned. influx of Dominican transporters. At the same time,
Moreover, this was happening during a phase that local transporters were not fully prepared to start
lacked coordination capacity to immediately direct again to execute humanitarian-community requests.
the massive onslaught of assistance that followed This also led to the extensive use of military assets
the earthquake. as a means of last resort. The already present
Thus, there were planes just hovering, circling United Nations DPKO Stabilisation Mission in Haiti
the Port-au-Prince airspace awaiting clearance (MINUSTAH) provided support, and the Haitian
to land. Once the planes were allowed to land, government provided direct assistance through its
other major problems were to obtain sufficient armies under the umbrella of the United Nations.
equipment and manpower just to unload the Massive help was received from the U.S. Army,
cargo. Warehouses were damaged. The lack of which reopened the airport with the deployment of
coordination during the first days, added to the a mobile control tower and worked hard at the port
reception of unsolicited donations, made it difficult to temporarily rehabilitate it.
to even know where to dispatch some of the arriving When cargo finally reached Port-au-Prince in
cargo. The airport remained for months the main Haiti, the next challenge was storing it in a safe
entry point, given Port-au-Prince’s port conditions, and proper way; given the amount of commodities,
but some regional harbors were still functional and the number of organizations, and the lack of
helped receive some of the incoming aid. This was structures because of earthquake damage,
useful in assisting the population relocated in the establishment of common storage facilities made
regions and assisted other affected towns such as sense. This action was led by the UN World Food
Jacmel in the south of the island. In the north of Programme in its function of Logistics Cluster
the country, the port of the second largest city, Cap- lead. It set up three different warehouse spaces,
Haitien, was also extensively utilized, together with augmented with storage tents, to store a large
Gonaives in the center. part of the incoming commodities on behalf of the
However, the bulk of the cargo was diverted to humanitarian organizations.
the Dominican Republic, which played the role of In this challenging environment where about a
hub for both air and sea shipping. Because of the thousand nongovernmental organizations (NGOs)
congestion of Haitian infrastructures—insufficient were working together, there was a critical need of
even before the earthquake—organizations were coordination and information in every sector. In the
constrained to utilize Dominican infrastructures logistics case, the Logistics Cluster WFP provided a
(port and airports) to reach the island and then constant flow of information regarding the context
transship the cargo by road to Haiti. This was done and the rules, changing almost daily, while at the
mainly through the southern frontier entry point of same time also providing services (storage and
Jimani/Malpasse, which was not ready to process transport) to the organizations that did not have
this amount of incoming commodities, especially enough internal resources.
 Logistics 573

The World Food Programme also set up the These services were offered free of charge to the
United Nations Humanitarian Air Service (UNHAS) responding humanitarian organizations.
in order to allow the movement of personnel In essence, the operation was challenging, as the
between Santo Domingo and Haiti. Within Haiti, response was mainly to be done in urban, densely
UNHAS also provided cargo helicopter services. populated areas on an island and with limited local
Common services provided also included a resources and available logistics infrastructures. A
trucking bridge for four months between the challenge for many was to find enough resources
Dominican Republic and Haiti and shipping to conduct their own operations. This is why
services between Santo Domingo, Port-au-Prince, coordination and information sharing have been
and some smaller Haitian harbors; a fleet of trucks paramount and why all types of available assets
shuttled between the two countries in order to were exploited, from NGOs to the private sector to
ensure a continuous flow of relief items. Dominican resources, and even the military.

much from the experience of private companies borders and accounting for what is coming in,
in term of techniques, systems, and accounting. countries can also know which commodities are
available for the emergency response. Sometimes
Other Logistics Considerations during large emergencies humanitarian agen-
There are several other logistics considerations, cies also support this tracking effort through the
including customs and cargo tracking, pre-posi- deployment of specific tracking systems that help
tioning stocks, use of military or civil defense provide an overview of the commodities available
assets, efficiency of response, passenger transport, in a country during an emergency response. One
humanitarian cargo and commodity-specific sup- such system is the LSS/Suma, initially developed
ply chains, and the logistics cluster. by the World Health Organization (WHO) only
for medicines and later used also for other types
Customs and cargo tracking: In addition to trans- of commodities with the aim of avoiding supply
port and storage, logistics deals with other issues gaps and improve planning and transparency.
necessary to guarantee a smooth delivery process. With all its implications, the customs clearance
One of the most important phases is customs process could entail delays in deliveries if not pre-
clearance, which in some cases might slow down pared and executed on time.
the shipments and impact delivery of aid.
Customs clearance is the process that defines Pre-positioning stocks: Good planning of logistics
the set of actions necessary to legally enter mer- actions, taking into consideration the processes
chandise into a country; this might include pay- identified above, is therefore paramount in order
ment of fees, provision of specific certificates for to have the right quantity of the necessary items
some types of commodities such as medicines and available on time where necessary for the needi-
food, and compliance with specific country rules. est beneficiaries of the humanitarian emergency
Rules vary significantly from country to country. relief operations. To be ready to deliver necessary
Often, some rules are waived during emergen- aid at any moment, humanitarian organizations
cies, and international aid is often exempted from sometimes pre-position assets and commodities in
duties, but it is always necessary to demonstrate to strategic locations before emergencies can affect
national authorities that the cargo is humanitar- their distribution. For instance, to avoid the con-
ian aid in order to avoid commercial cargo enter- sequences of a road blockage during the rainy sea-
ing as humanitarian aid. Customs fees are one of son in a region likely to be periodically cut off by
the main sources of revenue for poor and mid- rains, or if political turmoil is expected to affect
dle-income countries, so customs fees exemption accessibility to some cities, relief organizations can
requests are analyzed carefully. By controlling the pre-position commodities in advance of a crisis.
574 Logistics

Some large humanitarian organizations have whole spectrum of products (food and nonfood
adopted this strategy not only at the country level items) needed to be delivered to assist affected
but also at the global level, with emergency stocks populations in different fields of intervention,
ready to be deployed for pre-positioning in strate- such as health, water and sanitation, and shelter.
gic locations around the globe. These products differ in size, handling, and
fragility, and each sector has its logistics needs to
Use of military or civil defense assets: Humani- be taken into consideration when planning opera-
tarian organizations extensively use private-sec- tions. Special care is normally given to medical
tor resources that are contracted to move items items; medical logistics is a specialized branch of
where needed. However, deployment by their humanitarian logistics. For instance, setting up a
own means is necessary, especially for responses cold chain delivery system for vaccines in conflict
in conflict areas where an organization’s visibil- zones or during natural disaster response and at
ity can offer protection to the convoys. During the same time respecting medical safety standards
natural disasters, deployment via their own trans- represents a challenge for logisticians that needs
port means that delivery can be faster and allow to be faced and won.
humanitarian organizations to be in the first line.
When commercial or their own means are not Logistics cluster: As with the other sectors of
available, it is sometimes necessary to make use humanitarian interventions (e.g., WASH, health,
of military logistics. This is done more easily dur- food security, camp coordination camp manage-
ing natural disaster responses; during an armed ment, education, agriculture), logistics has an
conflict, collaboration can difficult to establish extreme need of coordinating its action and shar-
because the humanitarian principle of impartial- ing logistics-related information. The logistics clus-
ity could be compromised. ter is the entity responsible for this kind of support
during emergencies when the cluster approach is
Efficiency of logistics response: At the onset of an endorsed by the humanitarian coordinator. The
emergency, humanitarian logistics responses aim logistics cluster lead agency is the World Food Pro-
to deliver the needed commodities in the short- gramme (WFP), which on behalf of the humanitar-
est time. During these phases, efficacy is the main ian community provides the needed coordination
concern, even though the cost efficiency will be and information sharing, including cartography.
negatively affected. In fact, logistics action might In case of extreme needs, where recognized gaps
be expensive and use costly assets such as aircraft are present, the cluster lead agency for logistics, the
and helicopters. The trade-off between efficacy WFP, on top of the coordination and information-
and efficiency is achieved by prioritizing life-sav- sharing role, has the mandate to cover those gaps
ing interventions over cost efficiency. with the provision of common services.

Passenger transport: Traditionally, the main oper- Consequences of Logistics Failure

ational field of logistics is commodities transporta- The failure of logistics planning or simply bad
tion, even though it might, during some emergency planning and delay could result not only in the
responses, provide transportation to humanitarian waste of resources and efficiency, but ultimately
workers needed for the implementation of the relief in the loss of human life. Coordination and pri-
programs. For example, the interagency United oritization of logistics activities should always be
Nations Humanitarian Air Service (UNHAS) is taken into account by decision makers during the
deployed by the United Nations World Food Pro- first phases of an emergency. A logistics setup is
gramme on behalf of the humanitarian commu- often drawn during the initial days of a response;
nity. UNHAS transports both cargo and passen- the initial decisions are then paramount for ensur-
gers to the affected areas, enabling humanitarian ing that an adequate supply chain is able to reach
workers to be deployed quickly and safely. the population in need.
Failure to do so could endanger the survival
Humanitarian cargo and commodity-specific of a large part of the affected population. Good
supply chains: “Humanitarian cargo” defines the planning, resource mobilization, and advocacy
 Looting 575

with donors and decision makers on logistics Sheu, Jiuh-biing. “Challenges of Emergency Logistics
could mitigate risks and ensure proper logistics Management: Special Issue.” Transportation
support to relief operations. Research, v.43/6 (2007).
United Nation Office for the Coordination of
Wider Crisis Management Process Humanitarian Affairs. http://www.unocha.org
In the frame of crisis management as a whole— (Accessed September 2012).
not just response, which remains the primary World Food Programme. “Logistics Cluster.” http://
logistics challenge—logistics considerations www.wfp.org/our-work/our-competences/logistics
should be especially taken into account during /logistics-cluster (Accessed July 2012).
the contingency preparedness phase. If emer-
gency response plans for particular at-risk areas
or countries are drafted, a logistics setup of the
area should be analyzed, with plans discussed
and agreed upon between local authorities and Looting
organizations already working in the crisis area
in order to grant rapid deployment of the emer- Looting is the very public theft of private prop-
gency supply chain in case of emergency. Lessons erty, usually when the owner is unable to protect
learned should be also compiled after each logis- it and normal policing functions are ineffective.
tics relief operation in order to facilitate better On occasion, warfare, civil disturbances, and nat-
planning of future responses in similar contexts. ural disasters have all led to the breakdown of law
Logistics planning allows tangible help reach the and order to the extent that looting has become
affected beneficiaries in the crisis area; therefore, a risk or a reality. Looters sometimes operate sin-
it remains a fundamental discipline of crisis man- gly, but more often they act in response to abrupt
agement, and the issues related to it should always changes in social norms caused by interaction
be given the proper emphasis during the planning between people who perceive an opportunity for
and response phases. gain or uninhibited acts of vandalism. The risk
that looting will break out is apparently greater at
Lucia Velotti night (under the cover of darkness) and in areas
University of Delaware of socioeconomic deprivation, where some of the
Edmondo Perrone inhabitants are disaffected, are alienated, or do
World Food Program not feel that they have a very strong stake in the
normal workings of society.
See Also: Border Disputes; Cluster; Commodity Although looting is much feared, it is actually
Shortages; Contingency Planning; Coordination; often one of the “myths” of disaster, albeit a very
Coping Capacity and Response Capability; Critical contentious one. It has been misidentified or greatly
Infrastructure; Earthquakes; Nongovernmental exaggerated in many emergencies. Moreover, it is
Organizations; Office for the Coordination of often expected to be a strong element of situations
Humanitarian Affairs (OCHA), UN; Peacekeeping; in which, in reality, it is unlikely to be a significant
Preparedness; Response; Transportation Security. factor. It is usually treated as symptomatic of anar-
chy, the destructive side of the human character,
Further Readings and the degradation or spontaneous abandonment
Inter-Agency Standard Committee. http://www.hum of social norms. Although looting is refreshingly
anitarianinfo.org/iasc (Accessed September 2012). absent from many disasters, or at least is scarcely
International Federation of Red Cross and Red important in comparison with positive behavior, it
Crescent Societies. “Logistics Preparedness.” http:// remains a factor in some events and, after years of
www.ifrc.org/en/what-we-do/disaster-management study, it still demands further clarification.
/preparing-for-disaster/disaster-preparedness-tools
/logistics-preparedness (Accessed July 2012). Early Sociological Models of Looting
Logistics Cluster. http://www.logcluster.org (Accessed In 1968, sociologists Enrico (Henry) Quaran-
September 2012). telli and Russell Dynes recognized that there is
576 Looting

a difference between the causes and patterns of

looting in disasters and civil disturbances. Over
the following two years, they elaborated models
of looting with particular reference to situations
in which it has been prevalent, most of which
were riots and few of which were natural disas-
ters. Indeed, with regard to the latter, there prob-
ably have to be specific preconditions of instabil-
ity in the social fabric for looting to be a factor at
all. Thus, after the 1999 earthquake in the city of
Armenia, Colombia, residents looted food stores
and supermarkets. This was both a protest at the
inefficiency of the Colombian government’s relief
effort and a move to satisfy a basic need for suste-
nance. It was not a set of random acts of vandal-
ism. Moreover, it probably stemmed from preex-
isting instabilities in society, such as lack of faith
in the role of government as the true and respon-
sive embodiment of the common will. Similarly,
although looting was reported to be widespread
after Hurricane Katrina struck New Orleans in
late August 2005, a significant proportion of it
turned out to be foraging for basic supplies of
food and water when nothing was forthcoming
from relief agencies.
According to Quarantelli and Dynes, looting in A doorway of a jewelry shop in L’Aquila, central Italy, lies
disasters tends to be stealthy (although it clearly smashed on the street from looters after the April 6, 2009,
was nothing of the kind in the Colombian city of earthquake. As rescuers dug through the rubble, other looters
Armenia). In civil disturbances, it tends to follow were caught raiding abandoned homes nearby.
a more open and complex model. In this, the first
stage is marked by attacks on symbols of author-
ity, and there then follows the mass redefinition
of property rights. The looting that occurs after her propensity to engage in looting. Research in
this is a collective, participatory action in which the 1990s even went so far as to suggest that loot-
pillaging tends to be more important than acqui- ers tend to be relatively well educated and adept
sition of goods: property norms are in the process at communication. Moreover, there appeared to
of being redefined. be no discernible differences in the average pro-
Further work by Dynes and Quarantelli broad- files of people who do and do not take part in
ened the model of looting into three stages, in rioting and looting. However, an analysis of
which the first is largely symbolic, the second is social conditions associated with the widespread
systematic and organized, and the third is a free- looting in English cities during the summer of
for-all. The middle stage involves cooperation 2011 showed that a distinct correlation existed
between those elements of society who wish to between areas of socioeconomic deprivation and
profit from the anarchy by organizing theft and places where looting was most severe. It appears
those who are doing it for the thrill. In the third that some people are simply drawn into looting
stage, plundering becomes an acceptable, if tran- by social pressures, imitative behavior, the desire
sient, social norm. to transgress, or a thirst for novelty, but people
Interestingly, Quarantelli and Dynes found that who by poverty or deprivation are disconnected
there is no simple correlation between the level of from mainstream society may feel that they have
poverty or disadvantage of a person and his or less to lose if they engage in looting.
 Looting 577

Developments in Criminology riots or looting cannot be predicted from levels of

Research conducted in the 1990s by sociologists social deprivation. Hence, it is not easy to apply
and criminologists came up with new models. sociological analysis to situations dominated by
In a rather complex manner, these broke down social tension.
the context of riots into the physical situation,
the tactical conditions, any pre-history of similar Management of Looting
incidents, prevailing social relationships, the local Police forces tend to use four strategies to dis-
culture of norms and expectations, the political courage looting. Where possible, an area at risk
context of previous conflict, and the structural dis- can be declared off limits and cordoned, with
tribution of political power. New use was made of the presence of uniformed officers at roadblocks
Philip Zimbardo’s theory of “deindividuation,” in and surveillance within the cordon. If this can-
which individual responsibility for one’s actions not be achieved, actual or potential looters can
disappears amid impulsive mass behavior results be contained, detained, or dispersed. If there is a
from crowd dynamics, which negate people’s self- large number of people involved, this may require
control. It was noted that arousal is an impor- riot police with protective gear and the ability to
tant precondition for deindividuation to emerge. manage significant numbers of arrests. Surveil-
Whereas deindividuation is characterized by lance camera work and identification of ring-
uninhibited behavior, strategic interaction theory leaders can help focus the official response and
suggests that a person’s payoffs depend on what provide evidence for subsequent prosecution. At
other people do at the scene, which can change a the same time, efforts must be made to protect
person’s estimate of the costs and benefits of par- members of the other emergency services, such as
ticipating in a looting spree. In dynamic terms, firefighters and ambulance personnel, to ensure
emergent norm theory suggests that crowds adapt that they do not become the victims of violence
quickly to changing circumstances, and their and civil unrest. Right or wrong, police tactics
members conform to the developing trend of during riots and episodes of looting come in for
mass behavior. The occurrence of imitative riots heavy criticism from the public, especially where
and looting has been seen as a communication crisis situations are politically charged or sensi-
process termed chronic contagion. tive. However, the victims of looting are often the
In all of this research, there are several points inhabitants of the zones that generate the unrest,
to bear in mind. The first is that natural disasters which are commonly areas of relative or abso-
and civil disturbances such as riots tend not to lute social deprivation. The destruction caused
generate the same kinds and scales of looting— by looting and the heavy-handed official response
indeed, the former might not generate any at all, thus tend to reinforce the status quo rather than
and what occurs tends to be overshadowed by, lead to social transformation.
or even (paradoxically) linked to, Alan Barton’s
“therapeutic community,” society in disaster as Hard Lessons From the Field
a force for solidarity and consensus on healthy Rioting and looting occurred widely through-
social norms. The second is that theories of riot- out England in early August 2011. The official
ing and looting can be divided into those based response was seen by the general (non-rioting)
on association and communication and those public to be inadequate and to have let a bad
that require dissociation of the participants and situation degenerate into the uncontrolled pro-
a greater level of spontaneity. The third point liferation of violence and anarchy. Suddenly, the
is that looting can be purposeful or aimless. In underclass shed their mantle of invisibility and
disasters and riots that are a response to specific rose up in arms, as they had done in Detroit and
grievances, the purposeful kind dominates, that the Watts neighborhood of Los Angeles. In terms
is, looters want to make a point to the authori- of emergency management, there may have been
ties. Aimless looting confirms research that sug- a failure to create adequate planning scenarios
gests that the circumstances and dynamics of riots based on similar events in the past and in other
are not linearly related. In synthesis, it seems that places, notably in Paris in October and Novem-
the likelihood, occurrence, and severity of either ber 2005. Similar inadequacies can be seen in the
578 Losses, Quantitative Versus Qualitative

response to the bombing and shooting spree car- Further Readings

ried out in Norway on July 22, 2011, by Anders Allen, Nick and Nick Squires. “Italian Earthquake:
Behring Breivik. Death Toll Rises to 207.” The Telegraph (April 7,
It is important not to overstate the effects 2009). http://www.telegraph.co.uk/news/world
of the English case. In the Detroit race riots of news/europe/italy/5117857/Italian-earthquake
1967, some 2,700 shops were looted, far more -Death-toll-rises-to-207.html (Accessed August
than in England in 2011. However, the images 2012).
and accounts of immoral and criminal behavior Barton, Alan H. Communities in Disaster: A
in the latter case were striking. Moreover, the Sociological Analysis of Collective Stress
dilemmas of crowd control were all too apparent Situations. New York: Doubleday, 1970.
in the operational shortcomings of the forces of Dynes, Russell R. and Enrico L. Quarantelli. “What
order, another common aspect of looting sprees. Looting in Civil Disturbances Really Means.”
Despite the spontaneous appeal of looting to a Trans-Action, v.5 (1968).
wide social spectrum, it is clearly more likely in Forsyth, Donelson R. Group Dynamics. 2nd ed.
places where the social compact has been replaced Pacific Grove, CA: Brooks-Cole, 1990.
with a widening gap in wealth and opportunities Mitchell, Jerry T., et al. “Catastrophe in Reel Life
between successful people and those at the bot- Versus Real Life: Perpetuating Disaster Myth
tom of the pyramid. Through Hollywood Films.” International Journal
of Mass Emergencies and Disasters, v.18 (2000).
Looting and the Therapeutic Community Quarantelli, Enrico L. and Russell R. Dynes. “Looting
The social study of disaster has been predicated for in Civil Disorders: An Index of Social Change.”
decades on the assumption, indeed the affirmation, American Behavioral Scientist, v.5 (1968).
of the “therapeutic community,” in which destruc- Quarantelli, Enrico L. and Russell R. Dynes.
tive individualism is replaced, or at least overshad- “Property Norms and Looting: Their Patterns in
owed, by a consensus-based form of solidarity and Community Crises.” Phylon, v.31 (1970).
self-sacrifice for the common good. Models based Zimbardo, Philip G. “The Human Choice:
on the breakdown of society have been labeled Individuation, Reason, and Order Versus
“Hollywood myths.” In the vast majority of cases, Deindividuation, Impulse, and Chaos.” In
the social fabric is strong enough not to break Nebraska Symposium on Motivation, W. J. Arnold
down as a result of social unrest (unless there are and D. Levine, eds. Vol. 17. Lincoln: University of
deep political reasons why revolution is possible). Nebraska Press, 1969.
However, it is as well to remember that society has
its darker side. The moral consensus generated by
floods and earthquakes, for example, is not neces-
sarily as deep as social scientists have tended to
assume. Criminal activity does not cease because Losses, Quantitative
there is a disaster, a crisis, or the emergence of a
“therapeutic community”: indeed, in the long Versus Qualitative
run, criminals tend to see disasters as a source of
opportunity for their activities. The truth of the Crises, irrespective of the actual underlying causal
matter can only be arrived at if we pay more atten- agent, impact society by causing deaths, injuries,
tion to the context of events. and fiscal damage to property, crops, and ecosys-
tems, and a variety of other less obvious impacts
David Alexander to humans and the human use system. Although it
Global Risk Forum, Davos is extremely difficult to count the total value of all
things impacted by a particular crisis event because
See Also: Buildings; Business Continuity Planning; of issues related to insured versus uninsured losses,
Groupthink; News Media; Normalization of direct versus indirect damages, and victim primacy,
Deviance; Panic, Nature and Conditions of; Poverty; there are means by which society can evaluate
Religious Violence; Riots; Sabotage. the totality of an event’s impact on a place or a
 Losses, Quantitative Versus Qualitative 579

population—from both qualitative (empirical) and Here, an accounting of replacement costs can sim-
quantitative (abstractive) perspectives. ply be used as a surrogate value of direct loss from
Advanced counting, measuring, and valua- a disaster causing catastrophic damage. The term
tion techniques are in place to appraise monetary indirect losses is used more freely to describe losses
impact, job loss, slowdowns in tourism, and even to the human use system that are not immediately
ecosystem decline related to harvesting of sea- realized and accounted for under the direct loss
food, plants, or animal husbandry—to name a category. Included here are concepts such as jobs
few impacts of crisis. Nearly impossible to capture and revenue loss from business closures or delayed
in any way that can be accurately or adequately recovery; destruction of landmarks and cultural
counted, summed up, or absolutely accounted heritage locations; loss of family heirlooms, pho-
for in a timely manner are a host of crisis losses tos, or documents that are irreplaceable; and more
related to incidents of political, financial, or repu- subtle impacts to health and well-being such as
tational crisis that can best be understood using post-event trauma or stress.
conjectural or notional techniques. The true loss Empirically based quantitative methods and
or impact associated with a crisis in any of these strategies are in place to account for most histori-
examples may not be immediately apparent or cal losses (both direct and indirect) from crisis
may never amount to any measurable outcome. events. However, a whole host of losses is either
Reputational crisis is often the most difficult of underrepresented or wholly overlooked by uti-
these because although an incident is seemingly lizing only quantitative approaches. Additional
insignificant from a financial standpoint, it could strategies, techniques, and methods are needed to
have a devastating, yet not completely measurable, fully account for the totality of losses from any
impact on an entity’s reputation. Because crisis given event. For example, although society may
loss can take on a variety of meanings—all depen- be able to partially determine the value of a life in
dent on point of view—it is important to define terms of lost wages through the use of cost-benefit
and describe the procedures and methods in place analysis, it does not capture the true and com-
for capturing and measuring these losses. Gener- plete value of an individual, nor does it account
ally, human interest in losses is intrinsically woven for psychosocial impacts that may lead to losses
into the larger human use system, namely, if some- in the future. Unfortunately, lives are still being
thing is damaged to an extent that it impacts lives lost within the context of crisis, but generally the
and livelihoods, the “loss” is more tangible than number of lives lost annually to crises has been
something else that may have been damaged but steadily declining over the past century. Con-
cannot be quantified, such as the loss of a species versely, damage to property and crops as well as
of native plant, the loss of a view of the landscape, massive population displacements continue to be
the loss of a human life, or wear and tear of an an ever-increasing result of crises across the globe.
individual’s body that is not immediately appar-
ent or identifiable. Beyond a simple count of these Losses From the Quantitative Perspective
“invaluable” asset impacts, we have very limited Numerous entities around the world track crisis
means by which to calculate these types of soci- losses using many different measures, metrics, and
etal, political, ecologic, economic, physiologic, or spatial scales (see Table 1). In some instances, losses
reputational losses across the board. The area of are recorded at the country scale of geography and
crisis loss metrics, methods, and measurement has may include such data as injuries, fatalities, evacu-
continued the conceptualization and use of quan- ations, and displaced populations. Data collected
tification and qualification techniques. Lessons at this scale are useful for comparing one country’s
learned and processes used in crisis loss account- pattern of loss to that of another county. Other
ing practices also provide an accountability start- institutions gather much more highly detailed
ing point for many other crisis event categories. information at much smaller scales and for much
shorter time frames. Unfortunately, along with the
Measuring and Recording Crisis Losses creation of each crisis loss data set is a set of inher-
Direct crisis losses generally include impacts to pub- ent or incurrent biases regarding the completeness
lic infrastructure, buildings, crops, and machinery. and suitability of loss data. Six major disaster
580 Losses, Quantitative Versus Qualitative

loss data set biases that systematically introduce and at different scales; (3) hazard bias: that every
skew into interpretations of loss information have disaster/hazard type is represented within known
been exposed and explored by the research com- and accessible loss estimations; (4) systematic bias:
munity. Included in these are (1) accounting bias: that all loss data sets contain the same type of loss
that all loss types (direct and indirect, insured and data; (5) temporal bias: that losses are comparable
uninsured, injuries and deaths, displacements and from one time period to another; and (6) threshold
relocations) are included; (2) geographic bias: bias: that all losses are counted in every data set,
that hazard losses are comparable between places regardless of event size, intensity, or magnitude.

Table 1 National and global loss databases, providers, and URLs

Loss database Database provider and URL
Asian Disaster Reduction Asian Disaster Reduction Center: www.glidenumber.net
Center
Hot spots Center for Hazards Risk Research: http://www.ldeo.columbia.edu/chrr/research/hotspots
SHELDUS USC Hazards and Vulnerability Research Institute: www.sheldus.org
EM-DAT Centre for Research on the Epidemiology of Disaster: http://www.emdat.be
Global Active Archive Dartmouth Flood Observatory, Dartmouth College: http://www.dartmouth.edu/~floods/Data
of Large Flood Events Products/ExtremeFloods/index.html
Disaster Database Project Walter G. Green, University of Richmond: http://learning.richmond.edu/disaster/index.cfm
NatCat SERVICE Munich Re: http://www.munichre.com/en/reinsurance/business/non-life/georisks/natcatservice
/default.aspx
NATHAN Munich Re: http://www.munichre.com/de/reinsurance/business/non-life/georisks/nathan
/default.aspx
Extreme Weather Sourcebook National Center for Atmospheric Research: http://www.sip.ucar.edu/sourcebook
PERI presidential disaster Public Entity Risk Institute and University of Delaware: http://www.peripresdecusa.org/main
declarations frame.htm
Canadian disaster database The Office of Critical Infrastructure Protection and Emergency Preparedness (OCIPEP): http://
www.publicsafety.gc.ca/prg/em/cdd/index-eng.aspx
Earthquake database U.S. Geological Survey: http://earthquake.usgs.gov/earthquakes/eqarchives/epic and http://
earthquake.usgs.gov/earthquakes/eqarchives
Storm events database U.S. National Climatic Data Center: http://www4.ncdc.noaa.gov/cgi-win/wwcgi.dll?wwEvent
~Storm
Storm data U.S. National Climatic Data Center: http://www.ncdc.noaa.gov/oa/climate/sd
Severe weather database U.S. National Climatic Data Center: http://www.spc.noaa.gov/wcm
files
Policy and claim statistics for U.S. National Flood Insurance Program: http://www.fema.gov/business/nfip/statistics/pcstat
flood insurance .shtm
Historical tsunami database U.S. National Geophysical Data Center: http://www.ngdc.noaa.gov/hazard/tsu_db.shtml
The Significant Earthquake U.S. National Geophysical Data Center: http://www.ngdc.noaa.gov/nndc/struts/form?t=101
Database 650&s=1&d=1
The Significant Volcanic U.S. National Geophysical Data Center: http://www.ngdc.noaa.gov/nndc/servlet/ShowDatasets
Eruption Database ?dataset=102557&search_look=50&display_look=50
Annual summaries of North National Hurricane Center: http://www.aoml.noaa.gov/general/lib/lib1/nhclib/mwreviews
Atlantic storms /mwreviews.html#top
Natural hazard statistics National Weather Service: http://www.nws.noaa.gov/om/hazstats.shtml
 Losses, Quantitative Versus Qualitative 581

Use of standardized, centralized, and codified highlights a few facts about the quality and spatial
data sets does provide society with some means of nature of this “best available” and mainly quan-
counting and measuring losses across space, time, titative data. Many of the data currently collected
and causal agent, but a glance at Table 1 also are focused not at the global scale but instead

Case Study: Losses Associated With the 2010 Tohoku Earthquake and Tsunami

A prime example of the difference between trading, manufacturing, and business losses can
quantitative and qualitative losses in regard to be tallied at the end of the month, quarter, or year
disasters and crisis is the true and complete and attributed to system shocks such as those felt
impact of the 2010 Japanese earthquake that by the Tohoku earthquake and tsunami. However,
quickly escalated into an unimaginable cascading this disaster does provide the basis from which to
catastrophe, including tsunami, nuclear release, discuss in greater detail one type of loss that is not
sickness, homelessness, job loss, and environmental quantifiable using hard data but can be more easily
decimation. This example provides a basis for understood from a qualitative perspective.
exploring both quantitative and qualitative aspects A seeming stretch of the facts, yet an undeniable
of disaster loss accounting where different truth, is that anyone in the market for an Apple
definitions of direct and indirect loss play a crucial iPad 2 during the time immediately following the
role in deciphering lists, counts, stories, and earthquake and tsunami suffered a disaster-related
reports. Additionally, this disaster brings to light the loss. Although this loss is not calculable using
importance of understanding what is considered any known equations, the timeline, trajectory, and
a hazard-related loss and how this consideration broad human-related impacts of this shortage will
confounds a clear-cut arrival at a precise loss figure. be hotly debated for years in both economics and
The 2011 earthquake off the Pacific coast of medical classrooms for years to come. Although
Japan was a magnitude 9.0 undersea megathrust loss of production time for the manufacture of key
earthquake that shifted Japan nearly 2 meters and components required in building the tablet, missed
altered the general rotation of the earth as a whole. transportation costs, and even loss of productivity by
This compound disaster created immeasurable the end user who did not receive the “product” on
impacts the world over. Counts of immediate losses time can be calculated using known equations, there
from the earthquake and subsequent 40-meter are a host of other insidious earthquake and tsunami
tsunami include nearly 16,000 deaths, more than impacts that will remain forever uncountable and
27,000 injuries, damage or destruction of more empirically unknowable. These losses include
than 1 million buildings, and estimates of displaced second-, third-, and fourth-level victim impacts—
populations greater than 300,000. Subsequent myriad psychosocial impacts related to disaster. This
nuclear reactor leaks, loss of manufacturing, and notion of allostatic load, or the wear and tear on
transportation, and labor shortages, coupled with the body resulting from undue stress or insufficient
immeasurable (to date) environmental impacts, management of stress, creates a host of impacts
have created global impact ripples that are far outside the immediate earthquake and tsunami
responsible for many less easily measured losses impact area that are insidious, not easily tracked,
far from the epicenter of the earthquake. This type and possibly never combined in such a way as to
of cascading effect is not uncommon with large- ever be traced back to the true causal agent. These
scale disasters but does pose a problem for those qualitative impacts from disasters continue to go
interested in a purely empirical accounting of unnoticed across a much broader area and are often
the impacts of disaster. Buildings, infrastructure, not be measurable until they reach a critical toxic
fatalities, and injuries are among the more readily mass, yet they represent a very real and uniquely
accounted for disaster impacts. Additionally, global unaccountable aspect of disaster losses.
582 Losses, Quantitative Versus Qualitative

tuned in to only those disasters occurring in more Assessing loss from a qualitative perspective
developed areas of the world. In fact, only those typically employs a more contextual approach
data sets that are created automatically using where the root causes of crisis are often explored.
monitors, sensors, or other remote data collection This necessitates an in-depth analysis of the
devices (U.S. Geological Survey [USGS] earth- social, political, economic, and health charac-
quake monitors) have spatial coverage across the teristics of a community in which attributes of
globe. Additionally confounding is the fact that impacted individuals and places are analyzed in
most of these data sets focus on dollar losses as context with the physical event that intersected
the sole means for understanding impacts. This with society and resulted in a disaster. Because of
is problematic because in many cases, develop- the detail required to perform this type of research
ing countries have lower economic losses and and the unique circumstances that arise in various
higher human impact related to disasters, while communities, findings from qualitative studies of
the opposite is generally true for developed coun- disaster losses are often difficult to generalize or
tries. Data sets that only focus on the quantity of aggregate and are nearly impossible to extend to
losses at the expense of misrepresenting or leaving other places. Examples of the focus of qualita-
out entirely quality of losses incurred from disas- tive loss studies include examining the value of
ter can be misleading and not truly representative a specific scenic view damaged or destroyed by
of the reality of crisis. Furthermore, data quality disaster, the stigmatization of a vacation locale
and the biases discussed above are inherent and because of sensationalized news coverage, and
potentially rampant across the entire list of data quality of life or livability constructs such as soci-
sets here and any other disaster-related loss data etal or individual well-being. Although indexes
in existence. have been created and numbers have been applied
to these concepts, they cannot be adequately or
Losses From the Qualitative Perspective accurately measured using scales, composites, or
Capturing the true impact of crisis events, includ- hard numbers. Rather, insight and understanding
ing an accounting of all damages and an accu- related to these less tangible disaster effects can
rate number of people who were lost, should be achieved by cataloging anecdotal references,
not be a difficult exercise—especially in most victim perceptions, and other tangential informa-
developed countries, where routine collection of tion. Such information provides a deeper under-
population and housing information takes place. standing of disaster impacts at the neighborhood
Although the visible impacts such as damages to or place level but is often neither applicable at
structures and the extended (indirect) impacts are a larger scale nor transferable to other similar
more routinely and systematically understood smaller areas within a disaster impact zone.
using qualitative approaches, many aspects of
loss are often less fully understood. Death tolls
from most major disaster events tend to follow a Christopher Todd Emrich
curve over time wherein initial reports from the University of South Carolina
field indicate low fatalities; followed by a sharp Kevin Borden
increase in reported, suspected, and identified Independent Scholar
mortality statistics; and finally by a moderation
of the total deaths where unaccounted-for per- See Also: Business Impact Analysis; Cascading Crisis;
sons slowly turn up in shelters far away or are Catastrophe, Definition of; Critical Infrastructure;
otherwise removed from the list of those missing Damage Assessment; Earthquakes; EM-DAT;
and presumed dead. Although quantifiable, this Evacuation; Floods; Hurricanes, Typhoons, and
trend in deaths is often an incomplete account- Cyclones; Insurance; NatCatSERVICE (Munich Re);
ing of the total impact of the event itself—one in Reinsurance; Reputational Risk; Sigma (Swiss Re).
need of additional (often immeasurable) existen-
tial information, including health impacts that are Further Readings
not immediate and perhaps never fully revealed Athearn, James L. Risk and Insurance. Des Moines,
within the common “recovery” timeline. IA: Meredith Corporation, 1969.
 Losses, Quantitative Versus Qualitative 583

Beckman, L. “An Annotated Bibliography of Natural Hazards Loss Data.” Bulletin of the American
Hazard Loss Dataset.” Boulder: University of Meteorological Society, v.90/6 (2009).
Colorado Natural Hazard Center, 2009. http:// Gall, M., K. A. Borden, C. T. Emrich, and S. L.
www.colorado.edu/hazards/publications/hazloss Cutter. “The Unsustainable Trend of Natural
/loss_catalog.pdf (Accessed March 2012). Hazard Losses in the United States.” Sustainability,
Cutter, S. L., M. Gall, and C. T. Emrich. “Toward v.3 (2011).
a Comprehensive Loss Inventory of Weather McEwen, B. S. “Stress, Adaptation, and Disease:
and Climate Hazards.” In Climate Extremes Allostatis and Allostatic Load.” Annals of the New
and Society, H. F. Díaz and R. J. Murnane, eds. York Academy of Sciences, v.840 (1998).
Cambridge: Cambridge University Press, 2008. Olsen, Lise. “Five Years After Katrina, Storm’s Death
Gall, M., K. Borden, and S. L. Cutter. “When Toll Remains a Mystery: Who Died in Hurricane
Do Losses Count? Six Fallacies of Natural Katrina?” Houston Chronicle (August 30, 2010).
 M
Malaria Transmission and Incubation
Malaria is principally transmitted by bites from
Malaria is an infectious disease that requires a female Anopheles mosquitoes. There are more
parasite, a vector, and a host. In humans (hosts), than 480 species of Anopheles, and every conti-
malaria is a vector-borne protozoal infection nent, except Antarctica, has at least one species.
caused by Plasmodium parasites and transmit- Approximately 100 of the Anopheles mosquitoes
ted by female Anopheles mosquitoes (vector). In are able to transmit malaria, but only about 40
2010, worldwide cases of malaria were estimated commonly do. Anopheles gambiae, which lives
at 250 million, with around a million deaths. mostly in sub-Saharan Africa, is the best known
Africa accounts for over 90 percent of the mortal- mosquito that transmits the parasite P. falci-
ity. Malaria is endemic in parts of Africa, Asia, parum, which causes severe illness in humans.
the Americas (Central and South), and specific Anopheles species need a blood meal from a
Caribbean islands. vertebrate to nourish their offspring. The preferred
meal is from humans (anthropophily) or animals
Classification (zoophily). Anopheles mosquitoes that are anthro-
The Centers for Disease Control and Preven- pophilic, such as A. gambiae and A. funestus, are
tion (CDC) classifies malaria as a biosafety level better able to transmit the malaria parasites from
three—it is considered a serious or potentially human to human. Anopheles mosquitoes also feed
deadly disease requiring specific safety equip- indoors (endophagic) and at night (nocturnal)
ment and procedures. Malaria is listed as ICD-9 between 11 p.m. and 2 a.m., with peak feeding
084. Malaria is caused by five Plasmodium spe- time being around midnight. Because the vector is
cies, which include Plasmodium falciparum, Plas- a mosquito, the transmission is contingent on con-
modium vivax, Plasmodium malariae, Plasmo- ditions being favorable for the mosquito, which
dium ovale, and Plasmodium knowlesi (monkey are adequate rainfall, temperature, and humidity.
malaria, rare in humans). Plasmodium falciparum Transmission of the malaria parasite from the
is the most severe and lethal of the species, while mosquito (vector) to human (host) and vice versa
Plasmodium vivax, Plasmodium malariae, and is necessary for the complicated life cycle of the
Plasmodium ovale cause mild disease and rarely parasite. All five Plasmodium species have a sim-
death. The most common species are P. falciparum ilar life cycle, with slight variation. For example,
and P. vivax. an infected female Anopheles mosquito injects

585
586 Malaria

Trained fumigators prepare to spray for mosquitoes house-to-house in Zanzibar in Tanzania, July 9, 2006. The campaign to control
malaria, which included the distribution of long-lasting, insecticide-treated bed nets, continued into 2007. After the treatment, data
gathered from health facility laboratories and pediatric wards showed a 95 percent reduction in malaria infections throughout the
country for children under 2 years of age. A community survey in May 2007 found no malaria cases among pregnant Zanzibari women.

Plasmodium sp. sporozoites into a human while male and female gametes. These gametes com-
feeding on them, which travel to the liver, attack bine into diploid zygotes and develop into ooki-
liver cells, undergo asexual reproduction, and netes. The ookinetes embed into the midgut of
develop into schizonts. These schizonts mature the mosquito and become oocytes and produce
after about 5 to 15 days and release thousands thousands of sporozoites; after 8 to 15 days,
of merozoites, which exit the liver and enter the they mature and rupture, releasing the Plasmo-
bloodstream. The merozoites attack red blood dium sp. sporozoites into her body cavity, where
cells (RBCs) and undergo a second asexual repro- they travel to her salivary glands. The female
duction stage, and after maturing, the infected mosquito can inject into a human or restart the
RBCs (after 1–3 days) rupture repeatedly, causing parasites’ life cycle.
more merozoites to be released into the blood- There are three other modes of transmission
stream, which causes another asexual reproduc- for malaria: congenital (i.e., the parasitized RBCs
tion and multiplication. Some of the merozoites pass across the placenta in utero or cross during
discontinue replicating and develop into gameto- labor), transfusion, and infected needle. Con-
cytes (i.e., sexual forms [male and female] of the genital malaria is more common during a first
parasite) and circulate in the bloodstream. When pregnancy. Transfusion malaria occurs when an
a mosquito feeds on an infected human, it takes infected donor’s blood is transfused to another
in the blood meal (needed for reproduction) and person. It is difficult to identify a malaria infec-
the gametocytes. The gametocytes travel to the tion in blood, and as a result, it is one of the
mosquito gut, where the human blood cells rup- most common transfusion-transmitted infec-
ture, releasing the gametocytes, and they become tions. Infected needle malaria occurs by accidents
 Malaria 587

(needle stick) and by reusing needles, such as by mortality being those younger than 2 years old),
health care staff or by IV drug users. pregnant women, people with HIV/AIDS, and
The incubation period is from a sporozoite nonimmune international travelers.
infection to appearance of symptoms. The incu-
bation period varies, based on the infective para- Diagnosis and Treatment
site, such as P. falciparum, 9 to 14 days; P. malar- Because a malaria illness progresses fast, it is
iae, 18 to 40 days; P. knowlesi, 11 to 12 days; important to diagnosis and treat the condition
and P. vivax and P. ovale, 12 to 18 days. Some early in order to reduce the spread and prevent
temperate region P. vivax strains have an incuba- death. Malaria diagnosis is confirmed within a
tion period of 6 to 12 months (180–365 days). few minutes by detecting the malaria parasites in
Incubation periods can be prolonged if a person human blood with a microscopic examination,
is taking chemoprophylaxis (using antimalarial test strips that confirm antigen is present (rapid
drugs) or has limited immunity from a previous diagnostic tests), and an immunochromato-
parasite infection. graphic test. A confirmed diagnosis is necessary
before providing treatment.
Symptoms Treatment options vary based on Plasmodium
Those with partial immunity can be asymptom- species infection, the severity of symptoms, the
atic. Commonly, symptoms appear after seven person’s age, and whether the person is pregnant.
days, but the time can be as long as eight to 10 The objective of treatment is threefold: (1) reduce
months, as with P. vivax, and even longer for P. symptoms, (2) prevent relapse, and (3) limit
ovale. Usual symptoms of malaria are malaise, spread. Medications used to attack the schiz-
loss of appetite, fatigue, fever (over 100 degrees ont of the malaria parasite include chloroquine,
F [38 degrees C]), chills, headache, muscle pain quinine sulfate, and artemisinin combinations.
(myalgia), joint pain (arthralgia), and dry cough. Treatments to reduce symptoms are a combina-
Some patients experience emesis (vomiting), nau- tion therapy of blood schizonticidal medications
sea, diarrhea, and stomach pains (mainly in chil- (e.g., attack/kill the schizonts), such as chloro-
dren). A malaria infection runs a repeated cycle of quine, quinine sulfate, and artemisinin. To pre-
coldness, followed by fever, then bouts of sweat- vent relapses of P. vivax and P. ovale, a schizonti-
ing lasting four to six hours, which occur every 48 cidal medication called primaquine is used to kill
hours with P. vivax and P. ovale infection, every parasites residing in the liver. Gametocytocidal
72 hours with P. malariae, and every 36 to 48 medications are used to prevent spread by killing
hours with P. falciparum. The repeated cycle is the gametocysts; these include primaquine (for P.
an indicator of being infected with malaria and falciparum) and chloroquine for all other parasite
corresponds with the parasites’ life cycle as they species. In certain areas, such as select areas of
develop and rupture cells in the liver and RBCs. Africa, the Plasmodium sp. are becoming resis-
Untreated malaria can cause serious complica- tant to antimalarial drugs.
tions, especially P. falciparum malaria. Severe com-
plications of P. falciparum include cerebral malaria Prevention and Management
(coma or seizures), severe anemia, acidosis, acute There is currently no vaccine available for malaria,
respiratory distress syndrome, hypoglycemia, and no antimalarial drug is 100 percent effective.
spontaneous bleeding, haemoglobinuria (hemoglo- Malaria prevention consists of a combination of
bin in the urine), renal failure, jaundice, enlarged chemoprophylaxis and mosquito avoidance mea-
liver (hepatomegaly), enlarged spleen (splenomeg- sures. Mosquito avoidance measures include a
aly), and clogging of the capillaries, which can cut combination of vector control measures, such as
off blood to the brain (cerebral ischemia) or other eliminating breeding grounds to prevent larvae
essential organs and possibly result in death. Severe development and regular indoor spraying of a
cases of malaria can progress quickly and result in residual insecticide containing pyrethroid. Other
death within hours or a few days, especially for the avoidance measures are wearing protective clothes
risk groups of young children (children under 5 and using an insect repellant, such as DEET (dieth-
years old are especially vulnerable, with the highest yltoluamide) during Anopheles mosquito feeding
588 Manufacturing Risks

times. Using insecticide-treated mosquito bed nets Risks in the manufacturing domain have
is another avoidance measure. In some areas of increased since the Industrial Revolution. Innova-
Africa, mosquitoes are becoming resistant to the tions in technology and science have created mod-
insecticides with pyrethroid. The introduction ernized processes that have increased risk.
of malaria into overcrowding situations such as “Manufacturing risk” can be defined as an
evacuation centers or refugee camps after an emer- increase of the potential of loss that is created by
gency and/or disaster greatly increases the risk of the modernization process, particularly by inno-
infection and a possible epidemic. Distribution of vative developments in science and technology.
treatment should be prioritized for risk groups of As the level of risk increases, processes within
young children and pregnant women. the manufacturing site become more hazardous.
When the hazard threshold is surpassed, an inci-
Andrew Hund dent occurs that leads to a loss.
Umea University Manufacturing risk is influenced by the tech-
nology utilized during the production process.
See Also: Epidemics; Infestations, Parasite; Public Task preparedness, environmental conditions,
Health Surveillance; Vulnerability. and well-defined policies and procedures influ-
ence the level of risk within an enterprise.
Further Readings
Packard, R. The Making of a Tropical Disease: Quantifying Manufacturing Risk
A Short History of Malaria. Baltimore: Johns Manufacturing risk needs to be quantified, both
Hopkins University Press, 2011. internal and external to an enterprise. How are
President’s Malaria Initiative. “Zanzibar: Beyond risks identified and quantified? There are a num-
Malaria Control.” http://www.fightingmalaria.gov ber of methodologies used in industry, including
/countries/profiles/zanzibar.html (Accessed August the following:
2012).
Shah, S. The Fever: How Malaria Has Ruled • Failure mode and effects analysis (FMEA)
Humankind for 500,000 Years. New York: Farrar, • Failure mode effects and critical analysis
Straus & Giroux, 2010. (FMECA)
Webb, J., Jr. Humanity’s Burden: A Global History of • Hazard and operability study (HAZOP)
Malaria. Cambridge: Cambridge University Press, • Hazard analysis and critical control points
2008. • Fault tree analysis (FTA)
• Six Sigma analysis
• Forensic engineering

Enterprises must also be cognizant of insider

Manufacturing Risks threats, which could be disruptive to operations
and increase risk. The U.S. Department of Defense
There are risks associated with the infrastruc- (DoD) report “DoD Instruction 5000.02” estab-
ture of a manufacturing facility and from exter- lishes guidelines and procedures for understand-
nal sources. Manufacturing can be defined as ing manufacturing risk in military systems. The
the process of taking raw materials and creating government creates Technology Readiness Levels
finished products. These products range from as a tool to conduct technical assessments and
milled parts to printed circuit assemblies, textiles, quantify technology maturity and risk. The use
or chemicals. of Mission Readiness Levels (MRLs) to “assess
Manufacturing of products and goods is typi- manufacturing readiness can foster better deci-
cally a large portion of the gross domestic prod- sion making, program planning and program
uct of industrialized nations. For instance, the execution through improved understanding and
chemical manufacturing and production industry management of manufacturing risk.”
in the United States represents approximately 10 DoDI 5000.02 requires programs to assess
percent of the gross domestic product. manufacturing risk early in the design process.
 Manufacturing Risks 589

The government does not specific guidance in the power grid or military operations. Threat
5000.02 on how these assessments should be models are used by the federal government and
accomplished. The DoD and a number of com- private industry to analyze, and prepare for,
panies are using MRLs as a best practice and are possible threats to critical infrastructure.
incorporating MRL assessments into technical
reviews and audits. Although considerable research has been con-
In addition to risks involved with the manu- ducted in the area of emergency preparedness and
facturing process, there are external factors that protection of critical infrastructure, this research
could increase the level of risk. For instance, into emergency response mechanisms has not
natural disasters, cyber crime, fire, and terrorism been fully explored by the chemical-producing
could increase the level of risk in an enterprise. industry. Fortier and Volk found that:
Vulnerability and threat assessments and haz-
ard analyses are used by corporations to iden- The risk of having critical systems taken off
tify potential external risks. These analyses lead line requires an enterprise to make a substan-
to the development of business continuity plans, tial investment to protect itself from various
continuity of operations plans, or continuity of threats. In many industries, these threats are
government plans. not clearly known at this time. Many enter-
The chemical industry is guided by federal rules prises struggle with committing resources to a
and regulations and corporate policy in regard to problem that may never happen. … Threats to
protecting facilities. Industry best practices for an enterprise come in various ways; they could
response to unplanned chemical releases are not be from terrorists, a natural disaster, insider
widely publicized. S. Fortier and J. Volk found the threat, corporate espionage, or cyber attack
following: (this is not an exhaustive list).

The threat of terrorism has expanded the According to Fortier and J. Bret Michael, “There
definition of critical infrastructure protection is a potential for a loss of humanity, property and
and response. The government as well as pri- efficacy during any accident, natural disaster or
vate enterprises must be aware of the threats terrorist event.” The loss of efficacy, resulting
and prepare themselves to protect their criti- from an emergency or related event, is usually the
cal assets. The definition of “what is a critical largest cost factor. F. Bird and R. Loftus explained
asset” is also being reevaluated. Society has that the risk of “loss of life and property were
seen new threat modes, such as the 9/11 inci- ‘covered’ by insurance,” but the loss of efficacy
dent, improvised explosive devices and suicide and productivity could not be recouped as a result
bombings, that require much better planning of a disaster. Therefore, manufacturing risk needs
to prevent these types of incidents. The conse- to be understood from both internal and external
quences of these new types of attacks have to factors, and those risks need to be documented
be planned for so that the response mechanism and quantified.
is effective and efficient. Emergency and disas-
ter preparedness planning is an evolving field of Stephen C. Fortier
study. Mechanisms such as continuity of oper- George Washington University
ations planning (COOP), indication and warn-
ing systems, and vulnerability assessments are See Also: Business Continuity Planning; Cyber
used to plan for emergencies or disasters and Crime; Hazard Vulnerability Analysis; Insurance;
identify the potential weaknesses in enterprise Risk Assessment; Supply Chain; Terrorism;
assets (such as policies, physical assets, person- Worker Error.
nel, procedures and methods). The government
and the private sector have the requirement to Further Readings
protect its critical infrastructure. There are crit- Bird, F. E. and R. G. Loftus. Loss Control
ical operations that need to operate uninter- Management. Loganville, GA: Institute Press,
rupted, such as banking, telecommunications, 1976.
590 Marine Shipping

Fortier, S. C. and J. Bret Michael. “A Risk-Based mass movement of goods and services across eco-
Approach to Cost-Benefit Analysis of Software nomic boundaries, concern intensified in the years
Safety Activities.” In COMPASS ’93: Proceedings after September 11 and in the aftermath of the
of the Eighth Annual Conference on Computer terrorist incidents in Bali, Madrid, Jakarta, and
Assurance. Piscataway Township, NJ: Institute of London.
Electrical and Electronics Engineers, 1993.
Fortier, S. C. and J. H. Volk. “Applying Information Maritime Security and Crisis Management
Modeling for Protecting Enterprise Assets From Maritime security breaches occur from the inter-
Threats.” In Proceedings of the 2006 IEEE action of a number of factors, namely:
International Conference on Computational
Cybernetics. Piscataway Township, NJ: Institute of • Cargo: using cargo to smuggle people and/
Electrical and Electronics Engineers, 2006. or weapons (of a conventional, nuclear,
Fortier, S. C. and J. H. Volk. “Defining Requirements chemical, or biological nature);
for Ad Hoc Coalition Systems During Disasters.” • Vessel: using the vessel as a weapon or
In Proceedings of the 2006 IEEE International means to launch an attack (including
Conference on Computational Cybernetics. sinking a vessel to disrupt infrastructure);
Piscataway Township, NJ: Institute of Electrical and
and Electronics Engineers, 2006. • People: using fraudulent seafarer identity to
Pan, J. N. “A New Loss Function-Based Method for support terrorist activities.
Evaluating Manufacturing and Environmental
Risks.” International Journal of Quality & Specific security risks typically emerge from
Reliability Management, v.24/8 (2007). one or more of these factors. In the United States,
U.S. Department of Defense. “5000.52.” (2008). there is concern over the potential for terrorism
https://acc.dau.mil/CommunityBrowser.aspx?id involving commercial ships that are not registered
=18231 (Accessed March 2012). in that country and are crewed by non-U.S. nation-
als. A related danger is the lack of transparency
and clarity in ship registration and ownership. As
a result, vessels with questionable or anonymous
identities operate with impunity. A majority of
Marine Shipping countries tolerate mechanisms that could enable
terrorists or criminal elements to use these vessels
Crisis management for maritime security is essen- for illegal and/or terroristic purposes. This threat
tial to international relations and trade among is real, as effective maritime security is often com-
governments and business organizations. A num- promised not only by the complexity of modern
ber of initiatives have been developed to address port operations but also by the difficulty in imple-
security issues on ships and in national and inter- menting security coverage. For example, although
national ports, including the International Ship over 90 percent of the world’s international cargo
and Port Security (ISPS) code, Container Security is transported in shipping containers, no more
Initiative (CSI), and Customs and Trade Partner- than 5 percent undergoes physical inspection
ship Against Terrorism (C-TPAT). The main pur- after arrival at a destination. This oversight raises
pose of these initiatives is to minimize the threat concern about the ability to covertly move con-
of maritime terrorism and piracy by eliminating traband material, including humans, through vast
the means. and complex global supply chains. The sheer size
The crisis response to the terrorist attack against and complexity of the modern maritime industry
the United States on September 11, 2001, was the make it difficult to develop and implement poli-
closure of domestic air space and the diversion cies and practices that ensure uniform and effec-
of international flights. This initial focus of crisis tive international maritime security.
management soon extended to maritime security The International Maritime Organization
because of the fear of terrorism in the maritime (IMO), International Maritime Bureau (IMB),
transport and trade sector. With the increasing and other marine-related organizations such as
 Marine Shipping 591

the World Customs Organization (WCO) jointly cooperate to update trade and antiterrorist legis-
support regulatory coverage that bolsters safety lation and keep abreast of the latest technologies,
and security procedures and practices within data, and intelligence resources. This is accom-
the world maritime trading system. Through the plished in part by participation in the ASEAN
efforts of the IMO, a number of security mea- Regional Forum (ARF) and the Council for Secu-
sures have been formalized, including changes rity Cooperation in the Asia Pacific (CSCAP),
to the Safety of Life at Sea (SOLAS) convention which address common international maritime
that specifically call for compliance with updated security issues and threats.
security and safety requirements with the ISPS. In A current working partnership is one between
addition to these mandatory changes, the United Hawai‘i and the Asia-Pacific nations. Since 2003,
States has actively introduced a series of voluntary they have coordinated their efforts to establish
trade programs that include the CSI and C-TPAT and implement a global standard for ship and port
into North American seaports and indirectly into security. The CSI and the C-TPAT play important
other major trading seaports of the world. While roles in addressing vulnerabilities in the shipping
not binding on participating ports, carriers, and industry in the Asia-Pacific region. The CSI autho-
companies, the proposed measures and strategies rizes exchanges of customs inspectors between
attempt to provide maximum levels of security the United States and participating nations, and
in each stage of the maritime supply and logis- allows the United States to place inspectors in 26
tics chain including the storage, movement, and international ports including Singapore, Hong
unpacking of cargo. These measures are intended Kong, Malaysia, and Korea. The CSI enables cus-
to provide a competitive advantage to early vol- tom officers to safely and efficiently screen for
untary adopters over time. While most of the contraband, including weapons of mass destruc-
major trading ports have voluntarily adopted the tion, by using large-scale gamma ray and imag-
CSI initiatives, significant gaps in maritime secu- ing systems. These units can scan the interior of
rity coverage still remain. a full-size, 40-foot container in under one min-
ute. Other technologies, such as electronic seals
Crisis Management in the Asia-Pacific Region and container tracking devices, offer additional
Maritime crisis management involves consulta- protection against container tampering and help
tion, coordination, and cooperation between and secure ports and ships from possible attack. These
among members of trade blocs, governments, and precautions are critical to the Asia-Pacific region,
government regulators. In the effort to prevent which has some of the largest container ports in
maritime terrorism and piracy, partnerships are the world; one-third of the world’s shipping and
continually encouraged and developed among half of its oil pass through the straits of Southeast
the various stakeholders. For example, the Asia- Asia, according to the U.S. Department of State.
Pacific Economic Cooperation (APEC), the Asso- Maritime security is a high priority for the region,
ciation of South East Asian Nations (ASEAN), and the cooperation of the international commu-
and the Secure Trade in the APEC Region (STAR) nity remains integral for dealing with multiple
work together to strengthen maritime security threats in the maritime environment.
while boosting trade efficiency. In addition to
supporting the implementation of the ISPS code, Conclusion
these organizations encourage, across a number of More effective and efficient means are needed to
critical security areas, the application of common implement existing legislation, regulations, and
standards that require and regulate, for example, voluntary security initiatives like the CSI and the
electronic customs reporting, which is a WCO C-TPAT. An important issue for future research
program; comprehensive baggage screening pro- is the impact of implementing both the treaty-
cedures; and the collection and transmission of mandated ISPS code and the voluntary CSI and
advanced passenger information to prevent the C-TPAT initiatives at operational ports.
fraudulent use of travel documents by terrorists.
While combating threats to security, mari- Ross Prizzia
time industry leaders regularly communicate and University Hawai‘i, West Oahu
592 Marine Travel

See Also: Air Travel; Department of Homeland permissible). Territorial waters extend from the
Security (DHS); Marine Travel; Terrorism; coastline to no more than 12 nautical miles out to
Transportation Security; Transportation Systems, sea, beyond which are international waters, and
Vulnerability. are an extension of a state’s sovereign territory
over which it has have exclusive control. Under
Further Readings normal circumstances, innocent passage of any
Association of Southeast Asian Nations Regional vessel—military or civilian—is permitted through
Forum. “Co-Chairs’ Summary Report: The Second territorial waters, though it must abide by that
ASEAN Regional Forum Inter-Sessional Meeting nation’s laws while doing so.
on Maritime Security: Auckland, New Zealand, An early Cold War-era incident in 1946 took
29–30 March, 2010.” Jakarta, Indonesia: ASEAN, place at the Channel of Corfu, a passage from the
2010. Adriatic Sea to the Ionian Sea along the coasts
Crist, Phillippe and Organisation for Economic Co- of Greece and Albania. On three occasions, Brit-
operation and Development (OECD), Maritime ish Royal Navy ships were accused of trespass-
Transport Committee. Security in Maritime ing in Albanian territorial waters. On the first
Transport: Risk Factors and Economic Impact. occasion, they were fired upon, for which the
Paris: OECD, 2003. government refused to apologize. On the second
Suárez de Vivero, J., et al. “New Factors in Ocean occasion, Royal Navy ships were ordered to test
Governance: From Economic to Security-Based the Albanian response to their innocent passage
Boundaries.” Marine Policy, v.28 (2004). and, in so doing, sustained damage from mines.
U.S. Department of State. “Terrorism Requires On the third occasion, two weeks later, Royal
Global Response.” (November 15, 2004). http:// Navy ships embarked on a mine-sweeping opera-
www.iwar.org.uk/news-archive/2004/11-15-2.htm tion through the channel, with a French naval
(Accessed August 2012). officer present as a neutral observer, in order to
Van de Voort, Maarten, Kevin A. O’Brien, Adnan prove that mines had been deliberately placed in
Rahman, and RAND Europe. “Seacurity:” the channel. Again, rather than apologizing or
Improving the Security of the Global Sea- responding to Britain’s demand for reparations,
Container Shipping System. Santa Monica, CA: Albania complained to the United Nations that
RAND, 2003. Britain had trespassed. The British government
Zou, Keyuan. “Rough Waters: Calming Northeast filed a case with the International Court of Jus-
Maritime Disputes.” CSCAP Regional Security tice, which became that court’s first case; when
Outlook (2008). http://www.cscap.org/uploads Albania refused to pay the reparations ordered
/docs/CRSO/CRSO%202008.pdf (Accessed August by the court, Britain seized a portion of the gold
2012). that had been looted from Albania by the Axis
powers and later recovered by the Allies. The dis-
pute was not resolved until 1996, after the Com-
munist regime of Albania had been dissolved for
five years, at which time Albania paid reparations
Marine Travel and Britain returned its gold.
In the United States, maritime security is one
Marine travel poses a number of potential haz- of the basic responsibilities of the Coast Guard,
ards, the most serious of which are extreme which is tasked with port, vessel, and maritime
weather events such as hurricanes, and events facility security against terrorism or sabotage.
of human aggression, such as piracy or terror- Port Security Units provide sustained force pro-
ism. Attacks on civilian vessels by enemy pow- tection operations through deployable units that
ers during times of war, once commonplace, can work in conjunction with Coast Guard patrol
are no longer permitted under the international boats and cutters, the Marine Corps’s Fleet Anti-
laws of armed conflict, so long as the vessel has Terrorism Security Teams, and units from the
not entered the attacker’s territorial waters (and Navy. The Coast Guard is also responsible for
even then, the attack will not likely be deemed port safety, a function that includes the safety of
 Marine Travel 593

Members of a visit, board, search, and seizure (VBSS) team from the U.S. Navy and U.S. Coast Guard approach a suspected pirate
mothership after responding to a merchant vessel distress signal. The team is part of the multinational Combined Task Force 151,
which conducts counter-piracy operations to actively deter, disrupt, and suppress piracy in order to protect global maritime security
and freedom of navigation. Piracy has resurged in some areas; at its peak in 2006 to 2007, violent attacks rose by 35 percent.

vessels, harbors, and waterfront facilities from most parts of the world and remained rare enough
accidents. The U.S. Merchant Marine consists that in the 20th century, the word piracy became
of the privately owned and operated merchant more common to refer figuratively to intellectual
ships of the United States and their crews and property theft. In the modern era, shipping lanes
is responsible for peacetime transport of cargo are better patrolled by law enforcement authori-
and passengers; in times of war, merchant mari- ties, though piracy never disappeared entirely, and
ners are classed as military personnel, and their maritime shipping accounts for a large amount of
ships may be used to deliver military supplies and international commerce, making for many tempt-
personnel. ing targets.
In recent years, piracy has resurged in some
Piracy and Political Unrest parts of the world, especially areas where local
Piracy, the crime of robbery or kidnapping at countries lack the means or motive to adequately
sea, is one of the oldest maritime hazards, and prevent piracy and/or shipping is routed through
it became a special matter of concern in the 16th narrow bodies of water like the Strait of Malacca.
to 19th centuries, when maritime shipping lanes The combination of these factors increases the
were trafficked heavily enough to provide incen- rewards and reduces the risks for prospective
tive to these highwaymen of the sea. Toward the pirates. In some cases, the pirates are better
end of the 19th century, piracy fell to a low in armed than law enforcement would be anyway.
594 Marine Travel

The surge in 21st-century piracy is primarily approaching Somalia’s waters have been attacked
owed to hostage taking, which is one reason it and their food stolen; many of them now travel
has received so much attention. From 2006 to with an escort, increasing the cost of providing
2007, at the height of the surge, violent attacks aid to Somalia. These are the factors that have
rose by 35 percent, and injuries sustained by vic- made piracy so difficult to contend with; after all,
tims of piracy nearly quadrupled, though the rate in the Golden Age of Piracy, piracy was not so
of murder remained low. In both years, the major- much defeated as it simply declined naturally as
ity of piracy attacks involved hostage taking or conditions shifted such that the risk-reward ratio
attempted hostage taking. of the endeavor was no longer as favorable.
Political unrest is one of the conditions that can The Mexican drug war that has been waged
lead to unchecked piracy. In West Africa’s Gulf since 2006 has recently led to an increase (from
of Guinea, near countries like Côte d’Ivoire and negligible to extant) in piracy along the U.S.-
the Democratic Republic of Congo, which have Mexican border, particularly the human-made
been sites of ongoing armed conflicts and inter- reservoir of Falcon Lake on the Rio Grande. The
nal chaos, 21st-century pirates originally targeted conflicts of the Mexican drug war led to a strug-
oil companies in order to seize their valuable gle for control of the lake between Los Zetas drug
cargo; as pirates became better armed and bet- cartel and its rival cartels (mainly the Gulf Cartel)
ter organized, they expanded to the kidnapping in 2010. Los Zetas began patrols of the lake, and
and ransom tactics seen elsewhere, and the level although the goal of the patrols is principally to
of violence seen in the region was by the end of find and attack ships of rival cartels, Los Zetas
the 2000s dangerously high. Similarly, since the have increased their fleet by seizing civilian fishing
second phase of the Somali civil war, piracy in boats. In some cases, they also have robbed the
Somalia has grown immensely, costing at least crew; in others, they have compelled the crew to
$6 billion a year in goods and ransoms, though it pilot the ship, increasing the scope of their patrol.
finally saw a decline beginning in 2011. The conflict has led to one civilian casualty as of
The role that political unrest plays in the 2012 and a dozen cartel casualties.
growth of piracy is complex. Not only can unrest Piracy has been an unintended boon for the
divert government resources away from counter- insurance industry; not only have premiums risen
piracy and other law enforcement, toward deal- for those vulnerable to piracy, but also many more
ing with the internal crisis, or fighting on mul- people and organizations now take out policies
tiple internal fronts—in Somalia’s case, civil war for kidnapping and piracy insurance. Kidnapping
and poverty have transformed it into a failed insurance exists in order to provide the ransom
state—but it also can disrupt elements of the fee in the event of a kidnapping incident, while
private sector in order to create criminals out of piracy insurance offers special protections against
conditions of desperation. Somali pirates, like financial losses incurred by piracy that might not
pirates in some places during the Golden Age of be covered by existing policies.
Piracy, actually have the strong support of the
nonpirating public in Somalia’s coastal towns. Bill Kte’pi
Traditionally supported by fishing, these towns Independent Scholar
see piracy as a defense against the opportunistic
exploitation of their territorial waters by parties See Also: Hijackings; Hurricanes, Typhoons, and
who have taken advantage of Somalia’s chaos to Cyclones; Insurance; Marine Shipping; Preparedness;
engage in illegal fishing and dump toxic waste. Sabotage; Terrorism; Tornadoes and Severe
The influx of money and goods to these coastal Thunderstorms; Transportation Security; Tsunamis.
communities as a result of piracy has been the
only economic good news many of the towns Further Readings
have had in years. Many Somali pirates are for- Bueger, Christian, Jan Stockbruegger, and Sascha
mer fishermen who have converted their boats to Werthes. “Pirates, Fishermen, and Peacebuilding:
this new means of earning an income. Others are Options for Counter-Piracy in Somalia.”
young teenagers. Even humanitarian aid ships Contemporary Security Policy, v.32/2 (2011).
 Mass Care 595

Chalk, Peter. “Contemporary Maritime Piracy in Alternative Care Sites

Southeast Asia.” Studies in Conflict & Terrorism, Often, an MCE requires the creation of alterna-
v.21/1 (January–March 1998). tive care sites, because the demands for care are
Herrmann, Wilfried. “Maritime Piracy and Anti- greater than can be met through existing hospi-
Piracy Measures.” Naval Forces, v.25/2 (2004). tals. Examples of structures that could serve as
alternative care sites include aircraft hangars,
schools, churches, nursing homes, outpatient sur-
gical clinics and centers, fairgrounds, government
buildings, sports facilities, trailers, and tents. The
Mass Care expected needs of the emergency should be taken
into account: for instance, oxygen and respiratory
A mass care event (MCE) occurs when the ordi- therapy is difficult to provide in an alternative
nary functioning of a community’s health care care setting unless the facility is already set up to
resources is overwhelmed by a large number of vic- provide it (e.g., a nursing home). Advance plan-
tims requiring care at the same time, for instance, ning is needed to stock the alternative care sites
as the result of an influenza epidemic or a terrorist because the usual supply chain may not be func-
attack. The severity of an MCE may be increased tional during an emergency situation. Although
if the event itself reduces the community’s capac- staffing needs depend somewhat on the specific
ity to respond (for instance, if health care workers type of MCE, general plans can be drawn up in
become ill, or if vital infrastructure is destroyed) advance, and these should include nonmedical
or if multiple communities are affected at the workers (e.g., security, food service) as well as
same time, so that additional resources cannot be physicians and nurses.
quickly accessed. If resources (including both sup- Housing large numbers of people in close quar-
plies and trained personnel) are scarce during an ters creates the ideal opportunity for the spread
MCE, decisions about care with an eye to saving of disease, independent of a specific pandemic
as many lives as possible, while also allowing the disease. Alternative care sites do not always lend
health care system to continue to function, may themselves to controlling the spread of disease,
differ from what might be done in an ordinary and some of the people staffing them may lack
health care situation, when the usual levels of medical training and be unfamiliar with ordinary
resources are available to treat each patient. infection control practices routinely practiced
There are two major types of MCEs: sudden in hospitals. For these reasons, it is important
impact and developing impact. In a sudden impact to educate both workers and the people being
MCE, such as an earthquake, explosion, or plane cared for in basic practices to help prevent disease
crash, there are many casualties all at once, but spread. For instance, hand hygiene is key to pre-
the number quickly tapers off. The central infra- venting the spread of many diseases; if soap and
structure (e.g., power supplies) may be damaged water are difficult to obtain, sanitizing gel should
or destroyed, so the best option may be to move be available and everyone should be instructed to
survivors elsewhere for care; in addition, there use it regularly. Facilities should be provided for
may be a secondary wave of casualties result- laundry and for can bathing or showering at least
ing from conditions such as exposure to unclean twice a week. Living areas should be cleaned reg-
water. In a developing impact MCE, such as an ularly, and high-risk surfaces (e.g., kitchen coun-
influenza pandemic, the number of cases starts ters and areas used for changing diapers) should
small but increases gradually until the situation be sanitized with a disinfectant such as bleach.
becomes catastrophic. A developing impact MCE Procedures should be established for waste dis-
may require response over a long period of time, posal, and medical waste must be separated from
as case numbers may decline for a time, only to household waste.
increase again. Sudden event MCEs are unpredict- Alternative care centers not ordinarily meant
able and require rapid response, whereas develop- for residential use, such as football stadiums,
ing impact MCEs are more predictable and build should only be used for the short term because
gradually, allowing more time for response. they lack sufficient toilet facilities, or bathing
596 Mass Care

facilities make it difficult to maintain healthy who receives immediate services, such as surgery
conditions for any length of time. Normally, food and X-rays.
service and laundry should be provided externally Although the practice of triage may sound
so that proper hygiene can be maintained, rather heartless to people who have never had to deal
than them being provided within the facility or with an emergency situation in which the need
people providing for themselves. Particular care for health care resources overwhelms the system’s
should be exercised to regularly sanitize bath- ability to provide, in fact, it is a practice that serves
room facilities and to emphasize the importance the humanitarian goal of doing as much good
of hand hygiene. In open sleeping areas, cots as possible with the resources available. Triage
should be separated by at least three feet to pre- is aimed at preventing waste by using resources
vent disease transmission. where they will do the most good; if resources are
Because infections can spread rapidly within an spent caring for people who are too injured or
alternative care center, people should be screened ill to survive, that takes the resources away from
upon entrance for fever, cough, skin rash, skin people who could survive if treated, thus reduc-
sores, open wounds, vomiting, and diarrhea; ing the total number of deaths. Because triage is
those with any of these conditions should be sepa- a departure from the usual practice of the medi-
rated and evaluated by medical staff and possibly cal system in most industrialized countries, clear
housed in a separate part of the facility. Standard protocols should be developed defining different
precautions should be used by personnel who levels of care and how patients will be assigned
come in contact with infected individuals, includ- to them. Planning for mass care situations should
ing the use of gloves, gowns, and hand hygiene. also include an inventory of available resources
Alternative care centers should have a plan in and projections of the demands on the care system
place for transferring people who need medical expected from different types of MCEs; the latter
care to an appropriate facility, and there should should include expected demands for a multiweek
be a dedicated area for evaluating and housing period, such as the expected cases each week dur-
such individuals in order to prevent spreading ing a pandemic. The resource inventory prepared
infectious disease into the care center. for MCEs should include human resources, both
skilled and unskilled, and both health care work-
Triage ers and those needed for functions such as edu-
In response to a disaster or any other demand for cation and prevention; logistics, including both
immediate and widespread emergency medical medical (e.g., pharmaceuticals, rehydration fluids,
care, a top priority must be efficiency of response. surgical masks) and nonmedical supplies (e.g.,
An immediate response system may include the electricity, gasoline, communications equipment,
practice of triage, so that care is given immedi- clerical support); financial resources; and commu-
ately to those who are critically injured but are nity resources, including alternate care sites.
expected to survive if given care; those with less Levels of care provided to patients during an
serious injuries can be treated later, as can those MCE can be divided into four categories, and
without hope of survival. The purpose of tri- assigning patients to appropriate levels of care
age is to maximize the effective use of medical is an important factor in using resources wisely.
resources. Triage is practiced at the scene of the Level 1 is unassisted home care; these patients can
incident, at the hospital entrance, and within the remain at home and do not need outside assis-
hospital. At the scene of the incident, the medi- tance because their care needs can be met through
cal team assesses the extent of the problem, estab- self-care or the assistance of a relative or other
lishes a staging area, and defines treatment pri- available person. Normally, resources are not allo-
orities; this is a difficult process but is frequently cated to Level 1 patients because they can survive
necessary because the need for medical care may without assistance. Level 2 is assisted home care;
exhaust the immediate ability to provide it. At the this includes people who can recover at home
hospital, admission to treatment is also based on but need some medical assistance such as medi-
severity of injury. Within the hospital, triage may cations or oral rehydration fluids, or who need
also be necessary to determine who gets a bed and help with activities of daily living (e.g., bathing,
 Mass Care 597

cooking). For these patients, the goal is to keep that health care workers be trained to prevent
them as healthy as possible; their needs can often these abuses and to treat victims, and that particu-
be met by community volunteers or people with lar attention be paid to ensuring the security of
minimal levels of training. Level 3 is skilled clini- high-risk subgroups such as teenage girls.
cal care; these patients require help from a clini- On a similar note, E. Cloyd and C. B. Dyer
cally trained provider but may be treated at home point out that elderly people often have particular
or in an alternative care site. Examples of ser- needs following disasters or catastrophic events.
vices at this level include provision of intravenous Because chronic disease and cognitive disorders
hydration or intravenous antibiotics. Sometimes are more common among the elderly than among
patients at this level are treated at alternative care younger people, they may require extra services
sites (e.g., schools) in order to maximize the num- and may be less able to make judgments about
ber of patients who can be treated by a given care matters such as when it is necessary to evacuate
provider—bringing a number of patients into a an area; lack of physical mobility may also com-
single facility reduces the amount of time the pro- plicate their ability to survive. The elderly are
vider must spend traveling. Level 4 is the highest also particularly vulnerable to fraud and abuse
available level of care, such as a hospital, if pos- during disasters. Cloyd and Dyer recommend
sible; these cases are the most severe and require that government establish an emergency track-
skilled medical care within the most advanced ing system for elders and other vulnerable adults,
facility available. If more patients require Level that separate areas within shelters be provided
4 care than there are facilities to treat them, deci- for them, and that gerontological professionals
sions about whom to treat should be based on should be involved in planning for disasters and
which patients are likely to survive if given care; training the personnel who will respond during a
those who are too severely injured or ill to be disaster. Dyer and colleagues have created a rapid
likely to benefit from care can be given palliative needs assessment tool, the SWiFT (seniors with-
treatment at home or in an alternative facility. out families team) for elderly adults, which was
successfully used to evaluate the needs of adults
Special Needs of Population Subgroups aged 65 and older who were evacuated to the
Provision of mass care is often discussed as if all Houston Astrodome Complex after Hurricane
those affected by an emergency or disaster have Katrina in 2005.
the same needs. Although all humans have some Infants and children also have special needs in
needs in common, there are also particular needs emergency situations. The PAHO suggests that in
relevant to particular population subgroups, and a shelter or other emergency situation, a census
these should not be overlooked in planning and of minors be conducted, including classification
providing mass care. R. Richter and T. Flow- by age category: newborn (birth to 30 days), 1
ers point out that women suffer from particular month to 1 year of age, 1 to 5 years of age, and 5
risks during a disaster and that gender-sensitive years and older. Newborns with low birth weight,
services should be provided but frequently are difficulties in regulating their body temperature,
not; these services include triage screening for or problems with respiration are at particularly
pregnancy, private areas for breast-feeding, suf- high risk and should be seen daily. Minors should
ficient nutrition for pregnant women, and coun- be immunized, and nutrition and fluid intake for
seling and care providers who are knowledgeable children should be monitored; children with diar-
about the different ways that disorders such as rhea and respiratory infections should be moni-
PTSD may present in men and women. The Pan tored until they are in recovery. Because children
American Health Organization (PAHO) notes that are at high risk for violence and abuse, including
providers of mass care should be alert to risks to sexual abuse, when normal societal conditions
which women are particularly vulnerable, such as are disrupted, extra precautions should be estab-
rape, involuntary prostitution, and domestic vio- lished to protect them.
lence, and that the disorder and disruption of nor-
mal societal functioning following an emergency Sarah Boslaugh
may heighten the risks. The PAHO recommends Kennesaw State University
598 Mass Fatality Management

See Also: Disaster Assessment; Disaster Drills;

Emergency Medical Care; Health and Medical
Mass Fatality Management
Response Scenarios; Infectious Disease; Shelter-in- Mass fatality management refers to the identifica-
Place. tion, death certification, and preparation for last
rites of a large number of bodies that come simul-
Further Readings taneously from a single incident or event, such
Agency for Healthcare Quality and Research. “Mass as an earthquake or a transportation crash. This
Medical Care With Scarce Resources.” AHRQ article concentrates on cases in which there are
Publication No. 09-0016 (2009). http://archive.ah approximately 50 to 250 bodies. Small numbers
rq.gov/prep/mmcessentials (Accessed May 2012). of fatalities can be coped with using normal facil-
Cahill, Kevin M., ed. A Framework for Survival: ities, and events that cause thousands of deaths
Health, Human Rights and Humanitarian require measures that are so exceptional they can-
Assistance in Conflicts and Disasters. Rev. ed. New not usually be managed with detailed prior plans.
York: Routledge, 1999. This field is one of the least understood and most
Centers for Disease Control and Prevention. frequently neglected in disaster management. The
“Infection Control Guidance for Community assumption that few resources and little attention
Evacuation Centers Following Disasters.” http:// need to be dedicated to it because the dead do not
emergency.cdc.gov/disasters/commshelters.asp care is quite untenable, as in reality it is a service
(Accessed May 2012). for the living, namely, the grieving relatives and
Centers for Disease Control and Prevention. “Public friends of the deceased.
Health Emergency Response Guide for State, Mass fatality management requires special
Local, and Tribal Public Health Directors, Version planning and facilities because it is unlikely
2.0.” (April 2011). http://emergency.cdc.gov/ that hospitals and regular mortuaries will have
planning/responseguide.asp (Accessed May 2012). enough capacity to deal simultaneously with all
Cloyd, E. and C. B. Dyer. “Catastrophic Events and the bodies recovered from the incident or disas-
Older Adults.” Critical Care Nursing Clinics of ter. As there is a need for comparative analysis, it
North America, v.22/4 (December 2010). is essential to keep the victims together and not
Duffy, John C., ed., and the NATO Committee on the disperse them in small numbers to a variety of
Challenges of Modern Society. Health and Medical distant mortuaries.
Aspects of Disaster Preparedness. Vol. 1. New
York: Plenum Press, 1990. Coping With Mass Fatalities
Dyer, C. B., M. Regev, J. Burnett, N. Festa, and The recovery of bodies from an incident or disas-
B. Cloyd. “SWiFT: A Rapid Triage Tool for ter is usually not an instantaneous process. In
Vulnerable Older Adults in Disaster Situations.” an earthquake characterized by widespread and
Disaster Medicine and Public Health Preparedness, complex structural collapse, it may take up to
v.2 (2008). 15 days, during which urban search and rescue
Pan American Health Organization. (USAR) teams are deployed to search beneath
“Recommendations for the Care of Children in rubble. In transportation crashes, it follows the
Emergencies.” http://new.paho.org/disasters/index stabilization of the scene (i.e., when it is safe for
.php?option=com_content&task=view&id=741&I rescuers wearing personal protective gear to go
temid=800 (Accessed May 2012). in) and the recovery and treatment of the injured.
Richter, R. and T. Flowers. “Gendered Dimensions The declaration of the site as “scene of the crime”
of Disaster Care: Critical Distinctions in Female may complicate matters. In this case, as soon as
Psychosocial Needs, Triage, Pain Assessment, and basic rescue is completed, which must happen
Care.” American Journal of Disaster Medicine, with the minimum disturbance of the site, forensic
v.3/1 (January–February 2008). investigation begins and evidence is collected for a
USAID. “Leadership During a Pandemic: What Your judicial inquiry. This may focus on, for example,
Municipality Can Do.” http://www.usaid.gov/our identifying the perpetrators of a terrorist attack,
_work/global_health/home/News/news_items/ai establishing that negligence occurred in an acci-
_toolkit.html (Accessed May 2012). dent, identifying contaminants present at the site,
 Mass Fatality Management 599

Case Studies in Mass Fatality Management

This section contains a brief review of selected bad suicide terrorists, were killed. London Resilience
and good examples of mass fatality management. immediately activated its prefabricated mortuary
and set it up on a sports field close to the city
Italian Building Collapse center. The facility was entirely self-contained and
On the night of November 11, 1999, a multistory included an electricity generator, a water supply, and
residential building comprising 26 apartments a wastewater collection tank. It was designed and
collapsed suddenly and spontaneously in the staffed to operate around the clock. Furniture was
southern Italian city of Foggia. Rescue efforts borrowed from the mayor’s office to create a dignified
were somewhat chaotic, but by the middle of the waiting and counseling area for the victims’ relatives
following day, 62 bodies had been recovered from and friends. A family liaison center was eventually
under the rubble. Autopsies revealed that about set up to coordinate social work with the relatives
half the victims died more or less instantaneously of people who had been killed in the attacks. The
from crush injuries, one-third died of asphyxia, mortuary work had to interface with an exceedingly
and the remainder suffocated after some hours of complex forensic investigation. One aspect of this
entrapment. One body was consumed by fire and was that the remains of the terrorists had been
could not rapidly be identified. blown into more than a thousand fragments. Each
The bodies were taken to the only local hospital, of these had to be identified (by DNA testing), as
which had no plan to cope with mass fatalities. It families did not want their loved ones to be buried or
set aside a large area for identification and other cremated along with pieces of the terrorists. Another
procedures, but this was inadequately screened. It unexpected consequence was that the owner of the
also lacked a plan to move into a disaster mode of sports facility initiated legal proceedings to obtain
operation, so there was confusion between ordinary compensation for income lost during the period of
health maintenance activities and the extraordinary closure. The London Mass Fatalities Plan was later
work needed to cope with the influx of bodies (only more widely adopted in Britain and abroad.
nine people survived in the collapse, so there was
no overloading of the facilities for treating them). Swedish Deaths in the Indian Ocean Tsunami
Relatives and friends of the victims were kept Mass fatalities management has an international
waiting in corridors or outside the hospital in the dimension. Some 543 Swedes died in the Indian
cold, in some cases for up to 36 hours. Information Ocean tsunami of December 26, 2004, mostly
was not given to them in any systematic way. in Thailand. The mass repatriation of bodies to
Sweden revealed that the country had no facilities
Terrorism Mass Fatalities Planning for managing such a contingency, the largest loss
In response to the threat of terrorism, London of Swedish life in a single event since 1709. The
Resilience, the emergency planning unit of the resulting barrage of criticism induced the Swedish
British capital, developed a detailed mass fatalities government to found a civil protection agency,
plan. This was “owned” by the London Emergency which was later reorganized into the Swedish Civil
Services Liaison Panel (LESLP), a long-standing Contingencies Secretariat (MSB), an organization
consultative body. On July 7, 2005, four bombs that rapidly achieved eminence in the field of
went off in the city and 56 people, including four disaster risk reduction.

or simply determining the cause of the incident. the elements and dynamics of the event in order
Establishing the cause of death, recording the to assist the judicial inquiry.
physical state of bodies, and identifying victims The best response to a mass fatality incident is
may contribute to the process of reconstructing to have a functional plan that is known to all key
600 Mass Fatality Management

participants, and also to have a temporary mor- be familiar with the mass-fatalities plan and
tuary with sufficient capacity to hold and deal understand what their roles and responsibilities
with all bodies, if the numbers are not exces- will be if an incident occurs.
sively large, or a significant proportion of them The procedures for body recovery should
if they are very numerous. ensure that the users of the main emergency plan
The plan can either designate existing build- know where to send dead bodies. Initially, a hold-
ings as sites for a mortuary or use prefabricated ing area may be needed while the temporary mor-
buildings, providing these can be assembled tuary is set up. Body identification and death cer-
quickly. In the former case, buildings should be tification must take place, and possibly autopsies
designated at a variety of sites. The buildings in as well. The forensic examination should try to
question must be capable of being equipped rap- collect the personal effects of the deceased; like
idly with the facilities listed below. They must be the bodies themselves, these need to be labeled
in accessible locations but capable of operating and photographed. For both the identification of
discreetly, away from the public eye. In the case bodies and any judicial inquiry that takes place,
of a prefabricated mortuary, various sites such as evidence needs to be preserved strictly according
sports fields can be designated as possible loca- to proper standards, and it must be kept free from
tions for assembling it. All participants should contamination.

U.S. Navy, Air Force, and Coast Guard personnel, along with civilian firefighters from Guam, carefully extract one of only 35 survivors out
of 254 people on board the tangled wreckage of Korean Airlines Flight 801, August 6, 1997. In heavy rain, the Boeing 747-300 missed
the runway by three miles and crashed into a hillside. A temporary morgue was established at the U.S. Navy Supply Center and a Federal
Bureau of Investigation fingerprint team arrived the next day. A team of cadaver dogs did a final search of the crash site two weeks later.
 Mass Fatality Management 601

Facilities planning, it is important to make arrangements

A well-equipped temporary mortuary has a “dry” that preserve human dignity and, wherever possi-
and a “wet” area. The former should include ble, satisfy religious and cultural needs. The plans
adequate space for turning, loading, and parking should aim to minimize the strain upon relatives
ambulances and hearses in front of an entrance and exclude mass media representatives or restrict
that is screened from public view. Facilities should their access.
include heating, lighting, good ventilation, hot
and cold running water, showers and toilet facili- Procedures
ties, adequate drainage of liquids (possibly into a In many countries, the law demands that inquests
holding tank for subsequent disposal), telephones, be held, and perhaps autopsies carried out, when
and closed-circuit television (CCTV) for the recog- death is violent or unnatural, when its cause is
nition of bodies by relatives. The coroner or medi- unexplained, or when there are other specific
cal examiner requires an office, and there need circumstances of importance to public health
to be X-ray facilities (including development of and safety. The inquest must determine who the
X-ray film if digital images are not used). Finally, deceased was and how, when, where, and of what
a place is needed in which to stockpile coffins. he or she died. The proper registration of death
The “wet” area needs autopsy tables, an area for depends on establishment of these facts.
washing bodies and another for embalming them, The temporary mortuary can be used for the
a dental examination bay, and a refrigeration bay preservation and cosmetic treatment of the body
for body storage. In some cases, cold storage units (if these are deemed necessary) and to prepare the
for wholesale food distribution may be comman- body for release to funeral directors. In most coun-
deered for use as temporary mortuaries in order to tries, a body is owned neither by the victim’s rela-
benefit from their low-temperature storage areas. tives nor by the civil authorities. However, there
The suggested overall size of a temporary mor- are customary “rights of possession,” and deten-
tuary capable of dealing with, say, 200 bodies is tion of the body may only be practiced in relation
about 200 square meters (30 × 2 meters for hold- to the laws on inquests, autopsies, and death certi-
ing the bodies, plus space for the working areas). fication and to ascertain the victim’s identity.
When the structure is activated, it needs to be The identification of dead victims may require
fully integrated with logistical and administra- the collection of information from relatives (for
tive support structures. Attention also needs to be example, fingerprints from the person’s home
paid to the maintenance of safety at work in view where he or she is known to have touched cer-
of the risks of contamination and infection. Per- tain objects) and the examination of medical,
sonnel should include a coroner or lead patholo- dental, or criminal records. Where relatives can
gist (medical examiner), who heads the commis- positively identify a body and fingerprints match
sion for body identification. There needs to be an unequivocally those in police records, it may be
orthodontic specialist for work on dental records sufficient to use one criterion in the identification
and a biometric expert for work on fingerprints process. However, there are many opportunities
and other such measurements. Where the features for misidentification, and hence it is common for
of victims are quite unrecognizable and dental at least two criteria to be used. Besides finger-
records cannot be used, a forensic anthropologist prints (when these are not in police records) and
may be asked to participate. In addition, police comparison of teeth with dental records, body
and representatives of social services may look marks such as scars, moles, tattoos, and pierc-
after the relatives of victims, and religious lead- ings can be used. Identified clothes and personal
ers and psychologists may provide counseling. effects may corroborate other evidence, and
Body identification by the relatives and friends finally there may be criteria for exclusion, such
of victims requires a screened area with restricted as the elimination of names from a passenger list.
access, CCTV links to the mortuary, and restful, DNA (deoxyribonucleic acid) is not automati-
quiet, and discreet spaces in which people may cally employed in victim identification. Its use is
be received and given counseling or other sup- only valid where there is no possibility of cross-
port. In the design of the mortuary and associated contamination in samples tested.
602 Mass Fatality Management

Software has been developed in Scandinavia Conclusion

for managing identification in mass casualty situ- Mass fatality management is not one of the most
ations, a procedure in which errors and misiden- popular aspects of emergency planning; however,
tifications could have very serious consequences. because of the need to minimize impacts on the
In Europe as a whole, Interpol is coordinating a bereaved, it is a very important part of disaster
project on international disaster victim identifi- management and one that would benefit greatly
cation. It involves the creation of a database on from meticulous planning. This should include
victims that has advanced software features that the selection of sites or facilities, accumulation of
include three-dimensional morphing, craniofacial portable equipment, training of personnel, and
reconstruction and superimposition techniques, integration of the mass fatality plan with emer-
and search facilities for the database. The aim is gency plans for search and rescue, medical care,
to speed up the process of identifying victims after social care in the aftermath, and forensic and legal
disaster has struck. investigations of the scene of the incident. As dem-
Some coronary procedures are at variance onstrated here, managing the dead is an entirely
with religious practices for dealing with the separate issue from managing mass casualties.
dead, but while ensuring compliance with the
law, it is good practice to respect the wishes of a David Alexander
victim’s family concerning the preparation of the Global Risk Forum, Davos
body for release, funeral rites, and disposal by
burial or cremation. See Also: Civil Protection; Contingency Planning;
At least 13 different major religions have com- Emergency Management Agencies, City and County;
mon practices for dealing with the dead. Space Emergency Medicine; Epidemics; Health and Medical
precludes a review of all of them, but by way of Response Scenarios; Incident Management; Incident
example, a victim who came from a strict Mus- Response; Mass Care; Strategic Plans.
lim background may need to be treated, as far as
reasonably possible, as follows: Further Readings
Blanshan, Sue A. and Enrico L. Quarantelli. “From
• The body should be identified quickly to Dead Body to Person: The Handling of Fatal Mass
verify that the person was a Muslim Casualties in Disasters.” Victimology, v.5 (1981).
• In mass casualty situations, Muslim bodies City of London. London Mass Fatality Plan, Version
should be kept together 3. London: London Resilience, Government Office
• The body should be laid out on a clean for London, 2010.
surface and covered with a simple white Elliott, Andrew and Noel Rehfisch. “Mortuary
sheet Provision in Emergencies Causing Mass Fatalities.”
• The head should be inclined toward the Journal of Business Continuity and Emergency
right shoulder Planning, v.5 (2011).
• The face should be turned toward Mecca Official Guam Crash Site Center: Korean Air Flight
• Muslim bodies are always buried and never 801. “Chronology.” http://ns.gov.gu/guam/
cremated indexmain.html (Accessed August 2012).
• Aside from the legal and practical dictates Phillips, Brenda, David Neal, Thomas Wikle, Aswin
of work in pathology, only close relatives Subanthore, and Shireen Hyrapiet. “Mass Fatality
should handle the body Management After the Indian Ocean Tsunami.”
• Burial should take place at the earliest Disaster Prevention and Management, v.17 (2008).
possible opportunity and with appropriate Scanlon, Joseph, Terry McMahon, and Coen van
rites Haastert. “Handling Mass Death by Integrating
the Management of Disasters and Pandemics:
Requirements for Islam and other religions Lessons From the Indian Ocean Tsunami, the
may be more or less elaborate depending on the Spanish Flu, and Other Incidents.” Journal of
strength of observance by the victim and his or Contingencies and Crisis Management, v.15
her family. (2007).
 Mass Media 603

Mass Media goods in the height of a crisis, looting, and the

stealing of luxury items during a crisis—despite
In industrialized societies, the mass media discourse the lack of scientific evidence that these behaviors
is among the most important cultural resources for significantly increase during times of crisis. These
obtaining information and understanding issues. sensational stories help gain public attention and
Following a crisis event, the mass media serve as an audience share in a competitive media market.
important link between people and the impacted For example, following Hurricane Katrina in
area by providing a basis for common understand- 2005, antisocial behavior, such as price goug-
ing of the event and promoting public response. In ing, was reported by the mass media as typical
this way, the mass media create a mental picture and widespread, even though pro-social behavior
and understanding of the crisis to the public, who was by far the norm. Moreover, following Hur-
rely on reported information as a source of real- ricane Gilbert in 1988, looting was reported by
ity. Persistent exposure to television, for example, the mass media, despite a decline in crime rates
leads to an eventual adoption of its view of social in Houston, Texas, to below normal rates, and
reality above any other view of the outside world, there were no confirmed cases of looting.
and heavy doses of exposure to sensational media
reporting can cultivate exaggerated perceptions of Media Reporting Strategies
false occurrences in the real world. The following are eight key strategies that the
Thus, audiences may define or interpret a cri- mass media use to cover crises and disasters.
sis and develop specific responses in line with
messages obtained from the media. This depen- Piggybacking: The mass media often use the strat-
dency on the media for information shapes public egy of “piggybacking,” or constructing a new cri-
response toward relief, recovery, and mitigation sis as similar to a preexisting crisis. For example,
efforts. Public understandings of crisis events are the mass media argued that the inadequate gov-
shaped by media reporting because such events ernment response efforts following Hurricane
are typically not observed directly. As a result, Katrina were similar to those of the 2010 British
the public often relies on media reports to under- Petroleum (BP) oil spill in order to help their audi-
stand what happened and to learn appropriate ence relate to the scope of the catastrophe.
responses. Invariably, media coverage is selective
as constraints such as available time, space, and Personalizing the problem: Providing personal
budgets force the media to make decisions about details about the crisis, such as information about
what to convey, and these choices shape their the numbers of fatalities, helps arouse an emo-
construction of a social narrative. Thus, the news tional reaction in an audience.
functions as both a producer and a product of the
culture in which it is consumed. Horrifying consequences: This involves convinc-
ing the public that the crisis is morally trouble-
Media Reporting of Disaster Myths some by highlighting the extreme consequences,
The mass media cannot cover all aspects of a crisis, such as the amount of damage to infrastructure in
and thus, they are forced to choose what to cover the impact area.
and give preference to dramatic and novel issues.
Moreover, the mass media may be under pressure Constructing villains and victims: The media
to provide information as quickly as possible and identify who is responsible (villains) for problems
therefore fail to consult credible sources, which during the crisis and the unsuspecting innocent
increases the likelihood that information will be people who are at risk (victims).
altered. Thus, the way the media select and orga-
nize news stories allows for the reinforcement of Visuals: The use of visual aids such as pictures or
cultural myths of disaster—such as widespread videos is leveraged to present information about
panic, irrational or hysterical flight in which cri- the crisis; typically, crisis events have dramatic
sis victims show complete disregard for others, visual components that help journalists generate
price gouging, the increase in price of necessary audience interest and attention. For example, the
604 Mass Media

Case Study: Media, Humanitarian Assistance, and the 2004 Indian Ocean Tsunami

Newspaper and television reports on crises, of material and financial assistance totaling
especially in Western countries, make up a $14 billion. More than half the pledges of aid
significant portion of media coverage. In 1985, from international governments came from the
natural disasters, technological hazards, and civil United States, Japan, Germany, Australia, and the
disorders were thought to make up roughly 25 European Union. The U.S. Congress, for example,
percent of all news stories in the United States. appropriated approximately $908 million in
Seven years later, news reports covering crises assistance for relief, recovery, and reconstruction
transmitted annually by the Reuters news service efforts, and the Red Cross and its partners had a
grew by 75 percent, and crisis stories focusing budget of over $581 million that was used to assist
on strong human interest more than doubled over more than 3.6 million people through disease
the same period. In the last decade, more than control activities. Media reported relief efforts
60 percent of Americans relied on newspaper as “the most generous and immediately funded
articles and 70 percent used electronic media international humanitarian response ever.”
for information about crises. This reliance upon However, although the response initiative was
media coverage results in a dependency in which reported by the mass media as unprecedented,
media shape the opinions of individuals who examination of organizations, governments, and
rely on reported information for understanding a countries involved showed that it was problematic
crisis, actions that should be taken in response, for at least five reasons. First, funding was not
and future responses such as policy decisions. “need” based; the Tsunami Evaluation Coalition
Extensive news coverage of a crisis, such as the (TEC) assessment report found that most funding
2004 Indian Ocean tsunami, can be influential in decisions were made without any type of needs
mobilizing resources for impacted areas, as print assessment. Second, assessments were slow
media coverage is highly associated with donations. and shared among different organizations. Third,
media and politically driven donor competition
The Earthquake Strikes caused world leaders to announce extremely high
On December 26, 2004, a 9.3 magnitude and unrealistic aid pledges. Fourth, aid was not
earthquake ripped open the ocean floor 160 distributed proportionately throughout the impacted
kilometers (100 miles) off the western coast of area. Fifth, funding was not based on quality and
Sumatra, Indonesia. The earthquake was the capacity. For example, some donors only supported
second-largest ever recorded on a seismograph, nongovernmental organizations (NGOs) of their
with the largest occurring in Valdivia, Chile, in national origin, and attention was not paid to types
1960. The magnitude of the earthquake was 9.0, of appropriate and needed supplies. These issues
the fourth-largest-magnitude earthquake in the were widespread, especially when examining media
world since 1900, and the largest since the Alaska reports of individuals directly affected by the
earthquake in 1964. This earthquake, referred to tsunami, yet nearly nonexistent when examining
by the scientific community as the Great Sumatra– reports of aid from a Western perspective.
Andaman earthquake, spawned one of the most
destructive and powerful tsunamis in recorded The Problem of Ethnocentrism
history, most commonly known as the Indian Ocean Many of these problems occurred because of
tsunami, the Boxing Day tsunami (Canada), or the an accepted ethnocentricity of survival needs
Asian tsunami. reported by the media, which has been problematic
The catastrophic conditions generated intensive during international aid response for decades.
mass media coverage in the days that followed the Ethnocentrism is one of the seven most identified
initial impact, particularly in Western countries, clusters of “enduring values” in American news
which led to individuals, organizations, and (the other six are altruistic democracy, responsible
governments sending unprecedented amounts capitalism, small-town pastoralism, individualism,
 Mass Media 605

social order, and national leadership), and it is Indonesian Red Cross was forced to send a letter
most obvious in domestic coverage of foreign to other Red Cross agencies complaining about
news. An assumed uniformity of needs causes the the types of donations and the failure to provide
donation of culturally insensitive and unacceptable an adequate response in the area. For example,
goods, such as international relief ranging from pork was sent to a predominantly Muslim area in
unusable supplies such as prom dresses and Aceh. Thus, mass media coverage—and public
high-heeled shoes to donations not conducive to a dependence on the media for information—played
warm climate, such as parkas. After the tsunami, a pivotal role in constructing relief efforts in donor
inappropriate and unusable items were so common and recipient countries following the 2004 Indian
in Indonesia that the secretary-general of the Ocean tsunami.

mass media consistently manufacture images of their focus on the presumed cause of the crisis
individuals looting and panicking because they and create a narrative of what should be done to
offer dramatic visuals that help generate high resolve the problem.
audience share and viewership.
Since crises often involve a great deal of com-
Statistics: The use of statistics can highlight the plex material, the mass media frequently select
size and scope of the crisis; often, a statistical certain aspects of the problem to report, such as
increase—such as estimates of the number of the responsible party. Taken together, journalists
injuries or casualties—provides media with the and other media professionals use these reporting
opportunity to report on the increasing sever- strategies to create a strong emotional response in
ity of the problem. For example, the mass media their audience, such as a sense of fear, anger, or
continuously reported on the spread of wildfires frustration that will help stimulate public interest
in Texas in 2009 by updating the public with in taking measures to rectify the crisis.
estimates of the numbers of homes and wildlife
threatened and the extent of environmental dam- Lynn Letukas
age, and it was not until the fire was contained University of Delaware
that the media moved on to other news stories.
See Also: Blame, Politics of; Information Asymmetry;
Geographic location: Location is especially per- Information Vacuums; Looting; News Media; Public
tinent when it involves the relationship between Image; Tsunamis.
proximity and distance of the crisis to a large
metropolitan area and media center. Since news Further Readings
organizations and workers tend to be located in Loseke, Donileen. Thinking About Social Problems.
large metropolitan areas, there is a greater likeli- New York: Walter de Gruyter, 1999.
hood that crises in these areas will receive height- Quarantelli, Enrico. “Lessons From Research: Findings
ened media coverage. Media organizations do on Mass Communication System Behavior in the
not need to expend financial resources to send Pre, Trans and Postimpact Periods of Disasters.”
journalists to a remote location if they can cover Preliminary Paper #160. Newark: University of
crises in close proximity to their news operation. Delaware Disaster Research Center, 1991.
In addition, crises that take place in large metro- Shibutani, T. Improvised News: A Sociological Study
politan areas tend to generate the attention of a of Rumor. New York: Irvington Publishers, 1966.
large populace that lives within these areas. Telford, John and John Cosgrave. Joint Evaluation
of the International Response to the Indian Ocean
Blame: The ability to identify a responsible indi- Tsunami: Synthesis Report. London: Tsunami
vidual or organization helps the media narrow Evaluation Coalition, 2006.
606 Maximum Acceptable Outage

Maximum Acceptable Business continuity managers and business impact

analysts must necessarily perform this stage in
Outage consultation with the organization’s management.
All key activities must be considered, whether
Maximum acceptable outage (MAO) is the term they are internal or external-facing. The identified
given to the maximum period of time that a sys- key outputs are then prioritized according to their
tem or key product can be unavailable or undeliv- importance to the running of the organization or
erable following a disruption before its loss will business. Key products and services are assessed
have an irreparable impact upon a business, ser- in terms of a variety of demands, including cus-
vice, or organization’s objectives or survival. Max- tomer expectations, reputational issues, regula-
imum acceptable outage is also frequently referred tory requirements, strategic consequences, and
to as maximum allowable outage or maximum financial and operational impairment.
tolerable period of disruption (MTPOD), par- Departments, functions, and processes of
ticularly within the United Kingdom. Identifying each key activity, product, and service are then
the maximum acceptable outage periods allows mapped. In performing this mapping activity, the
businesses, organizations, and service providers amount of time required to perform activities
to understand their key products and services, to necessary in order to deliver the product or ser-
prioritize management of activities during a crisis, vice to its key stakeholders must be fully under-
and to prepare for a swift and effective recovery. stood. This is often referred to as “cycle time.”
Organizational data are gathered in order to con-
Background firm or refute initial ideas about the MAO and to
The concept of MAOs came into being with the have detailed comprehensive information about
introduction of the British Standard Institute’s departments, functions, and processes, including
BS 25999, published at the end of 2007. The stan- cycle times.
dard requires the dependencies of crucial activi- The length of time each individual product or
ties to be identified within organizations. Section service could remain undelivered before the busi-
4 of the standard states that the goal of a business ness would experience difficulties must be identi-
impact analysis (BIA) is to determine the impact fied. The MAO will be based on several factors,
of a disruption of any activity that supports the which may include lost income, public disruption,
organization’s key products and services. This reputational damage, or regulation compliance
is in part achieved through the identification issues. At this stage, the recovery time objective
of maximum acceptable outages. The MAO is (RTO) can be identified. This is the point in time,
therefore a key aspect of undertaking a BIA of a following a disruption, by which the organization
business, organization, or service provider, with must recover the activity and operations must
the intention of determining the impact of a dis- resume; the MAO is the upper bound on this time.
ruption of any activity that supports the organi- The process then continues by identifying and
zation’s key products or services. implementing response and recovery strategies
that can meet the recovery objectives. The MAO
Identifying Maximum Acceptable Outage enables businesses to focus on the eventual goal
The MAO assists an organization’s management of recovery of their key products and services.
to understand the service itself, as it also adds Throughout this process, time sensitivity must be
clarity to the organization’s recovery priorities. considered. Each organization is likely to have
Understanding the MAO allows management to time periods when processing is especially critical
ensure that proper plans are in place in order to or volumes are exceptionally high. The length of
ensure that the customer’s maximum tolerance is outage will depend on the time of day, day of the
not exceeded. week, and time of the year. For example, if a call
Identifying and understanding maximum center has quiet periods during a Sunday, an out-
acceptable outages comprises several stages. The age occurring on a Sunday may continue longer
initial stage is to identify the key activities, prod- than it would on a Monday morning, which may
ucts, and services of the organization or business. be a much busier period.
 Measles 607

Hypothetical Examples accommodated creates a key loss of income and,

A broad range of possible disruptions should be depending on the scale of accommodation that is
considered. Disruptions are most often caused by disrupted, this loss of income could be extremely
a loss of access to a critical input; these are reason- large. This also applies to bar and restaurant cus-
ably quick to rectify. However, extreme incidents, tom, as it is accounted for by walk-in customers as
such as a total loss of assets resulting from a flood well as by residential guests. Therefore, such key
or fire, should also be considered. It should be services as these could only allow disruption of
understood that maximum acceptable outages are one to three days at the most.
unique not only to each organization, business, or
service provider but also to each process within a Genevieve Goatcher
given organization. Despite this, it is still possible Nottingham Trent University
to look at examples of maximum acceptable out-
ages in certain hypothetical businesses in order See Also: BS 25999; Business Continuity
to gain an idea of what the process and outcome Planning; Business Impact Analysis; Disruption of
of understanding what a specific organization’s Organizations; Recovery Time Objective.
maximum acceptable outage may look like.
A small, individually owned bakery may only Further Readings
have a handful of key products and services, as British Standards Institute. “BS 25999 Business
well as a relatively small number of staff and reg- Continuity.” http://www.bsigroup.com/en/Assess
ular customers. Key services may include delivery ment-and-certification-services/management-sys
of custom orders, in-shop sales of baked goods, tems/Standards-and-Schemes/BS-25999 (Accessed
custom-order cake sales, staff payments, and tax May 2012).
payments. These services decrease in importance Heng, Goh Moh. Conducting Your Impact Analysis
and therefore increase in their maximum accept- for Business Continuity Planning. 2nd ed.
able outage, ranging from two hours for the first Singapore: BCM Institute, 2008.
key service to one day for the next two key ser- Tammineedi, Rama Lingeswara. “Business
vices, and three months for tax payments. This Continuity Management: A Standards Approach.”
example recognizes the importance of maintain- Information Security Journal: A Global
ing the provision of key products and services Perspective, v.19 (2010).
(in-shop sales and custom orders) to customers,
while also recognizing that there is more leeway
in relation to other key activities (staff and tax
payments).
Another, more complex example is that of a Measles
hotel. The key services of a large hotel are likely to
be greater in number than in a small bakery, but Measles (sometimes called rubeola) is a highly
these may be grouped into several smaller specific infectious respiratory disease that, in its severe
areas. For example, these might include accommo- form, can result in people developing blindness,
dation capacity, leisure facilities, bar and restau- encephalitis (brain inflammation), or pneumo-
rant custom, and staff payments. Staff payments, nia. Nearly 20 million people are infected with
as in the previous example, may be delayed by a the measles virus every year, with 164,000 mea-
week (or a month if staff are salaried). Leisure sles-related deaths, mostly in Africa and Asia. In
facilities such as gymnasiums and swimming pools the last 150 years, measles has claimed approxi-
may also be able to accept longer disruptions, from mately 200 million lives. Ninety-five percent of
a few days to as much as a number of weeks. This measles-related deaths occur in the poorest coun-
is because these are not crucial services for cus- tries, with weak or nonexistent health care sys-
tomers despite being advertised as part of the total tems. Even though a vaccine has been available
service package. Accommodation and provision since 1963, measles remains one of the leading
of food and drink, however, are crucial to the run- causes of childhood death and kills more children
ning of a hotel. Each day that customers cannot be than any other vaccine-preventable disease.
608 Measles

A young boy receives a measles vaccination in Fada, a rural village in northern Nigeria. In 2001, with the cooperation of the United
Nations (UN) and nongovernmental agencies, the country launched an integrated measles campaign to protect 31 million children.
Around the world, measles still kills more than 450 people each day—more than164,000 per year. That number has decreased by about
78 percent from 2000, when annual deaths reached 745,000. The UN Foundation’s goal is to eradicate the disease in the next decade.

Origins ICD-10-B05 under the International Statistical

Measles is an ancient disease dating back to at Classification of Diseases and Related Health Prob-
least 600 b.c.e. However, the first scientific report lems (called ICD, for short). The measles virus is a
of measles is credited to the physician Muhammad paramyxovirus belonging to the genus Morbillivi-
ibn Zakariya ar-Razi (860–932). Razi differenti- rus, which includes a number of highly infectious
ated measles (which he called hasbah, meaning viruses that infect canines (i.e., distemper virus),
eruption) from smallpox and chicken pox and out- cetaceans, dolphins, porpoises, and pilot whales
lined his findings in his work The Book of Small- (i.e., morbillivirus). Measles are classified under
pox and Measles. It was not until the 14th century the Baltimore classification as a Group V virus
that the word measles was used. John Enders is rec- because the viruses possess negative-sense single-
ognized as cultivating the virus that causes measles stranded RNA genomes. There are 21 different
(imorbillivirus) in a tissue culture in 1954. Maurice strains of the measles virus. The measles virus is
Hillemann, an employee at Merck, was the first to unrelated to rubella virus (commonly called Ger-
develop a successful vaccine and one of the first to man measles). The nature reservoir of measles is
include multiple live virus strains in 1963. humans, and it is an endemic disease.

Classification and Natural Reservoir Incubation, Symptoms, and Transmission

The Centers for Disease Control and Prevention The incubation period for measles is around 10
(CDC) classifies measles as a biosafety level two, days, with a range of seven to 18 days before the
which is considered a moderate potential haz- start of a fever, followed by a rash. Specifically,
ard. Measles (without complications) is listed as around 10 to 12 days after exposure, a high fever
 Measles 609

(104 degrees F or 40 degrees C) develops, which isolate the measles virus RNA. If a blood sample
is the first symptom. The prodromal fever can last is not available, a diagnosis can be confirmed by a
between four and seven days and is accompanied salivary measles-specific immunoglobulin A (IgA)
by the three Cs: coryza (head cold), cough, and antibodies test.
conjunctivitis. Koplik spots also develop inside
the mouth and on the cheeks, and their presence Prevention, Treatment, and Management
is a means to diagnose measles. Followed the The measles vaccine has been available for almost
three Cs and the Koplik spots is erythematous 50 years, and immunization is effective preven-
maculopapular rash around 14 days after expo- tion at a cost of about $1. The vaccine is often
sure (range 7–18 days), that is typically localized combined with rubella and/or mumps vaccines,
in the upper neck and face area. After three days, thus inoculating the individual against all three
the rash spreads across the body to the hands and illnesses. The majority (85 percent) of the world’s
feet, lasts about five or six days, then dissipates. children receive one dose of the measles vaccine
If the person with measles survives, he or she has by their first birthday. About 15 percent of chil-
lifetime immunity to measles. dren immunized fail to develop immunity, so a
Measles can cause complications that can second dose is necessary to ensure immunity.
result in death, especially in young children who There are no established treatments that kill the
are malnourished, are vitamin A deficient, or measles virus. As a result, treatment focuses on
have a weakened immune system, such as hav- lessening symptoms as well as providing support-
ing human immunodeficiency virus and acquired ive care that lessens the effect of the most serious
immune deficiency syndrome (HIV/AIDS). The complications. The first is ensuring adequate rest,
groups most vulnerable to measles-related death nutrition, and fluid intake (intravenous or oral)
are children under 5 years of age and adults over to prevent dehydration resulting from diarrhea
20 years of age. Encephalitis, blindness, ear infec- or emesis (vomiting). Care also includes provid-
tions, pneumonia and other respiratory infec- ing medications to reduce fever and manage pain,
tions, and severe diarrhea leading to dehydration and antibiotics to treat secondary bacterial infec-
are the most serious complications of measles. tions, such as eye and ear infections and/or pneu-
The virus lives in the cells that line the back monia. In less developed countries, children diag-
of the throat, lungs, or skin. Measles is a highly nosed with measles should be given two doses of
communicable infectious disease transmitted by vitamin A over 48 hours to increase survivability
airborne droplets (coughing or sneezing), direct and avert damage to the eyes and blindness.
face-to-face contact (breathing), and close contact Measles is highly communicable among almost
with the infected person’s nasal or throat secre- all nonimmune people; children especially fall vic-
tions. The measles virus can remain airborne and tim to measles if exposed. Management of measles
on surfaces for two hours. Human-to-human is dependent on vaccination of people who have
transmission occurs one day before the prodro- never had measles or been vaccinated to prevent
mal fever to four days after the rash appears. infection. The introduction of measles into over-
crowded situations, such as evacuation centers or
Diagnosis refugee camps after an emergency and/or disaster,
Other than the presence of the three Cs, the Kop- greatly increases the risk of infection. An emer-
lik spots, and rash, there are laboratory tests used gency and/or disaster event disrupts immuniza-
to confirm the measles virus. Measles can be diag- tion programs, and thus a population that has not
nosed by obtaining and testing swabs from the been vaccinated or is not already immune (having
mouth, nose, or throat, as well as from urine, had measles previously) to the measles virus that
blood, serum, and aspirate (nasopharyngeal, can result in a significant outbreak. Distribution
respiratory) samples. Specimens collected right of vaccines should be prioritized for young chil-
after rash develops are optimal for isolating the dren at greatest risk of infection.
measles virus. Measles virus diagnosis is confirmed
with a measles-specific immunoglobulin M (IgM) Andrew Hund
antibodies test or using a respiratory sample to Umea University
610 Mental Illness

See Also: Doctors Without Borders; Epidemics; another. Among individuals diagnosed with men-
Poverty; Public Health Surveillance; Quarantine. tal illness, crisis situations may range from mild
to severe. Suicidal behavior is one type of crisis
Further Readings situation found among the mentally ill. Based on
Godlee, F., J. Smith, and H. Marcovitch. “Wakefield’s data reported by the American Association of
Article Linking MMR Vaccine and Autism Was Suicidality, about 90 percent of individuals who
Fraudulent.” British Medical Journal, v.342 (2011). commit suicide do so during an episode of mental
“Nigeria Leads Fight Against Measles in Africa.” illness. Based on information in the DSM-IV-TR,
Daily Times Nigeria (April 1, 2011). http://daily 15 percent of persons with a major depressive
times.com.ng/article/nigeria-leads-fight-against disorder and 10–15 percent of persons experienc-
-measles-africa (Accessed August 2012). ing a bipolar I disorder complete suicide. Many
Saffer, B. Measles and Rubella (Diseases and more attempt suicide. Untreated mood disorders,
Disorders). San Diego, CA: Lucent, 2005. including a major depressive disorder and bipolar
World Health Organization. “WHO Guidelines for I disorder, may contribute to the use and abuse of
Epidemic Preparedness and Response to Measles alcohol and other drugs, which in turn intensifies
Outbreaks.” Geneva: WHO, 1999. the risk of suicide.
More broadly, anyone who experiences a seri-
ous traumatic stressor will be impacted in some
way. Although individuals differ in their emo-
tional response to various crisis situations, com-
Mental Illness mon reactions include feeling overwhelmed or
stressed, disbelief, experiencing grief, and feelings
Mental illness is a broad term typically used to of loss. There may be cultural differences in the
refer to one or more of a series of disorders that response to trauma and individual and group dif-
are defined and described in the International ferences in symptoms.
Classification of Diseases, 10th edition, and in Although it may be normative for individuals
the United States are published in the Diagnos- to have a brief and transient reaction to extreme
tic and Statistical Manual of Mental Disorders, stress, ongoing or severe disruptions in functioning
Fourth Edition, Text Revision (DSM-IV-TR). The can occur among some individuals and are more
National Institute of Mental Health (NIMH) has likely among vulnerable populations (e.g., dis-
conducted research indicating that, in any given advantaged, oppressed, mentally ill). Individuals
year, about one-fourth of the population of the who directly experience extreme crisis events such
United States has a diagnosable mental disorder. as natural disasters, terrorism, and sexual assault
The World Health Organization (WHO) reports are more likely to be impacted than those who are
that more than 450 million people worldwide suf- indirectly impacted (e.g., witnessing the events or
fer from mental disorders. The NIMH estimates watching the events unfold on television). About
that about 6 percent of individuals have a serious one-third of individuals who experience a signifi-
mental illness (SMI). Crisis situations may result cant trauma are at risk to develop post-traumatic
in the development or exacerbation of mental ill- stress disorder. Significant traumatic stressors
ness, and individuals with mental illness, espe- include serving in active military combat and wit-
cially serious mental illness, may be more vul- nessing death and/or serious injury, witnessing
nerable upon exposure to a crisis. Mental health genocide, being physically or sexually assaulted,
professionals are vital in the process of assessing, being in a car accident, being seriously injured in
managing, and resolving crises at individual, com- the workplace, experiencing an act of terrorism,
munity, national, and international levels. and witnessing a natural disaster.
A crisis occurs when an individual perceives
that his or her circumstances are beyond his or Mental Illness in a Crisis Situation
her ability to cope or there is a sudden or unex- When an individual with a mental illness is in a
pected disruption in functioning. What becomes crisis situation, he/she is assessed by licensed men-
a crisis for one individual may not be a crisis for tal health professionals, such as psychologists,
 Mental Illness 611

counselors, psychiatrists, and social workers. Cri- and feelings related to the problem; explaining
sis assessments typically occur in a one-on-one the impact of the crisis on the individual, fam-
setting with a client/patient and a mental health ily, and community; discussing what the person
professional in a clinician’s office or in a hospital has already tried to resolve the crisis; brainstorm-
emergency room. There are also national crisis ing possible solutions to resolve the crisis; talking
hotlines where crisis workers assess and manage through the outcome of each solution; selecting
crisis situations. the “best” option; and implementing it. Crisis
Typical approaches to crisis assessment include intervention typically occurs at the individual
a mental status examination (a brief assessment or small-group level. Psychological debriefing or
during which a mental health professional asks a critical incident stress debriefing is a type of cri-
series of questions and makes observations that sis intervention that has been applied on national
serve as a snapshot of the individual’s current level and international levels in an effort to reduce the
of mental functioning), specialized risk assess- likelihood of the development of mental illness.
ment, and in-depth interviews. Based on informa- There is no consistent evidence to support that
tion gathered during these assessments, varying psychological debriefing is effective. In fact, there
levels of crisis management and intervention may are data that suggest it could even be harmful to
be applied. Individuals who are determined to be persons who experience crisis. The WHO recom-
at imminent risk of harm to self and/or others mends the use of psychological first aid versus
may be hospitalized in a psychiatric facility. If less psychological debriefing in the face of large-scale
restrictive means of intervention such as outpa- events of extreme stress. Mental health profes-
tient psychological or psychiatric treatment could sionals should also be prepared to make refer-
be beneficial, individuals may be referred for such rals to community-based support systems and
treatment. Managing crises related to mental ill- resources for assistance in managing periods of
ness may involve psychotherapy, crisis counseling, extreme stress.
medication, hospitalization, or a combination of
these treatments. Tammy Hatfield
Lindsey Wilson College
Crisis Response to Extreme Stress
Crisis management may be needed in response See Also: Bureau for Crisis Prevention and Recovery,
to experiences of extreme stress at the local, UN (UNDP–BCPR); Catastrophe, Definition of;
regional, national, and international level to pre- Centers for Disease Control and Prevention (CDC);
vent the development of mental illness among Crisis, Definition of; Crisis Management, Emerging
those impacted. Many national and international Trends in; Debriefing; Decision Making Under Stress;
agencies provide such aid in times of crisis. Exam- Disaster, Definition of; Emergency, Definition of;
ples include the World Health Organization, the Emergency Medical Care; Emergency Responders;
Centers for Disease Control in the United States, Emergency Support Functions; Health and Medical
and the American Red Cross. Common types of Response Scenarios; Human Trafficking; Journaling;
response to prevent and/or manage mental illness News Media; Panic, Nature and Conditions of;
following crisis situations include psychological Post-Traumatic Stress Disorder; Poverty; Pre-Crisis
first aid, crisis intervention, psychological debrief- Training and Planning; Public Awareness and
ing, and longer-term mental health treatment. Education; Red Cross and Red Crescent; Resiliency;
Psychological first aid is often organized through Risk Analysis; Risk Assessment; Risk Treatment;
local, national, and international organizations Trauma; Vulnerable Populations; World Health
and involves providers responding to immediate Organization (WHO), UN.
needs such as food and shelter, making infor-
mation available as it develops, demonstrating Further Readings
empathy toward those impacted, and promoting American Psychiatric Association. Diagnostic and
the use of individual coping resources. Models of Statistical Manual of Mental Disorders. 4th ed.
crisis intervention typically include the following: Arlington, VA: American Psychiatric Association,
defining the crisis or problem; exploring thoughts 2000.
612 Mental Models

Centers for Disease Control and Prevention. “Burden with people’s existing mental models in two ways.
of Mental Illness.” http://www.cdc.gov/mental New content and existing mental models can inter-
health/basics/burden.htm (Accessed March 2012). act in ways that result in new content being dis-
National Institute of Mental Health. “Coping With missed or interpreted to make it fit with previous
Traumatic Events.” http://www.nimh.nih.gov assumptions (assimilation). A propensity to assim-
/health/topics/coping-with-traumatic-events/index ilate information (i.e., make it fit) makes mental
.shtml (Accessed March 2012). models resistant to change. However, the more
U.S. Department of Health and Human Services. discordant the new information or experience is,
Mental Health Response to Mass Violence and the more likely it is to challenge or contradict cur-
Terrorism: A Training Manual. Rockville, MD: rent beliefs. This can lead to qualitative changes to
Center for Mental Health Services, Substance people’s models and thus how they interpret and
Abuse and Mental Health Services Administration, interact with salient objects, events, and relation-
2004. ships in their environment. The roles mental mod-
World Health Organization. “Mental Health and els play in how people deal with crisis events is
Psychosocial Support in Emergencies.” http://www illustrated with reference to risk communication,
.who.int/mental_health/emergencies/en (Accessed traumatic stress, and emergency management.
March 2012).
Risk Communication
An important facet of crisis management is proac-
tively preparing people with the knowledge, skills,
and abilities required to respond to future crisis
Mental Models events. However, because crisis events (e.g., earth-
quakes, terrorist acts) are rare and make demands
The term mental model refers to how a person on people that fall outside the realm of normal
or group of persons thinks about and mentally experience, the mental models people bring to
represents the objects, events, and relationships in the process of interpreting, comprehending, and
their world. The models facilitate people’s ability using information in such circumstances are ill
to adapt to their environment. The concept of a suited both to anticipating the nature and impli-
mental model is used extensively in cognitive and cations of future crises and to interpreting and
social psychology and sociology (e.g., schema, using the information about future crisis events.
symbolic interactionism). It therefore becomes important to understand the
Mental models are interpretive mechanisms. role mental models play in risk communication.
People use them to organize experiences, impose All groups involved in crisis management pos-
meaning on current events and circumstances, sess mental models that guide their understand-
make sense of the consequences of events and their ing of crisis. However, the models of the scien-
reactions (e.g., emotional) to them, guide how to tists who conduct hazard analyses, the emergency
perform in specific circumstances, and specify the managers who use hazard analyses to develop cri-
conditions under which these performances will sis management strategies, and the general public
occur. They also influence how people make pre- who receive risk information differ. This intro-
dictions about future events, plan appropriate duces considerable diversity in how information
actions to deal with them, and guide how they is interpreted and used—or not used. These dif-
solve problems. Once developed, mental models ferences contribute to explaining problems asso-
become implicit or taken for granted (i.e., people ciated with getting people to act on risk informa-
are not aware of them or their influence). How- tion even when that information is accurate and,
ever, this does not mean that they do not change. objectively, has important implications for people.
Mental models change and evolve as peo- Scientists operate at the most objective level of
ple accumulate experience. New information, analysis, when compared to emergency managers,
acquired actively (e.g., from experience) or pas- the general public, and the media. However, even
sively (e.g., from the media or communications scientists working in the same discipline can use
from friends, relatives, or coworkers), interacts different theoretical paradigms to inform their
 Mental Models 613

work and interpret data. Scientists translate their evident when people experience traumatic stress.
findings about potential crisis events into probabi- Crises expose people to a reality whose atypical,
listic statements about the characteristics of future threatening characteristics result in their exist-
events (e.g., frequency, return period, duration, ing mental models becoming unable to impose
magnitude, intensity). These probabilistic state- meaning on the event and its consequences. An
ments generally contain some degree of subjective example is how existing models were shattered by
interpretation even though science is often very direct and indirect experience of the 9/11 terrorist
quantitative. Emergency management profession- attacks. People were suddenly required to adapt
als interpret scientific data through professional, their models to accommodate the growing threat
social, political, and economic lenses to estimate of terrorism. Despite a long-held belief that their
what could happen and to guide the construc- home soil was relatively safe from foreign attack,
tion of their mitigation, preparedness, response, Americans lost this perception of safety on 9/11.
and recovery plans. They also communicate the Components of previous mental models, such as
outcomes of their deliberations to citizens both a sense of trust, stability, and confidence in one’s
directly (e.g., via public education) and indirectly personal world, were rendered less applicable.
(e.g., via the media—which add their own inter- The ensuing loss of a sense of safety and secu-
pretation). Members of the public, in turn, inter- rity was replaced with mind-sets that defined the
pret information from scientific and civic sources world as a more dangerous place in which feelings
(both directly and indirectly via media analysis) of helplessness and anxiety emerged. More than
to determine whether they will act and to deter- 10 years later, these beliefs remain entrenched in
mine what they should do and when. Interpreta- the mental models of some people, particularly
tion thus occurs at several levels. those who were children, adolescents, and young
The implications of interpretation occurring at adults during the 9/11 attacks.
multiple levels is encapsulated in the concept of the The resolution of traumatic experiences
social amplification (or attenuation) of risk (SAR). includes ruminating about events in ways that
SAR describes the implications of the existence of help people develop new mental models. This
multiple layers of socially constructed interpreta- process is believed to underpin the intrusive imag-
tion for how people anticipate and make choices ery characteristic of traumatic stress reactions.
about future crisis events. SAR has been used to This represents the process of incorporating dis-
explain why seemingly small risks or risk events cordant aspects of the traumatic experience into
result in extraordinary concern by people. new mental models. The resolution of traumatic
Developing effective risk communication experiences can result in the development of posi-
involves understanding how the mental models of tive models. The latter is encapsulated in phenom-
sources and recipients can create diverse interpre- ena such as post-traumatic or adversarial growth.
tive outcomes even when starting from the same Mental models are also implicated in emergency
information. Risk communication about future management.
crisis events should assess and, if necessary, cor-
rect the misconceptions and myths in the mental Emergency Management
models that facilitate people’s understanding. Emergency managers respond to crises using men-
They can then provide information tailored to the tal models derived from their socialization into
critical needs of specific groups in ways that facili- their profession and organization, their training,
tate the ability of the sources of crisis informa- the experiences they accumulate over time, and
tion and the recipients of this information to play the operating practices that prescribe how they
complementary roles in the risk communication respond to routine emergencies. However, atypical
process. Mental models also inform understand- crisis event characteristics (e.g., the scale and diver-
ing of people’s reactions to large-scale crises. sity of consequences to be managed) and manage-
ment contexts (e.g., working in multiagency and
Traumatic Stress multijurisdictional contexts) can render these men-
Crisis events can threaten people’s existing ways tal models less applicable to crises that present
of knowing and interpreting the world. This is demands that differ qualitatively and quantitatively
614 Methods, Qualitative

from those that characterize routine work. New Identity Processes.” Journal of Risk Research, v.4
mental models capable of encompassing these (2001).
environmental, operational, and managerial char- Johnson-Laird, Phillip N. Mental Models. Cambridge:
acteristics are required to provide a viable frame- Cambridge University Press, 1983.
work within which crisis events can be understood Langan-Fox, Janice, et al. “Team Mental Models:
and appropriate plans and strategies implemented Techniques, Methods and Analytic Approaches.”
to manage complex, multifaceted crises. Human Factors, v.42 (2000).
Mental models are crucial determinants of the
effectiveness of the decision-making competencies
required for crisis management. Mental models
influence activities ranging from developing situ-
ational awareness to making decisions in multia- Methods, Qualitative
gency contexts in which key decision makers are
in different locations. Effective crisis management Qualitative methods are the techniques or pro-
under the latter circumstance calls for the use of cedures used to gather and analyze data related
distributed decision making, the effectiveness of to some research question or hypothesis in social
which is a function of the quality of the shared research to interpret the meanings people make
or team mental model developed to allow partici- of their lives. Qualitative researchers may use
pants to develop a shared understanding of mem- different methods for gathering information or
bers’ expertise, roles, and contributions and coor- collecting data. Qualitative methods assume that
dinate their perspectives to allow people to work understandings and theories grow “inductively”
on the same plan toward common goals. out of what is studied. The qualitative methods
The development of shared mental models facil- may include participating in the setting, observing
itates implicit communication (where response is directly, interviewing, conducting focus groups,
expedited through proactive information provi- and analyzing documents and materials. Qualita-
sion). Training, exercises, and simulations can tive methods are useful in exploring new issues,
be designed to develop mental models. However, investigating hard-to-study groups, and deter-
given that the scale and complexity of large-scale mining the meaning people give to their lives and
crisis events has the potential to overwhelm indi- actions. Qualitative methods for data collection
vidual and organizational mental models, com- can be used to understand the processes involved
puter-aided programs called decision support in creating people’s perceptions of their well-being
systems are often used to complement the inter- and shaping how they describe their lives.
pretive competencies of emergency managers. The major features of qualitative research
include observations of natural behavior that
Douglas Paton capture social life as experienced by participants,
University of Tasmania the role of the social context and interconnec-
Chris Gregg tions between social phenomena, the importance
East Tennessee State University of human subjectivity and meanings, and the
subjective role of the researcher. Reflexivity is
See Also: Crisis Communications; Crisis Simulations; an important part of qualitative methods. Geoff
Decision Making Under Stress; Decision Support Payne and Judy Payne define reflexivity as “the
Tools; Disaster Drills; Emergency Manager; practice of researchers being self-aware of their
Emergency Public Information; Exercises, Incident own beliefs, values and attitudes, and their per-
Management; Post-Traumatic Stress Disorder; Pre- sonal effects on the setting they have studied, and
Crisis Training and Planning; Public Awareness and self-critical about their research methods and
Education. how they have been applied, so that the evalu-
ation and understanding of their research find-
Further Readings ings, both by themselves and their audience,
Breakwell, Glynis M. “Mental Models and Social may be facilitated and enhanced.” In this way,
Representations of Hazards: The Significance of the researcher is part of what is being studied.
 Methods, Qualitative 615

Qualitative methods refer to several distinctive participant observation. The researcher is observ-
research designs: participant and direct observa- ing certain sampled situations or people rather
tion, interviews, and focus groups. than trying to become immersed in the entire
context. For instance, one might observe student-
Participant Observation teacher interactions under specific circumstances
Participant observation is a qualitative method in a classroom laboratory setting from behind a
for gathering information that involves devel- one-way mirror, looking especially for the non-
oping a relationship with people while they verbal cues being used. The advantage of this
go about their regular activities. This method method is that if participants are not aware that
requires that the researcher become a participant they are being observed, they are less likely to
in the culture or context being observed. In some change their behavior.
situations, this may involve becoming a member
of the community or population being studied. Interviews
For example, the researcher may participate in An interview is a technique used by researchers to
community activities in crisis management and gather information from informants through oral
observe how people behave and interact with communication, usually, though not always, one
each other. This allows the researcher to gain informant at a time. Interviewers pose questions
insight into the practices and motivations of the to respondents, respondents provide answers
crisis management participants and to under- directly to researchers, and there is an interaction
stand their experiences. Participant observation that is quite personal compared to surveys.
can often require months or years of intensive
work in order to become accepted as a part of In-depth interview: In-depth interviewing involves
the culture and ensure that observations are of asking questions, listening to and recording the
the “natural” phenomenon. The researcher aims answers, and then posing additional questions to
to become accepted as a neighbor or participant clarify or expand on a particular issue. Respon-
rather than an outsider in order to feel what it is dents are encouraged to express their own percep-
like to be part of the group. The extent to which tions in their own words. In-depth interviewing is
this is possible depends on the social context of a qualitative method of finding out about people’s
the setting, the type of questions being investi- experiences, thoughts, and feelings.
gated, and the characteristics of the participants. The goal of the in-depth interview is to develop
One of the strengths of this approach is that the a comprehensive picture of the interviewee’s back-
researcher is able to experience and better under- ground, attitudes, and actions in his or her own
stand the situation. The primary weakness is terms. “Listen to people as they describe how
that it is likely to alter the behavior that is being they understand the worlds in which they live
observed. Ethical issues may arise if the partici- and work,” as put by Herbert Rubin and Irene
pant observer misrepresents him/herself in order Rubin. There are three basic approaches to in-
to be accepted by the community being studied. depth interviewing that differ mainly in the extent
to which the interview questions are determined:
Direct Observation the informal conversational interview, the semi-
Direct observation is distinguished from partici- structured interview, and the standardized open-
pant observation in a number of ways. A direct ended interview. Each approach serves a different
observer does not aim to become a participant in purpose and has different requirements.
the context but strives to be unobtrusive in order
not to bias the observations. Direct observation Informal conversational interview: The infor-
suggests a more detached perspective, where the mal conversational interview relies primarily on
researcher is watching rather than taking part. the spontaneous generation of questions in the
Technology can be a useful part of direct observa- natural flow of an interaction. This type of inter-
tion. For instance, one can videotape the phenom- view is appropriate when the researcher wants to
enon or observe from behind one-way mirrors. maintain maximum flexibility to be able to pur-
Direct observation tends to be more focused than sue questioning in whichever direction appears
616 Methods, Qualitative

to be appropriate, depending on the information interview instrument was elaborated. Standard-

that emerges from observing a particular setting ized open-ended interviews limit the use of new
or from talking to one or more individuals in that questions with different people depending on their
setting. Under these circumstances, it is not possi- particular experiences. This reduces the extent to
ble to have a predetermined set of questions. The which individual differences and circumstances
strength of this approach is that the interviewer can be fully incorporated in the evaluation.
is flexible and highly responsive to individual dif-
ferences, situational changes, and emerging new Key informant interview: A common type of indi-
information. The weakness is that it may gener- vidual interview is the key informant interview. A
ate less systematic data that is difficult and time- key informant is an individual who, as a result of
consuming to classify and analyze. his/her knowledge, previous experience, or posi-
tion in a community, has access to information
Semi-structured interview: An interview of this valuable for the researcher, such as insights about
type involves the preparation of an interview the functioning of members of society, their prob-
guide that lists a pre-determined set of questions lems, and their needs. Key informants are a source
or issues that are to be explored during an inter- of information that can assist in understanding
view. This guide serves as a checklist during the the context of a program or project or in clarify-
interview and ensures that basically the same ing particular issues or problems. However, since
information is obtained from a number of people. the selection of key informants is not random, the
The advantage of the interview-guide approach issue of bias always arises.
is that it makes interviewing a number of differ-
ent persons more systematic and comprehensive Group interviews: Interviews with a group of indi-
by focusing on the issues to be taken up in the viduals can take many different forms, depending
interview. The weakness of this approach is that on the purpose they serve, the structure of the
it does not permit the interviewer to pursue top- questions, the role of the interviewer, and the cir-
ics or issues of interest that were not anticipated cumstances under which the group is convened.
when the interview guide was elaborated. Also, Some forms of group interviews are focus groups,
interviewer flexibility in wording and sequenc- community interviews, and spontaneous group
ing questions may result in substantially different interviews. Group interviews are often referred to
responses from different persons, thus reducing as focus groups or focus group interviews, and
comparability across interviews. they retain some of the characteristics of indi-
vidual interviews while adding the possibility for
Open-ended interview: The open-ended inter- interaction among respondents.
view consists of a set of open-ended questions
carefully worded and arranged in advance. The Focus group interview: Focus group interviews
interviewer asks each respondent the same ques- are interviews with small groups of people with
tions with essentially the same words and in the similar backgrounds and experience. Individuals
same sequence. This type of interview may be used are led in a group discussion of a topic for one
when there are several interviewers and the evalu- to two hours. Participants are asked to reflect on
ator wants to minimize variation in the questions the questions asked by the interviewers, provide
they pose. It is also useful when it is desirable their own comments, listen to what the rest of
to have the same information from each inter- the group has to say, and react to their observa-
viewee at several points in time or when there are tions. The main purpose is to elicit ideas, insights,
time constraints for data collection and analysis. and experiences in a social context where people
Standardized open-ended interviews enable the stimulate each other and consider their own views
researcher to collect detailed data systematically along with the views of others. Typically, these
and facilitate comparability among all respon- interviews are conducted several times, with dif-
dents. The weakness of this approach is that it ferent groups, so that the evaluator can identify
does not permit the interviewer to pursue top- trends in the perceptions and opinions. The inter-
ics or issues that were not anticipated when the viewer acts as facilitator, introducing the subject,
 Methods, Qualitative 617

guiding the discussion, cross-checking partici- better understand the values and beliefs of partici-
pants’ comments, and encouraging all members pants in the setting. Minutes of meetings, formal
to express their opinions. One of the main advan- policy statements, and program documents are all
tages of this technique is that participant interac- useful for developing an understanding of the orga-
tion helps identify inaccurate or extreme views. nization, setting, or group studied. Program docu-
This requires a skilled facilitator to ensure bal- ments can provide valuable information that may
anced participation from all members. Focus not be accessible by other means. For example,
group methods share an emphasis on discover- documents provide information that the researcher
ing unanticipated findings and exploring hidden cannot observe because events took place before
meanings, although they do not provide a means the study or they reflect plans that have not been
for developing reliable, generalizable results. realized in actual performance.
Focus groups are useful for quickly assessing the
range of opinions about an issue. Conclusion
Qualitative research methods allow researchers
Community interview: Community interviews to obtain a richer and more intimate view of the
are conducted as public meetings in which the social world. Qualitative methods are particu-
whole community is consulted. Typically, these larly useful for research with diverse population
interviews involve a set of questions. Once the groups because they can take into consideration
interviewers pose a question, the group interacts the meanings and interpretations of lived experi-
to gain a consensus around an answer. Interview- ences. The qualitative methods described in this
ing the community as a whole can provide valu- article provide important knowledge useful for
able information on how well a project is work- emergency management practice.
ing. The major weaknesses of this method are that The three most common qualitative meth-
participation may be limited to a few high-status ods are participant observation, interviews, and
members of the community and that community focus groups. Each method is particularly suited
leaders may use the forum to seek consensus on for obtaining a specific type of data. Participant
their own views and preferences. observation is appropriate for collecting data on
naturally occurring behaviors in their usual con-
Case study: A case study is a detailed study of texts. In-depth interviews are optimal for col-
a single example (such as an organization, set- lecting data on individuals’ personal histories,
ting, or group) that is seen as an integrated social perspectives, and experiences, particularly when
unit and must be studied holistically. Case stud- sensitive topics are being explored. Focus groups
ies have been used for many years. Robert Yin are effective in eliciting data on the cultural norms
(1991) identified three types of case studies. The of a group and in generating broad overviews of
critical case challenges a hypothesis or theory, the issues of concern to the cultural groups or sub-
unique case is selected for own intrinsic interest, groups represented. Qualitative methods generate
and the revelatory case generates new and fresh different types of data such as field notes, audio
ideas. Case studies using qualitative approaches and/or video recordings, and transcripts.
may use various methods of collecting data, as New technologies are adding to data collec-
described herein. They are self-contained and do tion strategies available to qualitative research-
not strive to generalize across cases. ers, with computers, digital audio and video,
and wireless communication providing new ways
Documentary methods: Documents provide data for researchers to connect to and interact with
about the social world of the people who created research subjects. These new developments offer
them. Personal, private, and public documents can benefits in terms of efficiency. For example, digital
provide background information for understand- cameras make it much easier for researchers to use
ing the rationale for selecting a particular site, pro- photography as a data collection method, where
gram, or population. Researchers often supplement subjects can talk about their photos and gener-
participant observation, interviewing, and obser- ate new data. Carol Wang and Mary Ann Burris
vation with gathering and analyzing documents to (1997) described “photo voice” as a method to
618 Methods, Quantitative

enable people to identify and represent their com- disciplines and methods of inquiry, there exists no
munity, promote critical dialogue and knowledge agreed-upon set of procedures for the length of
through discussion of photographs, and reach time of data collection, sampling techniques, and
policymakers. analyses of data. This may be attributed in part to
Qualitative methods can be used to improve the novel set of circumstances under which crises
the quality of survey results of quantitative data arise. Because crisis events tend to be unpredict-
by strengthening the design of questionnaires able and exist outside a laboratory setting, adher-
and clarifying quantitative findings. Qualitative ence to strict scientific methods is often unrealistic.
methods are typically more flexible than quanti- Therefore, in the study of crisis, the quantitative
tative methods because they facilitate interaction scientist must be sure to articulate his/her choices
between the researcher and the participant. For to bolster credibility of the methods used to col-
example, one advantage of qualitative methods lect, analyze, and interpret data.
in exploratory research is that open-ended ques- Highly standardized or textbook methods
tions give participants the opportunity to respond for sampling and interacting with research par-
in their own words, rather than forcing them to ticipants, such as random sampling and the ran-
choose from fixed responses. dom assignment of individuals to stimulus and
control groups, are often impossible during or
Julie Drolet in the immediate aftermath of a crisis. Take, for
Thompson Rivers University instance, the restrictions that are often associated
with the physical location of a crisis. In some cri-
See Also: Disaster Assessment; Documentation; ses, the site of a disaster may be dangerous, and
Historical Analogies, Use of; Methods, Quantitative; data collection may involve significant personal
Risk Assessment. risk. Often, crisis research is conducted a signifi-
cant length of time after the event, when condi-
Further Readings tions have normalized, requiring the respondents
Engel, Rafael J. and Russell K. Schutt. The Practice of to answer questions about prior events, intro-
Research in Social Work. 2nd ed. Thousand Oaks, ducing the issues of bias, memory lapse, or any
CA: Sage, 2009. number of types of retrieval error or threats to
Marshall, Catherine and Gretchen B. Rossman. validity. Moreover, eliciting participation from
Designing Qualitative Research. 5th ed. Thousand survivors of crises is often difficult. These factors,
Oaks, CA: Sage, 2011. among others, promote the use of some type of
Payne, Geoff and Judy Payne. Key Concepts in Social survey methodology, usually self-administered,
Research. Thousand Oaks, CA: Sage, 2005. face to face, computer mediated, telephone, or
Rubin, Herbert J. and Irene S. Rubin. Qualitative otherwise assisted. In contrast, it is nearly impos-
Interviewing: The Art of Hearing Data. Thousand sible to produce true field experiment conditions
Oaks, CA: Sage, 1995. in the context of a crisis or emergency, given
Wang, Carol and Mary Ann Burris. “Photovoice: their complex, unexpected, and often dangerous
Concept, Methodology, and Use for Participatory characteristics.
Need Assessment.” Health Education and Researchers are presented with further chal-
Behavior, v.24 (1997). lenges in terms of sampling. For a number of
Yin, Robert. Case Study Research: Design and reasons, it may actually be advantageous for the
Methods. London: Sage, 1991. crisis researcher to refrain from using randomized
designs. An increasingly common preference in
crisis research is to collect data quickly in order
to minimize memory effects or recall heuristics.
The more time between an event and admin-
Methods, Quantitative istration of a questionnaire, the more likely the
respondent is to use imprecise methods of recall,
Quantitative research methods in the study of including mapping, heuristics, and decomposi-
crises are highly unstructured. Across multiple tion. Thus, researchers are increasingly relying on
 Methods, Quantitative 619

nonrandomized data that are collected as quickly Collecting data is not the only area where a cri-
as possible after an event. sis researcher will encounter challenges with tra-
ditional quantitative methods. Data analysis also
Randomization and Design may pose some challenges. In the absence of ran-
Although the strongest way to control for ini- domization, the statistical assumptions associated
tial differences between the stimulus and control with many popular inferential statistics are often
group in experimental research is randomization, violated. Such violations also are evident, however,
this is often difficult in crisis research. Under per- in many randomized experiments and most quasi-
fect conditions of randomization, within-group experiments. Crisis researchers should attempt to
variance should be fairly consistent from group correct for the violations of these assumptions by
to group. Crisis research in particular is a type of using appropriate statistical analyses. Nonpara-
quantitative research in which an argument can metric methods, for example, have the benefit of
be made that nonrandomized designs are accept-
able and should be accepted as standard. Crisis
research often is not experimental; the researcher
is not manipulating an independent variable to
Case Study: Using Quantitative Methods of
observe the effect on a dependent variable. Crisis
Data Collection After Hurricanes
research is closer to quasi-experimental design,
in that there is less support for counterfactual A series of studies conducted after Hurricane
inferences forcing the researcher to enumerate Katrina and Hurricane Ike outline the difficulties
alternative explanations to decide which are plau- of collecting data and using quantitative methods
sible. Therefore, the belief that samples are biased in the study of crisis.
because of the unfeasibility of random selection Nonrandomized samples were drawn because
and assignment is often voiced in reviews of crisis access to evacuated residents was difficult.
research, but it is an argument with little merit. Moreover, an accurate population frame was
It can be the case that a target population does unavailable, as all affected residents did not
not have a plausible frame available, or a frame evacuate and those who did choose to evacuate,
that is an adequate match. The larger concerns to did not evacuate to the same location. For
the crisis researcher are undercoverage and ineli- instance, after Hurricane Katrina, evacuees found
gible units. When elements of the target popula- shelter in temporary housing, Federal Emergency
tion are missing from the frame, this is known as Management Agency (FEMA) centers, hotels, and
undercoverage. When there is no population list campgrounds. Homeless and in need of proper
available from which participants may be drawn, shelter, they were relocated to different parts of
this is an issue that can be addressed in the limi- the country. Although evacuees of Hurricane Ike
tations section of research. Ineligible units are a did not face the same challenges associated with
more difficult issue. These are elements that are Katrina, there still was no uniform method and
not part of the target population but either were locations of evacuation. In the days following
included in the frame or have somehow been the evacuations, the acquisition of an accurate
exposed to some kind of intervention. Because sampling frame was unrealistic. For the two
they are not part of the target population, their crises, the researchers used self-administered
responses introduce error into the study, and cau- surveys, which were given to individuals in
tion must therefore be taken to explain to partici- temporary relief shelters in more than five states
pants the requirements for inclusion. (after Hurricane Katrina) or individuals in hotels
and gas lines (after Hurricane Ike). Although
Accounting for Nonrandomization individuals of all income levels, races, and other
Several steps can be taken to strengthen the valid- important characteristics were represented in
ity of the measures in the absence of randomiza- such shelters, hotels, and gas lines, the authors
tion. These include attempting a census, chang- carefully defined their target population in order
ing the unit of analysis, or carefully defining the to maximize their ability to generalize.
population to which the research will generalize.
620 Minimum Business Continuity Objective

requiring fewer statistical assumptions; thus, they Spence, P. R., JJ McIntyre, K. A. Lachlan, M. E.
are able to preserve type I error rates to nominal Savage, and M. W. Seeger. “Serving the Public
alpha when testing hypotheses without making an Interest in a Crisis: Does Local Radio Meet the
appeal to population parameters. Many statistical Public Interest?” Journal of Contingencies and
tests are based upon the assumption that the data Crisis Management, v.19 (2012).
are sampled from a Gaussian distribution when,
in practice, this is not often the case. Tests that do
not make assumptions about the population dis-
tribution are referred to as nonparametric tests.
For example, using the Wilcoxon-Mann-Whitney Minimum Business
test rather than Student’s t test, or Kruskal-Wallis
rather than ANOVA, will allow the crisis researcher Continuity Objective
to provide a counterargument against the notion
that an error in the data analysis has occurred as a The term minimum business continuity objective
result of a violation of the normality assumption. (MBCO) describes the minimally acceptable level
of services and business objectives that an organi-
Experimental Methods zation plans to achieve during an incident. These
Often, research on crisis management conducted objective levels are set by policy from executive
using an experimental design takes place in a field management, industry regulation, and govern-
setting. A field study is an experiment performed mental requirements. Some organizations refer
outside the laboratory, in the “real” world. The to the MBCO using the term minimum service
most obvious advantage of a field experiment is level. The MBCO is the predetermined service or
its practicality, and it also allows experimenta- product level within time scales that are set by the
tion, without artificially introducing confounding organization.
variables. However, laboratory experiments have
several potential advantages for crisis research. Term History and Usage
Minimum business continuity objective is a term
Patric R. Spence from Singapore’s Technical Reference for Busi-
University of Kentucky ness Continuity Management (TR19) released in
Kenneth A. Lachlan 2005 and later in the replacement standard, Sin-
University of Massachusetts, Boston gapore Standard 540. The British Standard 25999
(BS 25999) introduced a similar term, maximum
See Also: Losses, Quantitative Versus Qualitative; tolerable period of disruption (MTPD).
Methods, Qualitative. The ISO 22301:12 (expected for release in
summer 2012) is expected to replace BS 25999
Further Readings and to include the term MBCO. As of this writing
Lachlan, K. A., P. R. Spence, and M. Seeger. the ISO 22301:12 was not yet published.
“Terrorist Attacks and Uncertainty The minimum business continuity objective is
Reduction: Media Use After September 11th.” used to encourage executive management to take
Interdisciplinary Research on Terrorism and ownership and guidance of continuity programs.
Political Violence, v.1 (2009). Revisiting the MBCO throughout the process
Sawilowsky, Shlomo S., ed. Real Data Analysis: A of business continuity is important. As business
Volume in Quantitative Methods in Education objectives change, the MBCO should also be
and the Behavioral Sciences: Issues, Research, reviewed to ensure it remains consistent with the
and Teaching. Charlotte, NC: Information Age goals of the organization.
Publishing, 2007.
Spence, P. R. and K. A. Lachlan. “Disasters, Crises, Determination
and Unique Populations: Suggestions for Survey To establish an MBCO, the organization must
Research.” New Directions for Evaluation, v.126 identify the business activities and processes that
(2010). shall not be disrupted. The identification begins
 Minimum Business Continuity Objective 621

with the detection of critical business functions or critical. The MBCO differs from maximum toler-
time-sensitive business functions. The SS540:2008 able period of disruption (MTPOD) because it is
standard maintains that MBCO shall be defined based on a level of service or product rather than
after a risk analysis is performed and before the an amount of time within which an organization
business impact analysis. must resume normal function.
The completion of a business risk analysis and
business impact analysis provides quantitative Tests and Exercises
and qualitative impacts if these critical business Business continuity plans should be tested to see
functions are lost. The business impact analysis that the proper MBCOs have been set. Plans can
can provide the information needed to understand also be tested to see where the organization is
the organization and the level that it requires to able to meet the MBCO and where it needs to
maintain continuity during any incident or dis- improve. All exercises or tests shall be strategi-
ruption. It is important to identify dependencies cally designed with the organization’s MBCO in
for the critical functions identified in determining consideration. Evaluation and debriefing of exer-
the MBCO. Other key information essential in cises and tests should include MBCO review.
determining minimum business continuity objec- Resilience can be defined as the ability of an
tives includes recovery time objectives, recovery organization, staff, or system to absorb the impact
point objectives, and minimum resource require- of a business disruption and continue to provide
ments. The recovery time objective of an organi- a minimum acceptable level of service. Therefore,
zation is the length of time in which a business an organization that is able to meet the MBCO
process must be restored after disruption. This is resilient. By reviewing the MBCO during tests
time period may be referred to as the maximum and exercises, the resiliency of an organization
tolerable period of disruption. Beyond this dura- can be evaluated. Tests and exercises are able to
tion, the damage to the organization becomes reveal impreciseness in the MBCO and promote a
critical and often beyond recoverable. It should more accurate level of service to be set.
be noted that the terms MBCO and recovery time
objective are not interchangeable. Examples
The recovery point objective is the maxi- Typically, a finance department will have an
mum duration of time over which information MBCO to maintain the ability to pay accounts
data or service may be lost. This time period is that are supporting emergency functions, such
also known as the maximum acceptable outage. as recovery. Human resources departments may
Again, the extension of disruption beyond this have an MBCO to maintain payroll during emer-
time produces a severely negative impact on the gency response. Setting the maximum allowable
organization. duration of downtime can be an example of an
The minimum resources required for busi- MBCO. The MBCO will include the minimum
ness continuity and recovery are also necessary personnel, resources, time, and service required.
in determining MBCO. All of these objectives An organization may have several MBCOs. Each
and standards are integral in setting the proper department may have an MBCO that supports
MBCO. Neglecting to take this factor into con- the organization’s overall MBCO. If a disruption
sideration results in an MBCO that does not pro- occurs, organizations and departments need to
vide levels of service that increase the resiliency of maintain the MBCOs and continue critical service
the business. in order to recover.
When setting the MBCO, it is important to
understand that these objectives can be viewed Nicole A. Gross
in many different perspectives. For example, Strategic Business Resiliency
an MBCO can be seen as either the minimum
amount of time that service can be unavailable See Also: Business Continuity Planning; Critical
or as the amount of time it takes to recover the Business Functions; High Reliability Organization
service. Clarifying the objective so that every- Theory; Policy Setting; Pre-Impact Planning Process;
one within the organization understands it is Recovery Time Objective; Strategic Plans.
622 Mining

Further Readings a modern-day ghost town, and the environmen-

International Organization for Standardization. tal effects of the fire are still unknown. Another
“Information Technology—Security Techniques— well-known mining disaster is the Hillcrest mine
Guidelines for Information and Communication in Alberta, Canada, where 189 miners were killed
Technology Readiness for Business Continuity.” in 1914. The Crandall Canyon mine in Emery
ISO/IEC 27031:2011. http://www.iso.org/iso/iso County, Utah, made national news when six min-
_catalogue/catalogue_tc/catalogue_detail.htm?cs ers were trapped by a collapse in 2007 and three
number=50038 (Accessed May 2012). rescue workers were killed in a subsequent col-
International Organization for Standardization. lapse. One of the more prominent features of this
“ISO 22301:2012: Societal Security—Business collapse was the public relations problem associ-
Continuity Management Systems, Requirements.” ated with Chief Executive Officer (CEO) Robert
http://www.iso.org/iso/iso_catalogue/catalogue_tc Murray. Murray contended that the collapse was
/catalogue_detail.htm?csnumber=50038 (Accessed caused by an earthquake. In 2010, the Upper Big
May 2012). Branch mine in West Virginia collapsed following
Singapore Standards Council. “Singapore Standard an explosion caused by improper ventilation sys-
for Business Continuity.” SS540. 6.2.1-6.3.1.2. tems that resulted in the death of 29 miners.
http://www.ss540.org (Accessed May 2012).
Spring Singapore. “Technical Reference for Business Mining Rescue
Continuity Management.” TR19:2005. http://www Because of the dangers inherent in subsurface
.singaporestandardseshop.sg/data/ECopyFileStore mining, significant resources have been devoted
/070105094116Preview%20-%20TR%2019-2005 to the study and regulation of mine safety, evacu-
+Err1.pdf (Accessed May 2012). ation, and rescue. One well-known example of
safety and rescue occurred in 2010 in the country
of Chile. The Copiapó mining accident occurred
on August 5, 2010, when a gold and copper mine
near Copiapó, Chile, caved in, trapping 33 min-
Mining ers in a chamber some 2,300 feet underground
for 70 days. All of the trapped miners survived
Mining of minerals, stone, or other materials from and were rescued on October 13, 2010. It was
the earth has been undertaken by people since less than six months after an earthquake and
prehistoric times. Broadly, mining can be divided associated tsunami in Chile, and the successful
into two excavation types: surface mining and rescue operation inspired Chile and the world.
subsurface mining. Subsurface mining receives Chile’s government responded to the accident
the most attention and is best represented in the immediately after the first collapse. On August
crisis management literature. Subsurface mining 7, President Sebastián Piñera and Chilean Minis-
has a host of physical hazards associated with the ter of Mining Laurence Golborne cut short other
mine as well as potential health and safety issues official trips to visit the mine. The top officials of
for those working in the mines. the Servicio Nacional de Geología y Minería de
Chile (SERNAGEOMIN), Chile’s mining regula-
Mining Crises tory agency, were dismissed on August 8. Supplies
Mining crises can have short-term impacts, such were sent to the survivors beginning August 23,
as immediate loss of life, or long-term impacts. and equipment was set up to provide voice com-
One mining crisis that occurred in Centralia, munication with them, yet the miners were told
Pennsylvania, in 1962 has had a continued impact that it would take at least four more months to
to the present day. Although there is no consensus be rescued. Three access strategies to reach the
on how the fire began, it has been burning con- shelter had been implemented on August 30 and
tinuously since 1962; in 1992, the state of Penn- October 9; to avoid delay, a comprehensive rescue
sylvania invoked eminent domain on all proper- plan was adapted from previous successful rescue
ties in the town, and in 2009, a forced eviction operations (i.e., the 2002 Quecreek mine rescue in
of the remaining residents occurred. Centralia is the United States and 1963 Wunder von Lengede
 Mining 623

in Germany), and the Fénix rescue capsule was

hired to extract survivors one by one.
The miners self-organized well, with a rigid
scheduled routine during the entrapment. They
were discovered to be still alive 17 days after the
first collapse, with a note sent up by a drill bit
stating that they were all well in the refuge. Dur-
ing the first voice contact, the miners sang Chile’s
national anthem to their relatives above and to
the rest of the world. In addition, the expertise
of the United States’ National Aeronautics and
Space Administration (NASA) and more than a
dozen multinational corporations also committed
to help the miners and their kin. Making health
and safety issues the primary concern, the rescu-
ers kept in touch with the trapped miners, not
only expressing the solidarity of the whole nation
but also providing regular contact with psycholo-
gists and doctors as well as religious support.
Exclusive television coverage during the rescue
was provided by state-owned facitilies. The gov-
ernment’s 24-hour nonstop coverage sent news of
the rescue efforts around the world. The Chilean
president and First Lady were present along with
the miners’ relatives and rescuers at the site. The
trapped miners were brought up in the order of the
skilled, weak, and strong. It took 21 hours and 44
minutes on October 13, but all of the 33 trapped
miners returned to the surface. Although most of
the miners were apparently in good health, all of
them were taken to a hospital for further physi-
cal and psychological evaluation. The rescue cost
$20 million, mainly provided by private dona-
tions, the mine owners, and the government.
The Copiapó mining accident created asuccess-
ful rescue operation from the greatest depth ever
and over the longest period of time for miners to
survive in history. It has been widely discussed as
a successful operation; however, the personal situ-
ations of the miners were reported to be not opti-
mistic after the accident.

Xialing Lin
Western Michigan University
Patric R. Spence
University of Kentucky
The Fenix 2 rescue capsule, used in the rescue of 33 miners
See Also: Credibility; Earthquakes; Environmental in the San José mine near Copiapó, Chile, in October 2010,
Contamination; Evacuation; Incidents Versus Crises; on display in the Atacama Regional Museum in Copiapó. The
U.S. Geological Survey (USGS). miners were trapped 2,300 feet underground for 70 days.
624 Mirroring

Further Readings downloaded, so that when the original site is over-

Charlebois, S. and G. Elliott. “Mining for Mindsets: loaded, users may download from mirror sites
The Conceptual Anatomy of a Successful Crisis instead. Such mirror sites also allow users to down-
Communication Strategy in Mining.” Journal of load from the server closest to them, enabling faster
Marketing Communications, v.15/1 (2009). access. (Less commonly, mirror sites are created in
Qian, Q.-y., J. Budiman, and J. Shen. “Emergency order to “link farm” —manipulating search engine
Evacuation System for Mines.” Journal of Coal results by using the mirrors to link to each other.
Science and Engineering (China), v.17/3 (2011). This is contrary to the goal of search engines, and
Stracher, G. B. and T. P. Taylor. “Coal Fires is considered unethical.) Sites are sometimes tem-
Burning Out of Control Around the World: porarily mirrored when traffic spikes as a result of
Thermodynamic Recipe for Environmental some specific event, such as recent news coverage.
Catastrophe.” International Journal of Coal And there is increasing interest, as the Web steadily
Geology, v.59/1–2 (2004). grows older and much of the material produced
for it exists in no other form, in mirroring sites for
archival purposes, just as historians produce and
preserve audio and video recordings.
Sites that have been mirrored may be browsed
Mirroring off-line, which may be seen as an additional ben-
efit. Some browsers are designed specifically for
Mirroring is the production of an exact copy of off-line browsing, but most popular Web brows-
a set of computer data, to create a backup or for ers can be used for the purpose. Sites can also be
some other purpose. For instance, mirror sites on automatically downloaded and mirrored locally
the Internet are exact copies (with functioning (on the user’s computer, not on a server) for off-
internal and external links and all data, images, line browsing later, and software has existed for
and media) of Web sites. Mirror sites may be cre- this purpose nearly as long as Web browsers have;
ated to protect data in the event that something today, the software is often offered as extensions
happens to the server on which the original is for Web browsers. Use of the Kiwix off-line Wiki-
stored—for instance, to protect the data from pedia reader allows, in essence, access to a large
damage to the server as the result of disaster—or copyright-free encyclopedia without requiring
to preserve a copy of the data in the event that Internet access; Kiwix has been used for schools
the original is deliberately tampered with. Some and libraries in developing countries.
sites now automatically mirror the Twitter feeds
of all politicians, so if a controversial tweet is later Live Mirroring and Database Replication
deleted, a copy of it exists so that its issue can- Live mirrors are synchronized with the origi-
not be denied. In other instances, government, nal site. Data synchronization harmonizes data
employer, or court-ordered censorship may result between two or more data sets, updating the files
in a site being taken down; creating mirror sites in all sets when one set is changed. Live mirrors
(typically not under the control of the original are much less common and are resource-inten-
site’s owner) makes it more difficult to constrain sive—even trivial changes take some resources
that information. For this reason, for example, to synchronize—but they are the best mirrors for
there are mirrors of Wikileaks and its files, which many of the above purposes, as well as for recov-
allowed it to survive the termination of its account ery after a loss of the original. Live mirroring is
with Amazon. Mirror sites also provide access important with databases, and database replica-
to information when access to an original site tion is incorporated into many database manage-
is restricted, a method that has been used to get ment systems. In such systems, the master data-
around the “great firewall of China” that restricts base takes the changes, which are then delivered
Chinese computer users’ access to many sites. to the slave databases; further, slave databases
Mirror sites may also be created in order to issue a signal confirming receipt, and the master
spread out the bandwidth usage of site access; continues to deliver the information until that sig-
this is often done with sites hosting data to be nal is received, in order to ensure that the update
 Mirroring 625

is completed. Because both business and govern- harm to the site. Other forms of live storage tran-
ment are increasingly dependent on maintaining spire across a network, so that the drives can be
vast databases of information, database replica- kept far apart; this method closely resembles mas-
tion is an important part of emergency prepared- ter-slave database replication. Totally synchro-
ness, guaranteeing that a copy of the database— nous replication uses atomic write operations to
as up-to-date as possible— survives catastrophe. guarantee a perfect mirror: the write operation is
Because of its resource intensity, database rep- not complete until the write is confirmed in the
lication becomes more complicated and difficult remote storage drive, just as in master-slave data-
as it scales upward. At a much greater cost, and base replication, and the master database contin-
a greater complexity that requires more diligent ues to send the information until receipt is con-
oversight, databases can be configured for multi- firmed. Although safe and secure, this also slows
master replication, in which changes to any of the down operations considerably when the remote
master databases are rippled to others. The com- storage drive is far away; even a drive five miles
plexity comes from the possibility—increasingly away results in an operation that takes five times
probable, the larger the database is and the more as long. Semisynchronous or asynchronous repli-
common updates are—that changes will be enacted cation systems still confirm receipt but continue
on more than one database at once, conflicting the local computer’s operations although wait-
with each other. Replication systems for multi- ing for it; while this opens up a risk for data loss,
master database replication are called “eager” or it also allows for mirroring that is less likely to
“lazy,” depending on how they handle this con- noticeably slow down the local computer.
flict, and the sensible approach varies according Replication of data can also be accomplished
to the type of data and its use. Eager replication through distributed shared memory, a memory
systems prevent conflicts; lazy replication systems architecture in which logically shared address
resolve conflicts. Eager systems detect conflicts as space is assigned to physically shared memory;
they occur, then choose between the two changes, in such a system, data are replicated across many
recording one and forgetting the other. Lazy sys- nodes. Because data recovery is usually not the
tems resolve the conflict later, creating a brief end goal of distributed shared memory, it does
period in which the database is unclear. Further, not protect against data loss or data corruption
various schemes may be established for determin- as effectively as synchronous mirroring.
ing how to resolve these conflicts. Seniority may
be privileged, honoring the update with the ear- Bill Kte’pi
liest time stamp. Some master databases may be Independent Scholar
considered “more master” than others, such that a
conflict between Database P and Database Q will See Also: Alternate Site, Corporate; Backup Facility;
always be resolved in P’s favor. Different resolu- Backup Media; Backup Strategy; Data Recovery.
tion algorithms may be used for different types
of updates, and an algorithm may consider and Further Readings
weigh multiple factors. Whatever system is used McCarthy, N. K. The Computer Incident Response
for conflict resolution will always be consistent Planning Handbook: Executable Plans for
across all the databases in the system. Protecting Information at Risk. New York:
Live mirroring of hard drive data is also pos- McGraw-Hill, 2012.
sible and is sometimes called disk mirroring, active Radvanovsky, Robert and Allan McDougall. Critical
storage, synchronous storage, or real-time storage. Infrastructure: Homeland Security and Emergency
Disk mirroring is the simplest form of this type of Preparedness. Boca Raton, FL: CRC Press, 2009.
storage: multiple hard drives are connected locally, Vacca, John R. Computer and Information Security
and data recording is done to all drives simulta- Handbook. Burlington, MA: Morgan Kaufmann,
neously. The limitation here is that the drives are 2009.
all kept in the same place; although this protects Wallace, Michael and Lawrence Webber. The
against hard drive failure resulting from a defect, Disaster Recovery Handbook. New York:
age, or perhaps a virus, it does not protect against AMACOM, 2010.
626 Missiles

Missiles and fallout. Further, there is a tendency among

nuclear states—especially the United States—to
Missiles are projectile weapons, usually with an be wary of the nuclear security of upstart novi-
explosive charge, that are both guided and self- tiates and the specter of nuclear missiles in the
propelled (smart bombs, which serve a very simi- arms of a rogue state, insurrectionist general, or
lar purpose, lack a propulsion system). Militaries warlord—or worse, released to the open market
use missiles in five basic roles, according to their and sold to the highest bidder. Nearly 70 years
launch platform and their target. after the development of nuclear weapons, the
concern increases with every year, as only tight
Types of Missiles controls of technology and raw materials can pre-
Surface-to-surface missiles are launched from the vent well-motivated non-nuclear states from join-
ground, whether from a stationary installation ing the brotherhood. The nuclear bomb, after all,
or from a vehicle or handheld mount, and are is a technology older than touch-tone telephones,
intended for other surface targets. Cruise missiles Ziploc bags, and credit cards; that it has remained
travel low to the ground, with an arc like a pitched inaccessible to most militaries for so long seems
baseball, with a long range (about 1,500 miles). an increasingly improbable stroke of luck.
Ballistic missiles travel in a high trajectory, with Although the first nuclear weapons were grav-
an arc like a volleyball serve, and come in a wide ity bombs, dropped from an aircraft, nuclear mis-
variety, depending on their range and use. Ballis- siles (ballistic or cruise missiles with nuclear war-
tic missiles launch surface-to-surface missiles with heads) pose the greatest threat. The Cuban Missile
intercontinental range (over 3,000 miles). Crisis lasted for 13 days in October 1962, when
Air-to-surface missiles are launched from an plans to build Russian missile launch platforms
aircraft to strike ground or sea targets. Short- in Cuba (where they could reach any American
range missiles typically use rockets, whereas target and would not be part of the first-strike
longer-range missiles use jet engines, though this targets of American missiles) were discovered by
is not universally true, and some Soviet-era mis- the U.S. government. A blockade was deployed
sile designs used long-range high-speed ramjets. to prevent the arrival of supplies in Cuba from
Very-long-range air-to-surface missiles may be Russia, and historical consensus is that it was
fired over the horizon, which requires guidance during this crisis that the two superpowers came
systems in order to find the target. closest to nuclear war. It was eventually resolved
Surface-to-air missiles are launched from the with an agreement that the United States would
ground at targets in the air, typically either air- not invade Cuba and would dismantle its missiles
craft (antiaircraft missiles) or incoming missiles in Italy and Turkey.
(antiballistic missiles). Antiballistic missiles may
either carry an explosive charge or destroy their Second Nuclear Age
target through collision alone. With the end of the Cold War, an era began
Air-to-air missiles are used by aircraft to attack that some historians call the second nuclear age,
other aircraft, and modern military aircraft rely marked by the proliferation of nuclear missiles
on missiles almost entirely for their weaponry. in a context untouched by the U.S./Soviet Union
Antisatellite missiles would be used to attack conflict, especially among smaller states. India
satellites in orbit, but although a number of sys- had developed its first nuclear weapon in 1974,
tems were developed by both the United States but Cold War fears were not transferred to it until
and the Soviet Union during the Cold War, they the 1990s, when its unhappy neighbor Pakistan
have been used only in tests. did the same, raising concerns that the countries
Nuclear missiles have been a matter of seri- would go to war. Unlike the Soviet Union and
ous concern since their initial development, the United States, there were no conditions here
both because the devastating power of nuclear favoring a new cold war over direct conflict—
weapons is so far beyond conventional weap- proxy wars and other rivalries would do little to
onry and because the testing and development sate Indian-Pakistani animosity, and their con-
of nuclear weapons produces harmful radiation flicts over territory were over their own territory,
 Missiles 627

not dividing the rest of the world into spheres of responded with condemnation and sanctions, and
influence. In 2004, Pakistani scientist A. Q. Khan, North Korea threatened to resume a state of war
who had been part of Pakistan’s nuclear weap- with South Korea, putting aside the Korean War
ons program, confessed to selling nuclear weap- armistice. Again, little came of it. In 2012, North
ons technology on the black market, including Korea launched a satellite that was accidentally
but possibly not limited to North Korea, Iran, destroyed minutes after launch; though the gov-
and Libya—states of particular concern because ernment, now under the rule of Kim Jong-un,
of their hostile relations with the United States. claimed it was a weather satellite, most believe
Khan was inconsistent about whether or not he the satellite would have provided targeting and
acted with the knowledge and cooperation of the guidance for nuclear missile targets.
Pakistani government.
Khan’s sales may have been instrumental in Risk of Black Market Surface-to-Air Missiles
North Korea developing its nuclear weapons pro- One of the least predictable risks is that of lost,
gram. It withdrew from the Nuclear Non-Pro- stolen, or secretly trafficked missiles on the black
liferation Treaty in 2003 and conducted nuclear market. Surface-to-air missiles don’t require much
tests in 2006 and 2009. The 2006 test was the in the way of infrastructure to be put to use; a
first time that a country had announced its first state or terrorist organization that can acquire
nuclear test to the international community. them can use them. SA-7 missiles, older models
Although the explosive force seems to have been than those used by the Russian military today, are
low, the world was in a state of high tension on readily available on the black market, though they
October 9 when China, an ally with which North often show their age by malfunctioning. Notable
Korea shares a border, alerted the U.S. government incidents of missiles being used against civilian
that North Korea had announced it was about to aircraft include the Tamil Tigers shooting down
test a nuclear device. In the next few days, North Lionair Flight LN 602 in Sri Lanka in 1998 and
Korean officials teased the possibility of war if the use of an SA-7 against an Airbus cargo plane
they were subject to sanctions, and South Korea in Baghdad in 2003. During the chaos of the Arab
mobilized in preparation for nuclear war. The cri- Spring, rebels in Libya looted an unknown num-
sis was, if not dealt with, at least contained by ber of missiles (in unknown working condition)
the end of the month, at which point Kim Jong-il from Moammar Gadhafi’s arsenal. The NATO
had apologized for the test and rejoined disarma- bombing mission in 2011 made no allowances for
ment talks with South Korea, China, Japan, the locating and securing the missiles, and thousands
United States, and Russia, which had begun when went missing. An ABC broadcast video of rebels
North Korea withdrew from the Non-Prolifera- looting weapons depots and leaving with Russian-
tion Treaty. made SA-24s and SA-7s—shoulder-fired, surface-
Despite promises to avoid future tests, a sec- to-air missiles capable of taking down military
ond test came two and a half years later, months or commercial aircraft. These missile systems are
after Kim Jong-il suffered a stroke, during the sometimes also known as MANPADS (man-por-
period when his son Kim Jong-un was preparing table air-defense systems). Human Rights Watch
to eventually succeed him. This test resulted in further reported a case of dozens of missiles being
more explosive force, but U.S. aircraft over the transported in pickup trucks months after the
Sea of Japan were unable to confirm the presence bombing mission.
of radiation—an inconclusive result given that The U.S. government deployed 20 weapons
the test was underground. North Korea tested experts to assess the situation and secure miss-
short-range surface-to-air missiles on the same ing missiles in September 2011, and Assistant
day, but those launches were probably meant Secretary of State Andrew Shapiro reported in
to disrupt surveillance. Of more critical concern December that 5,000 weapons had been secured
was the report a week later that North Korea or confirmed to have been destroyed during the
had prepared intercontinental ballistic missiles— bombing mission, but experts estimated as many
the missiles that a nuclear state would need to as 15,000 missiles were unaccounted for. No evi-
strike distant targets. International organizations dence was presented at the time that missiles had
628 Mitroff’s Five Stages of Crisis Management

left the country, although a leader of Al Qaeda

in the Islamic Maghreb (AQIM), a North African
Mitroff’s Five Stages of
terrorist group, was quoted in a North African Crisis Management
newspaper saying that the Arab Spring revolu-
tions were benefiting his group because of the Perhaps the most comprehensive model for crisis
new availability of weaponry. Stolen missiles were management is the one proposed by Ian I. Mitroff,
seized by Algeria in February 2012, near the Lib- emeritus professor at the University of Southern
yan border. California who is often called the father of mod-
A number of missile defense systems have been ern crisis management. It consists of five stages (or
adopted by commercial aircraft, though this fact mechanisms, in his terms): signal detection, pre-
is not widely broadcast. Elta Systems Limited was vention/preparedness, containment, recovery, and
contracted by the Israeli Ministry of Transporta- learning. The signal detection and prevention/pre-
tion after Al Qaeda terrorists in Kenya fired at (and paredness stages constitute the proactive approach
missed) an Arkia Israel Airlines flight in 2002. Elta to crisis management and determine the readiness
developed Flight Guard, which has been installed of the organization to deal with a crisis. The other
on an unknown number of commercial aircraft. three stages constitute the reactive approach to
Radar is used to detect approaching missiles, crises, with activities carried out after the occur-
which are then countered with a deployment of rence of a crisis.
flares to confuse homing missiles. Similar systems
are used by military aircraft. Some transportation Origins of the Model
agencies have raised fire safety concerns with the Mitroff’s five stages model is based in an older and
system, and the Israeli government has explored widely cited—even today—crisis/disaster manage-
laser-based jamming systems as an alternative. ment model known as the “comprehensive emer-
Saab Avitronics has since developed the Civil Air- gency management” model, or PPRR (preven-
craft Missile Protection System (CAMPS), which tion, preparedness, response, recovery) model, or
uses low-temperature pyrophoric flares to fluster even MPRR, where “mitigation” replaces “pre-
homing missiles. vention” without a significant change in meaning.
Mitroff recognized that in order to prevent
Bill Kte’pi a crisis or prepare for one, there is a need for a
Independent Scholar mechanism to be in place that detects the crisis
before it manifests itself. He also saw that the
See Also: Arms Control; Chemical Weapons; Failed crisis management models extant at the time did
States; Foreign Policy Crises; Interstate War; Nuclear not include the important element of “lessons
and Radiological Weapons; Nuclear Proliferation; learned” from experiencing a crisis and how these
Nuclear Risk; Peacekeeping; Revolution; Terrorism; could be used in the redesign of the entire crisis
Weapons Trafficking. management process. Therefore, he proposed a
more “rounded” five stages model with distinct
Further Readings activities to be undertaken at each stage of the
Arms Control Association. “MANPADS at a Glance.” crisis life cycle.
(November 2007). http://www.armscontrol.org
/factsheets/manpads (Accessed July 2012). Stage 1: Signal Detection
Creegan, Erin. “India, Pakistan Sign Missile Mitroff asserts that long before its actual occur-
Notification Pact.” Arms Control Today, v.35/9 rence, a crisis sends off a repeated and persistent
(November 2005). trail of early warning signals that could be picked
Kim, Jungsup. “The Security Dilemma: Nuclear and up at a time when there is still opportunity to
Missile Crisis on the Korean Peninsula.” Korean prevent it from occurring. Although some people
Journal of Defense Analysis, v.18/3 (Fall 2006). are skeptical about the existence of these signals
Pious, Richard M. “The Cuban Missile Crisis and the and claim “hindsight bias”—the tendency, in ret-
Limits of Crisis Management.” Political Science rospect, to overestimate the amount of available
Quarterly, v.116/1 (Spring 2001). information about a threat at the time of decision
 Mitroff’s Five Stages of Crisis Management 629

making—the concept of signals that warn about an The detectors’ network needs to be supported by
emerging crisis (or opportunity) has been widely appropriate communication platforms, channels,
supported in generic management literature under and protocols that will transfer the captured signals
different terminology, such as “weak signals,” to a decision-making center, usually at the senior-
“wild cards,” “early indicators,” “early warn- management level. In the case of the space shuttle
ings,” and “emerging issues.” The Institute of Cri- Challenger disintegration, 73 seconds into its flight
sis Management reported in a study that, in the last on January 28, 1986, an O-ring seal in the right
decade, sudden crises accounted for only between solid rocket booster failed, causing a flame leak
30 and 40 percent of the crises that the world has that within seconds instigated devastating struc-
faced; the remaining 60 to 70 percent were charac- tural damage to the shuttle. Prior to the disaster,
terized as “smoldering” (creeping) crises that ema- a series of key memos related to structural weak-
nated warning signals that were either detected but nesses within the craft’s design failed to reach key
ignored or went completely undetected. National Aeronautics and Space Administration
Therefore, the real challenge for any organi- (NASA) decision makers. Those memos explicitly
zation is not just to recognize crises but also to pointed out problems related to design flaws and
recognize them in a timely fashion. In the signal emphatically stated that unless the O-ring problem
detection stage, crisis management activities focus was rectified, a tragedy was guaranteed to occur.
on seeking signals that might warn of a crisis and Perhaps the greatest challenge at this stage
isolating these from other, more normal signals is the accurate and timely interpretation of sig-
that occur in the daily operations of organizations. nals that, in many cases, are partial, ambigu-
To accomplish this task, the organization needs to ous, or weak. A case in point is the Three Mile
develop a crisis signal detection network consist- Island nuclear accident in March 28, 1979. Large
ing of technical and human detectors. Technical amounts of nuclear reactor coolant escaped into
detectors can be devices or machines that monitor the environment as a result of mechanical failures
functions or data received by the organization’s in the nonnuclear secondary system, followed by
internal or external environment and are able to a stuck-open pilot-operated relief valve (PORV) in
identify changes in them. Human detectors can be the primary system. The plant operators initially
members of the organization or people external thought they understood the problem and applied
to the organization who have access to data per- the required technical response. Because they had
tinent to its functions and are willing to transmit misinterpreted the warning signal, the response
these data to the organization’s decision-making worsened the problem. The operators were then
centers. They may be people specifically assigned bewildered by the interactions and were not able
to signal detection even if this may not be their to stop the chain of events.
full-time occupation.
The reliability of the detectors has to be reg- Stage 2: Prevention and Preparedness
ularly validated and tested, as was evidenced in In this second stage, prevention and preparedness
major disasters such as the Union Carbide pesti- are considered as one set of activities rather than
cide plant accident in Bhopal, India. On Decem- two separate activities, as advocated by the PPRR
ber 3, 1984, 45 tons (100,800 pounds) of methyl model. In this view, organizations can be either
isocyanate (MIC) gas escaped from two under- “crisis prone” or “crisis prepared.” Although
ground storage tanks when a large volume of management cannot expect to prevent all crises
water entered the MIC storage tanks and triggered through planning, a “crisis prepared” organiza-
a violent exothermic chain reaction, forming a tion will have better chances to completely avert
shallow bubble that blanketed the city within five a crisis. Crisis preparedness, according to this
miles of the plant. The post-accident investigation model involves systematic planning to prepare the
revealed that gauges measuring temperature and organization to deal with a crisis, explicating criti-
pressure in various parts of the plant, including cal personnel, resources, and actions to be allo-
the crucial MIC storage tanks, were so notori- cated during the crisis situation. Mitroff calls for
ously unreliable that workers ignored readings of crisis managers in this stage to think like “con-
pressure exceeding the acceptable limits. trolled paranoids,” questioning every assumption
630 Mitroff’s Five Stages of Crisis Management

about what is normal, impossible, or absurd and infrastructure. It also revealed that evacuations
“unthinkable” by taking even low probability and shelters would be inadequate, roads would be
situations into consideration and bracing them- blocked, the metropolitan area’s sewage system
selves for the worst-case scenario. Overreaction to would become inoperable, and much of southeast
a possible threat, although liable to criticism, is far Louisiana would no longer be habitable.
more acceptable than underreaction, as evidenced
by the Millennium Bug threat, when many orga- Stage 3: Damage Containment
nizations made considerable investments to miti- During the containment stage, crisis management
gate potentially catastrophic information systems’ aims at mitigating further escalation of the crisis
disruptions when the “97, 98, 99, ...” ascending and controlling the damage resulting from it. This
numbering assumption suddenly became invalid is accomplished by attempting interventions in
with the turn of the year to “00.” As a result, none the source of the crisis in order to reduce its inten-
of the apocalyptic scenarios discussed material- sity and control its impact and by safeguarding
ized, and the crisis never happened. mission-critical assets and infrastructure. Having
Crisis management plans are normally based well-prepared plans is crucial to preventing the
on a “4Cs analysis” in which a potential crisis is damages that can result when the crisis begins to
analyzed in terms of causes, consequences, cau- spiral out of control, since organizations usually
tion, and coping, where causes include the imme- have limited time to make an intensive crisis man-
diate failures that may trigger the crisis and the agement plan for damage control while the crisis
antecedent conditions that may allow failures to is unfolding. In the Deepwater Horizon oil spill in
occur, consequences are the immediate and long- the Gulf of Mexico in 2010, British Petrolum (BP)
term impacts, caution includes the measures taken used a large number of anchored barriers, floating
to prevent or minimize the impact of the poten- containment booms, sand-filled barricades along
tial crisis, and coping comprises measures taken to shorelines, skimmer ships, and dispersants in an
respond to a crisis that has already occurred. The effort to protect the surrounding environment
coping measures prescribe the actions the organi- from the spreading oil. However, the company
zation should take in the next two stages of the cri- realized that the booms deployed on the first day
sis management model: containment and recovery. were not enough and needed to be doubled the
An important but often overlooked element next day to effectively protect the shoreline.
in this stage is the exercising and testing of crisis Damage containment also involves communi-
management plans. There are three types of exer- cation efforts and actions aiming to protect the
cises: tabletop exercises, typically involving senior organization’s reputation during the crisis. The
management staff and with the purpose of intro- various publics involved with the organization
ducing them to their roles and responsibilities in tend to attribute responsibility for negative, unex-
the execution of the plan; functional exercises, pected events, and these attributions shape the
usually more complex, involving a combination of way they perceive it. At this stage, crisis managers
tasks played out in “real time”; and full-scale sim- need to have a clear communication strategy in
ulations involving multiple agencies with actual order to influence their stakeholders’ perception.
players in the field. These exercises are under- The lack of such a strategy and the poor public
taken in order to gauge the effectiveness of plan- communication skills of BP’s Chief Executive
ning and the coordination and interoperability Officer (CEO) Tony Hayward, combined with the
among agencies under conditions of uncertainty ineffectiveness of the containment efforts of the
as well as to identify training needs and reveal Deepwater Horizon oil spill, cost the company
areas that need improvement or further planning more than $40 billion and a probably irreversible
for the future. The Hurricane Pam exercise that dent in its reputation.
was conducted a year before Hurricane Katrina
struck the Gulf Coast showed that a category 3 Stage 4: Recovery
hurricane would cause the displacement, injury, The recovery stage is about fixing the damage
or death of thousands of people and the destruc- caused by the crisis. During this stage, the orga-
tion of billions of dollars worth of buildings and nization begins to enact procedures to return
 Mitroff’s Five Stages of Crisis Management 631

to normalcy, a “business as usual” state. Two stage involves not only a critical evaluation of the
important issues must be considered here. The lessons that were learned from a crisis but also
first is to ensure “business continuity,” in other instilling a no-blame culture about the crisis or
words, speedy resumption and recovery of the any response failures in the organization except
procedures and operations that are critical for the from cases of criminal culpability and legal
organization’s survival, and the second concerns responsibility. Mitroff suggests that organizations
the recovery of its linkages with all its stakeholder need world-class “crisis learning centers” to study
groups after the crisis. It is evident that, like con- patterns associated with past crises (own and oth-
tainment, this stage is highly dependent on the ers’), distill critical lessons from them, and ensure
second stage, “preparedness” and the planning that these will shape the organization’s crisis plan-
that has taken place during it. The quicker the ning in order to reduce the potential for future
organization resumes its operations after the cri- crises. FEMA’s Emergency Management Institute,
sis, the better it will be positioned vis-à-vis its with more than 400 courses available to the wider
competitors. Mitroff, however, warns that, in this crisis management community, is an example of
stage, organizations tend to focus on the physi- such a center.
cal aspects of recovery, setting aside or ignoring
completely its psychological aspects, and suggests Stage 5 in an Evolved Model: Re-Design
that by treating high-order needs, the organiza- In later versions of the model, Mitroff distinguishes
tion will bounce back much faster. If it is the only one more stage, which he labels “re-design.” Re-
player in the market struck by the crisis, it will design stems from the learning acquired from
not lose any significant part of its market share. experiencing a crisis (either directly or vicariously),
On the other hand, a quick recovery in a mar- concerns all the stages in the crisis management
ket where all players were hit by the crisis offers model, and is based on the interaction between
competitive advantage and the opportunity to stakeholder commitment, the organization’s com-
increase the market share. mitment to correction, and its core values.
A carefully crafted communications strategy
will facilitate the reconnection with the organi- Weaknesses of Mitroff’s Model
zation’s primary and secondary stakeholders. Mitroff’s model has two main weaknesses. First,
Through a combination of targeted positioning it appears to raise artificial barriers between its
and instructional messages that will influence the stages when in reality these barriers do not exist.
organization’s image and of promotional value- Although activities aiming at signal detection can
adding packages that will entice their business be fairly easily distinguished from activities in the
interest, severed stakeholder relationships may be other stages, it would be rather challenging to
mended in a short period of time and the organi- classify certain activities in the preparation/pre-
zation will be back to normalcy. vention or in the damage containment stages. The
temporal order of the stages also suggests that
Stage 5: Learning learning occurs after the crisis is over, whereas in
The “learning” stage points to the development reality knowledge is acquired in each one of the
of crisis management–specific organizational stages. Similarly, signal detection activities feed
learning, from the crisis experience and its dis- with information not only the preparation/pre-
semination within the organization but also to vention phase but all the phases of crisis manage-
its constituencies. Normally, even if the learning ment, and in the same vein, re-design concerns the
acquired from a crisis situation is trivial and of entire model.
limited scope, it has the potential to influence sev- Although Mitroff incorporates the element of
eral aspects of the organization that can reduce learning in crisis management, his model ignores
its vulnerability to this particular crisis. In large- risk assessment, appears to downplay the impor-
scale crises and disasters, learning may result in tance of the organization’s vulnerabilities, and is
knowledge-based adaptation that impacts not only concerned with crisis signals. He argues against
only the fringes of the organization but also the a risk assessment approach because it leads man-
core of its practices and policies. The learning agement to construct models of crisis occurrence
632 Mobile Recovery Site

probability, which, based on historical data, rank aid provided in part through mobile recovery
crises in high and low probability. He contends sites are individual assistance, public assistance,
that the fallacy behind this procedure is that it is and hazard mitigation related to disaster recov-
precisely those crises that have not occurred that ery. Information and communications technol-
need to be considered. However, elsewhere he ogy, operations, logistics, energy, security, and
advises organizations to form a crisis portfolio life support can be provided. Mobile recovery
covering all “crisis families” and recommends that site providers include federal, state, and local
organizations should prepare for at least one crisis governments; volunteer and nonprofit agencies;
in each crisis family. As this task can only be per- private-sector businesses; and international gov-
formed following a risk assessment approach, the ernmental associations and nongovernmental
truth must lie somewhere in the middle. organizations (NGOs).
Mobile recovery sites provide needed recov-
Alexandros Paraskevas ery services when local facilities are unavailable
Oxford Brookes University because of extensive damage, inaccessibility, or
conflict situations or are overwhelmed by the
See Also: Blame, Politics of; Business Continuity extent of the disaster. They also ensure faster con-
Management; Crisis Communications; Crisis tinuity of services or operations. Many mobile
Simulations; Critical Business Functions; Damage disaster sites may be utilized in the convergence of
Containment; Disaster Drills; Early Warning Systems; relief and recovery assistance that tends to flood
Exercises; Preparedness; Prevention; Recovery; Risk the area in the initial days and weeks following
Assessment; Simulations; Stakeholders; Warning; an emergency. Their mobility allows for rapid
Y2K Bug. deployment. Forecasted disasters such as hurri-
canes that provide advance warning even allow
Further Readings mobile sites to be pre-stocked and pre-positioned.
Coombs, W. T. Ongoing Crisis Communication: Mobile recovery sites can include trailer, truck,
Planning, Managing, and Responding. 2nd ed. aircraft, or tent-based operations that are com-
London: Sage, 2007. pletely self-sustaining and operational in a chal-
Mitroff, I. I. Crisis Leadership: Planning for the lenging environment.
Unthinkable. Hoboken, NJ: John Wiley & Sons, Mobile recovery sites share many common fea-
2004. tures regardless of their origin or service popula-
Mitroff, I. I. The Essential Guide to Managing tion, including specialized equipment and trained
Corporate Crises. Oxford: Oxford University personnel. Operational support provides tempo-
Press, 1996. rary office and meeting spaces. Energy support
Perrow, C. Normal Accidents: Living With High-Risk can provide access to electricity through various
Technologies. New York: Basic Books, 1984. types of portable generators as well as diesel fuel.
Rogers Commission. Report of the Presidential Information and communications technology
Commission on the Space Shuttle Challenger support provides mobile telecommunications or
Accident. Washington, DC: U.S. Government reestablishes existing telecommunications. Life
Printing Office, 1986. support, heating, ventilation, air conditioning,
Shrivastava, P. Bhopal: Anatomy of a Crisis. restrooms, kitchens, and other amenities aid com-
Cambridge, MA: Ballinger, 1987. fort, while site and data security aid safety.

Individual Assistance
Mobile recovery sites are utilized in recovery
efforts aimed at individual disaster victims. The
Mobile Recovery Site locations of mobile recovery sites dedicated to
individual or business owner assistance, often
Mobile recovery sites provide the various types including toll-free telephone numbers, are publi-
of outside support needed for local on-site man- cized through the mass media to promote public
agement of recovery efforts. Types of disaster awareness and ease of accessibility. Mobile unit
 Mobile Recovery Site 633

staffing can include damage and claims inspec- provide state and local authorities with any neces-
tors, medical personnel, bank and loan officers, sary support such as temporary office and confer-
government officials, military agents, crisis coun- ence space, telecommunications and information
selors, security officials, legal aid workers, and technology services, fuel, power generation, and
volunteers. life support. Security services ensure on-site secu-
Life support can provide potable water, ice, rity of personnel and equipment, building safety,
and hot meals or military-style meals-ready-to- user access, and communication with the military
eat (MRE). Clothing and laundry services may and local law enforcement agencies.
also be provided. Distribution of tarpaulins, Mobile recovery sites aid in data collection and
sand bags, lumber, and other items helps secure analysis, message distribution, action tracking,
damaged property against further losses. Tem- and the preparation and submission of situation,
porary housing may be provided through shel- operation, and event-specific reports and briefs.
ters, tents, trailers, or rental and hotel assistance. Telecommunications operations may have to
Mobile medical units assist the sick or injured establish or reestablish connectivity with govern-
and help prevent the spread of disease. Victims ment or public networks, connect facilities both
may also receive information and assistance in within and outside the disaster area, or install
locating and applying for available assistance or needed computer, telephone, or video devices and
counseling. networks. Radio networks provide both local and
The U.S. Federal Emergency Management long-distance communication. Transmissions sys-
Agency (FEMA) employs Mobile Disaster Recov- tems include satellite, high-frequency, and line-
ery Center units to provide readily accessible aid of-sight (LOS) microwave systems. All of these
to disaster victims. Personnel include federal and mobile systems allow for increased interagency
state disaster program representatives, recovery coordination.
specialists, and loan officers from the U.S. Small The Federal Emergency Management Agency
Business Administration. Disaster victims may provides a variety of mobile-based recovery ser-
register for federal and state disaster assistance or vices through the Response and Recovery Direc-
check the status of their application, have their torate’s Mobile Operations Division. The divi-
questions answered, or receive referrals to other sion oversees five Mobile Emergency Response
services. Other mobile federal government ser- Support (MERS) units situated within different
vices include immediate and long-term housing or geographical regions designated by FEMA as well
rental assistance, such as applying for monetary as the Mobile Air Transportable Telecommunica-
assistance for hotel stays or applying for tempo- tions System (MATTS). MERS detachments are
rary FEMA housing trailers. Funding assistance located in Maynard, Massachusetts; Thomasville,
for home repairs may also be available. Georgia; Denton, Texas; Denver, Colorado; and
Bothell, Washington. MATTS is located in Ber-
Public Assistance ryville, Virginia. MERS and MATTS support
Public assistance encompasses federal aid to state local disaster facilities such as disaster field offices
or local governments and emergency manag- and field operating sites.
ers for short- and long-term recovery. Examples These mobile resources are deployed to sup-
include emergency services and public protection, port local and state authorities whose capabili-
debris removal, public property repair, loans, and ties are inadequate to meet recovery needs. State
support for essential government functions and governors must request federal assistance. The
infrastructure rebuilding. Governments may also president determines what kind of federal assis-
provide aid for the mitigation of future hazards in tance will be granted. An Emergency Declaration
the course of disaster recovery, such as the reloca- provides limited short-term assistance, whereas
tion or retrofitting of damaged structures. a Major Disaster Declaration provides extensive
Mobile recovery sites support emergency long-term assistance. Funding for federal mobile
responders and search-and-rescue personnel and recovery sites represents a mixture of state and
assist with initial damage assessments in the local funds as well as the President’s Disaster
immediate aftermath of emergencies. They also Relief Fund, managed by FEMA and other federal
634 Mobile Recovery Site

aid programs. MERS and MATTS are ready for buildings designated as disaster field facilities.
immediate deployment in times of emergency, MERS detachments are self-sustaining in terms
often with preloaded supplies and equipment on of logistics, operations, and telecommunica-
standby. tions capabilities in case a disaster field facility is
Preloaded MERS deployment packages are not usable. The MERS detachment vehicles are
the Quick Reaction System (QRS), the Emer- located near the disaster field facility, usually in
gency Response Team Advance (ERTA), and the an adjacent parking lot.
Emergency Response Team Support (ERTS). The FEMA can also deploy an Emergency Opera-
QRS provides 13 personnel, four-wheel-drive tions Vehicle (EOV), an expandable trailer
vehicles, and support equipment for a 72-hour encompassing emergency response and recovery
period. Equipment includes satellite terminals, needs. An EOV contains office workstations, a
cell phones, laptops, radios, generators, and life- conference room, an operations and communi-
support needs. ERTS and ERTA provide pre- cations center, and amenities such as a kitchen
loaded heavy-duty trucks containing life-support, and restrooms. Information and communications
medical, and safety supplies to support up to 100 technology provides telephones and computers
people for a 10-day period as well as office equip- with voice and data switch, video teleconferenc-
ment, tools, and lumber. ing capabilities, local and wide-area networks,
MERS equipment and assets may be driven or and HF, VHF, and UHF radios equipped with
airlifted to the disaster sites. MERS detachments telephone interface capabilities. Self-contained
deployed to recovery sites deliver support to local generators supply the necessary power.

Federal Emergency Management Agency (FEMA) Deputy Administrator Richard Serino (left) talks with an employee in FEMA’s mobile
emergency response support/systems (MERS) vehicle at the emergency operations center in Hartford, Connecticut, September 1, 2011.
Hurricane Irene lashed the state on August 28, 2011. The vehicles, which are strategically located in disaster-affected areas to support
emergency response communications needs, provide self-sustaining telecommunications, logistics, and operations support elements.
 Multiple Disaster Problem 635

Private Sector Gilpin, Dawn R. and Priscilla J. Murphy. Crisis

Mobile recovery sites have become globally popu- Management in a Complex World. New York:
lar in the private sector as part of risk manage- Oxford University Press, 2008.
ment, business continuity planning, and disas- Kemp, Roger L. Homeland Security Handbook
ter recovery strategies. The transportability of for Citizens and Public Officials. Jefferson, NC:
mobile recovery sites allows businesses to reduce McFarland, 2006.
the impact of emergencies and speed the resump- Pampel, Fred C. Disaster Response. New York: Facts
tion of normal business operations by bringing on File, 2008.
recovery operations to the local emergency site. Tierney, Kathleen J., Michael K. Lindell, and Ronald
Mobile recovery sites may be vendor supplied or W. Perry. Facing the Unexpected: Disaster
purchased through a commercial retailer. Preparedness and Response in the United States.
Most mobile recovery sites are located near Washington, DC: Joseph Henry Press, 2001.
the normal business site to speed the transition of Wallace, Michael and Larry Webber. The Disaster
operations, provide easier employee access, and Recovery Handbook: A Step-by-Step Plan to
minimize or eliminate disruptions in customer ser- Ensure Business Continuity and Protect Vital
vice. Such sites are generally enclosed spaces that Operations, Facilities, and Assets. New York:
provide uninterrupted power, using generators if American Management Association, 2004.
necessary. Most mobile recovery sites are able to
be custom configured to suit individual company
needs. Heating and air conditioning systems, rest-
rooms, multistation workspaces, and other ame-
nities provide employee comfort. Proximity to Multiple Disaster Problem
the original business site and security help ensure
employee safety. A hurricane causes flooding, power outages, and
Information and technology resources can widespread wind damage. An earthquake leads to
include data centers, preloaded hardware and an electrical fire that spreads through a neighbor-
software, computing facilities that work in hood blocked off by quake damage. A tsunami
extreme conditions, access to the Internet and causes a chemical spill. All of these are examples
e-mail, preconfigured replacement systems, and of multiple disasters striking at once. Within a
network expandability. Automatic data replica- 10-year period beginning in 2001, there were
tion between the normal business site and the three catastrophic instances of simultaneous mul-
mobile recovery site is also available. Communi- tiple disasters. The terrorist attacks in the United
cations resources can include multiple telephone States on September 11, 2001, involved attacks
and fax connections and voice over Internet pro- on multiple sites, as well as numerous interrelated
tocol (VoIP) capabilities. Technical expertise may problems at those sites. Hurricane Katrina in
also be provided. 2005 resulted in the failure of New Orleans’s levee
system, such that flooding was caused by two dis-
Marcella Bush Trevino tinct sources, and structural damage and trans-
Barry University portation around the city became that much more
complicated. In 2011, the Tohoku earthquake
See Also: Business Continuity Planning; Disaster and tsunami in Japan led to multiple nuclear
Recovery; Disaster Recovery Life Cycle; Federal meltdowns and releases of radioactive material at
Emergency Management Agency (FEMA). the Fukushima Daiichi nuclear power plant over
a series of days. The problem of multiple disasters
Further Readings such as these has become of increasing interest in
FEMA. “FEMA and Federal Partners Continue the field of emergency management, enough so
Supporting Irene Recovery in Impacted Areas” that in 2012, the Philippines held a nationwide
(August 31, 2011). http://www.mmrs.fema.gov simultaneous earthquake and fire drill to increase
/news/newsrelease.fema?id=57553 (Accessed preparedness for the country’s most likely mul-
August 2012). tiple disaster scenario.
636 Multiple Disaster Problem

The problem of multiple disasters occurring the observed trend in previous decades of a steady
in close proximity is one often caused or exacer- if slow northward climb of the jet stream.
bated by unusual trends in weather. The 21st cen- The extreme negative phase of the North Atlan-
tury has seen uncommon weather patterns unlike tic Oscillation—the fluctuation between the Ice-
any in modern meteorological history, includ- landic low atmospheric pressure and the Azores
ing numerous historical records broken, in some high, in the North Atlantic Ocean—had driven
cases repeatedly. The patterns have not been of a the extreme cold of 2009–11, bringing cold Arctic
single type: A given region might experience both air to regions that rarely experienced it, but over
drought and floods in consecutive years, both his- time it dragged the jet stream south, accounting
torically mild winters and historically snowy ones, for the extremely mild 2011–12 winter (and per-
or cold, rainy summers and hot, dry summers. haps another mild winter to come). An extreme
The effects of these unusual weather patterns are negative phase of the North Atlantic Oscillation
not yet fully understood and involve much more during summer has frequently brought on North
than simply the weather on a given day: The mild American heat waves in the past, and this cor-
winter in the Northern Hemisphere in 2011–12 relation held true for the summer of 2012, when
(after the extremely cold winters in 2009–10 and heat records were broken throughout most of the
2010–11), for instance, led to a premature spring United States, with July 2012 being the hottest
blooming for some plants, which then lost their month in American history.
blossoms to frost or freeze. The commercial pie
cherry crop for 2012 was decimated as a result. Climate-Related Disasters
Two years earlier, citrus crops in the United Though the term global warming is accurate
States had similarly been decimated by an unusu- because of the steadily increasing average annual
ally cold autumn and icy rain that crushed frag- temperature, “climate change” has come into
ile fruit. The mild winter of 2011–12 also led to stronger favor because this term more explic-
lowered river and lake levels the following spring, itly encompasses atypical weather patterns that
because they were not fed by spring thaw. This, include both unusual warmth and unusual cold.
in turn, affected the life cycles of numerous wild- Although the vast majority of scientists do not
life: Migrating birds didn’t migrate as far south, doubt the reality of climate change, and there is
which depleted populations of their prey species little uncertainty as to its anthropogenic origins,
in northern climes and ballooned populations predicting the specific outcome decade to decade,
of their prey species in southern ones; mosquito much less year to year, of these changes to the
populations increased in many parts of the coun- global weather system is a much less certain mat-
try and were discovered to carry the West Nile ter. The general indication of models, upheld by
virus in the Midwest and New England. the observed extreme weather of the 21st century
One of the proximate causes for these weather to date, is that cold winters will become less fre-
patterns was the change in the position of the jet quent, but more severe when they do occur.
stream, the air current driving the Northern Hemi- One of the results of these weather patterns
sphere weather system. In the past, changes in the has been that American communities have faced
jet stream have been responsible for extreme El unaccustomed disaster challenges. Schools have
Niño (warming in the Pacific Ocean) and La Niña closed for record lengths of time in southern com-
(cooling in the Pacific Ocean) events, and contrib- munities, which are not accustomed to including
uted to the extreme drought of the Dust Bowl in snow days in their school calendars, as is done in
the 1930s, though the most direct cause of the lat- the north. In addition, southern communities are
ter drought was the human-made alteration of the populated by drivers inexperienced in driving in
prairies. Since 2007, the jet stream’s path across snow and ice conditions, increasing the per-driver
the United Kingdom has been at an unusually low rate of vehicular accidents and decreasing the com-
latitude—10 degrees further south than usual, at petence of emergency responders; these areas also
50 degrees north latitude near the English Chan- possess too little equipment to adequately handle
nel, instead of 60 degrees north on the other side the weather-related challenges in a timely manner.
of the British Isles. This has occurred in spite of Even in Virginia—far enough north that snowfall
 Multiple Disaster Problem 637

of some amount is a normal occurrence—there problems of the Katrina evacuation. None of the
were too few plows to adequately plow the roads hurricanes that occurred in the region in the pre-
during the 2009–11 winters, resulting in lengthy vious 10 years had been serious, certainly not as
school closures as crews worked laboriously to serious as Katrina, and in the past, many people
finish plowing days, even a week, after the snow had undergone the expense and stress of evacuat-
had stopped falling. What would have been a sin- ing only to see a storm sputter out before it hit
gle day’s closure, or even a half day, in parts of the land, or hit somewhere far from home. Most peo-
north turned into a loss of five to six school days. ple in the Gulf South have at least one story about
The economic toll is significant: school closures fleeing an area where a storm was supposed to
result in parents staying home from work (and strike, only to have it strike the place to which they
a reduction in income for those who are paid by fled. This sort of disaster fatigue, experienced by
the hour), and unsafe roads reduce the amount the potential victims of disasters and leading to a
of shopping and other spending that people are reduction in diligence, is matched by compassion
likely to make. fatigue, which has a serious effect on charitable
While more than half of the United States giving—and perhaps on voting, when the matter
experienced drought conditions in 2012, lead- pertains to preventing or dealing with the after-
ing to the largest increases in corn and food crop math of disasters. Major disaster events like the
prices in many years and the strong possibility of 9/11 terrorist attacks, Hurricane Katrina, and the
a food access crisis among the working poor and Japanese tsunami were followed by media expo-
the unemployed, some parts of the country were sés and cynicism about the handling of charitable
already drought-prone and suffered more than donations and the inefficiency of many respond-
usual. In New Mexico, California, and Texas, ing agencies; this, in turn, leads people to be less
drought does not just mean water rationing and willing to give to the Red Cross or other charities,
agricultural difficulties, as it does in the drought- or less willing to volunteer.
prone Carolinas; it also means a serious increase Weather changes have altered the frequency of
in the risk of wildfires. Severe wildfires raged in natural disasters and upset the balance of crisis
Colorado in the summer of 2012, and parts of frequency to resource availability at a time when
Texas already ravaged by fire in recent years expe- the United States, along with many other areas
rienced them again. In northern New England of the world, is experiencing a severe financial
and the Canadian borderland, the woodlands crisis that constrains available resources and eco-
faced their first serious wildfire threat in recent nomic flexibility. Hurricane Katrina permanently
memory, with fewer resources on hand to combat reshaped the demographics and economy of the
it than in those areas where wildfire management city of New Orleans, Louisiana, and there is a
has become a way of life. good chance the city’s odds of survival would
have been seriously diminished had it not been
Disaster and Compassion Fatigue of great enough cultural significance to encour-
These multiple disasters tax resources—not only age resettlement by newcomers who could afford
the tangible resources of money, labor, and equip- to engage with the rebuilding effort: Indianapolis,
ment needed to deal with disasters and their Indiana; Cheyenne, Wyoming; or Albany, New
aftermath, but also the emotional resources of York, might not have been able to appeal to such
the population. One of the largest factors in the sentiment. Success stories growing out of the cri-
human toll of Hurricane Katrina was the num- sis—like supermarket chain Winn-Dixie’s ability
ber of people who simply didn’t evacuate or who to escape bankruptcy because of insurance pay-
waited until the mandatory evacuation order to ments made after its storm-related damages—
do so. Some of them wanted to evacuate and were were uplifting but rare.
unable to, but many, by their own admission, “Packages of disaster” are multiple disasters
remained in the city, or waited until the manda- that occur with interrelated causal factors, such
tory evacuation order was given, because there as the economic problems faced by New Orleans
had been so many “false alarms” in the recent after Katrina and what many medical profession-
past, and this delayed reaction contributed to the als described as an epidemic of depression, as the
638 Mutual Aid and Assistance

city became the greatest per capita consumer of all organizational resources are brought to bear
antidepressants. Haiti’s 2010 earthquake struck simultaneously, but that potential may rarely be
near enough to the capital that for a time it was, exercised. However, during a significant crisis, it
in essence, a failed state; the country was not will be common for resources to be exhausted,
resourceful enough or prosperous enough to have making external assistance a prerequisite of suc-
an effective continuity of government planning in cess. To acquire external assistance in a crisis,
place, and rebuilding the country’s infrastructure organizations rely on mutual aid. Mutual aid is an
would arguably have been impossible—in any umbrella term covering differing forms of inter-
time frame—without the intervention of interna- organizational relationships. Although they have
tional agencies and foreign labor. The situation differing names and take differing forms, they
was worsened by a subsequent cholera epidemic, have similar benefits that serve the needs of effec-
both a symptom of and a contributing cause to the tive crisis management.
country’s post-earthquake chaos. The Haiti situa-
tion raised what should be the most frightening Benefits of Mutual Aid
question for emergency management profession- The greatest benefit of mutual aid is the ability to
als: What happens when a major disaster event, or enhance or expand response capacity through a
multiple ones, causes the breakdown of society? cost-sharing, collaborative approach. Within this
context, “expanding response capacity” is defined
Bill Kte’pi as acquiring larger numbers of the resources
Independent Scholar already available, while “enhanced capacity” is
defined as acquiring specialized resources. Illus-
See Also: Agency Notification and Mobilization; trative of the former is a request for additional
All-Hazards; Avalanches and Landslides; Contingency fire engines or public works crews, while an
Planning; Continuity of Government; Coordination; example of the latter is a team specially trained
Crisis Management, Emerging Trends in; Crisis and equipped to provide medical response to a
Simulations. mass casualty incident. In either instance, the ben-
efit is that the locality does not have to develop
Further Readings and sustain a response capacity beyond its nor-
Adamy, J. “The Aisles of Optimism.” Wall Street mal operational needs, limiting its costs by shar-
Journal (October 5, 2004). ing the expenses with others. A subsidiary benefit
Calandra, P. R. “Simultaneous Disasters Result of mutual aid is that it can serve to create and
in Greater Hospital Preparedness.” Journal of maintain open communications channels between
Healthcare Risk Management, v.7 (1987). organizations and localities, supporting collabor-
Crandall, William, John A. Parnell, and John E. ative endeavors in other areas of governance.
Spillan. Crisis Management in the New Strategy
Landscape. Thousand Oaks, CA: Sage, 2009. Basic Mutual Aid Practices
Green, Walter, III. “The Future of Disasters: In emergency management, the oldest model of
Interesting Trends for Interesting Times.” Futures mutual aid was developed in the fire service. Indi-
Research Quarterly, v.20/3 (2004). vidual fire departments needing assistance would
request aid, when needed. If assistance was avail-
able, it would be given, with the understanding
that this created a reciprocal agreement for assis-
tance to be returned at some time in the future.
Mutual Aid and Assistance These approaches were largely unwritten, with no
concern for legal constraints or interoperability.
Organizations develop operational capacities Although examples of this can be found back to
that meet their normal operational conditions, colonial times in the United States, it would be
which usually serve them well, optimizing their questionable to state that all mutual aid devel-
use of resources. It is not uncommon to have oped from that model, with a high probability
potential to develop a limited surge capacity, if that there was concurrent development of the
 Mutual Aid and Assistance 639

practice, given its simplicity and readily identi- national level. Such compacts do not support an
fiable benefits. Generally, this approach works automatic response capacity but instead provide
well but may not be as effective or as rapid as a breadth and depth of resources often unavail-
might be desirable to support efficient and effec- able at the local level. As a general rule, these
tive operations, depending on the distance assist- compacts can only be accessed by an Emergency
ing resources have to travel, the rapidity of the
request process, and the degree to which agencies
have trained together prior to a crisis.
Mutual aid has evolved over time. One major
Case Study: Examples of Mutual Aid in
leap was the development of automatic aid. Instead
Hampton Roads, Virginia
of waiting to be requested, the closest emergency
units will respond, regardless of jurisdictional lines. The Hampton Roads region in southeast Virginia
This often involves a shared dispatching system to is home to 16 counties and independent cities as
facilitate the process. Automatic aid recognizes the well as a number of military installations. There
need to provide the highest levels of customer ser- are a number of mutual aid agreements in place,
vice, responding with the closest units available, including the following:
regardless of jurisdictional lines. Over time, this
approach engenders a recognition that organiza- Interlocal Mutual Aid
tions in emergency management are interdepen- Each local government has mutual aid
dent, contributing to efforts to increase interoper- agreements in place with neighboring
ability through shared communications, common jurisdictions and military installations, supporting
training, and consistent practices. A notable exam- mutual aid for common emergencies such as
ple of this is the shared tactical policies used by fires. Depending on the localities, the assistance
the cities and counties in northern Virginia, where may be automatic or by request and may be used
operational policies and practices have been stan- for responding to the emergency or providing
dardized across a number of fire departments. coverage when response units from the requesting
city or county are otherwise engaged.
Regional Teams
Basic mutual aid practices provide for enhancing Hampton Roads Region
or expanding response capacity. However, those There are a number of regional emergency
practices are dependent upon a needed capacity response teams in the region, comprising
being available in the local area. In most instances, members from local agencies, supported by local
there will be sufficient local resources to expand or state governments, including the following:
response capacity. However, this has sometimes
been problematic when enhanced capacities are • Hampton Roads Marine Incident Response
needed, such as teams that provide specialized ser- Team
vices. A hazardous materials response team can • Hampton Roads Metropolitan Medical
be very expensive for an individual jurisdiction to Response Strike Team
create and sustain, especially if it is to be equipped • Peninsula Hazardous Materials Response
to handle all types of hazardous materials emer- Team
gencies, regardless of severity or scale. Develop- • Southside Hampton Roads Hazardous
ing a collaborative approach to such functions Materials Response Team
helps spread the costs, minimizing the impact on • Tidewater Regional Technical Rescue Team
the budget of any single jurisdiction while concur-
rently minimizing the potential for the develop- Statewide
ment of redundant services within a region. All of the cities and counties are signatories of
the Virginia Statewide Mutual Aid Plan, pledging
Assistance Compacts to be available to provide assistance to other
An assistance compact is essentially a large- localities within the Commonwealth of Virginia.
scale mutual aid program, usually at the state or
640 Mutual Aid and Assistance

Operations Center (EOC), and then only after a protective clothing, which, based on economies of
disaster has been declared, but there are excep- scale, helps reduce prices for all those engaged in
tions from state to state. At the national level, these types of programs.
the Emergency Management Assistance Compact
(EMAC) can only be accessed if a governor has Contracts
declared a state of emergency and has exhausted Some local governments use contracts to acquire
all state resources, but there is no requirement that expanded or enhanced response capacity. For
the crisis have a Presidential Disaster Declaration. example, some unincorporated areas of a county
When an EMAC request is desired, a local may contract for municipal services, often for a
EOC will request assistance from a state EOC, token fee of $1 per year. Others will contract with
and the state EOC will request assistance from private emergency medical service providers for
the Federal Emergency Management Agency a surge capacity in ambulances. This is certainly
(FEMA), with the specific FEMA organizational an effective approach in some situations. There is
unit differing depending on the scale and timeline some question as to whether it is truly a mutual
of the disaster. The request will include specifics aid approach, as there is no expectation of reci-
as to the resources needed, as well as a projection procity. Regardless, it can be an effective and effi-
of how long the resources will be required. The cient means for governments to fill potential gaps
requests are funneled up to a central function- in emergency response capacity.
ary that shares these requests with EOCs across
the state or the nation. State EOCs contact local Essential Components
EOCs with the requests. After discussions at the When developing a mutual aid program, several
local level concerning which resources can be elements need to be addressed. First, the programs
shared at that time, the local EOCs will respond will only succeed if there is support from the upper
to the state EOCs with the types and amounts tiers of the organization, which normally requires
of aid they are willing to provide. This informa- that those in the upper tiers of each organization
tion is routed to FEMA, which decides which recognize the need for external assistance and are
offers to accept. This information is then fun- willing to act in a collaborative manner. Second,
neled back to state and local EOCs. Based on the programs need to address operational issues,
the federal system of government, this model such as how to facilitate personnel from differing
can be somewhat cumbersome to initiate after agencies working together. The National Incident
a disaster. For a large-scale event such as Hurri- Management System (NIMS) provides a frame-
cane Katrina, where resources may have to come work for developing an effective interorganiza-
from great distances, the initial units requested tional response, which includes such features as
from the EMAC may take a week or more to inter-operational communications and a robust
arrive. However, once the system is implemented disaster exercise program. However, because of
and ongoing, mutual aid resources arrive and variances in specific training and the equipment
depart in a steady flow, with no negative impact used by differing agencies, special consideration
on operational staffing. may be needed during the incident to address
these issues. Third, the program must clearly
Non-Response Collaborative Agreements identify when and how the system is to be used.
Although mutual aid is normally associated with Clarifying this proactively will reduce poten-
emergency response, it may take other forms. tial problems when individual localities seek to
Illustrative of this, in many areas of the nation, request mutual aid. Last, the programs need to
smaller agencies share emergency dispatching or address the more mundane issues associated with
training facilities. In much the same manner as mutual aid, such as the legal and human resource
response-oriented mutual aid, this helps spread management aspects.
costs among a number of jurisdictions, elimi- Public organizations derive their power from
nating needless redundancy. Additionally, some their enabling documents, including constitutions
localities have banded together to purchase vehi- at the federal and state level and city or county
cles, specialized equipment, disposable goods, or charters at the local level. The authority of public
 Mutual Aid and Assistance 641

officials, as well as of many private-sector indi- See Also: Collaboration; Emergency Management
viduals, is based not only on such documents System; Emergency Responders; Incident
but also on state licenses. An important facet of Management; Incident Response; Interdependence;
any mutual aid agreement is the recognition that National Incident Management System (NIMS);
mutual aid partners coming into a state or locality Operational Readiness; Pre-Crisis Training and
based on a mutual aid request are acting as agents Planning; Preparedness; Resource Management;
of that state or locality, will be acting as agents of Response.
the requesting party, with all licenses and authori-
ties granted. This is a critical issue in some dis- Further Readings
ciplines such as emergency medical delivery and Canton, L. G. Emergency Management: Concepts and
law enforcement. Without this being addressed in Strategies for Effective Programs. Hoboken, NJ:
the agreement, medical personnel may be effec- Wiley, 2006.
tively practicing medicine without a license, and Goodsell, G. T. The Case for Bureaucracy: A Public
law enforcement officials have no more author- Administration Polemic. 4th ed. Washington, DC:
ity to carry arms than the average citizen or to CQ Press, 2002.
detain personnel beyond the statutes for a citi- Haddow, G. D. and J. A. Bullock. Introduction to
zen’s arrest. Last, a mutual aid agreement should Emergency Management. 2nd ed. Burlington, MA:
consider issues such as employee compensation, Elsevier, 2006.
reimbursement for services provided, and work- Kettl, D. F. The Transformation of Governance:
ers compensation. Public Administration for Twenty-First Century
Although most agreements simply state that America. Baltimore: Johns Hopkins University
each agency will compensate its own employees Press, 2002.
and provide for their workers compensation, as McEntire, D. and G. Dawson. “The
well as note that there will be no reimbursement for Intergovernmental Context.” In Emergency
costs, agreements differ depending on the area and Management: Principles and Practices for Local
the type of team. For example, many regional and Government, W. Waugh, Jr., and K. Tierney, eds.
national emergency response teams are supported 2nd ed. Washington, DC: ICMA Press, 2007.
by the state or federal governments. In many situ- Nicholson,W. “Legal Issues.” In Emergency
ations, those teams may provide for limited reim- Management: Principles and Practices for Local
bursement of funds. Regardless of the approach, Government, W. Waugh, Jr., and K. Tierney, eds.
an essential component of a mutual aid agreement 2nd ed. Washington, DC: ICMA Press, 2007.
is a proactive understanding of such matters, which Poulin, T. E. “National Threat—Local Response:
will contribute to less confusion during and after Building Local Disaster Capacity With Mutual Aid
the time a mutual aid request is fulfilled. Agreements.” PA Times, v.28/3 (2005).
White House. “The Federal Response to Hurricane
Thomas E. Poulin Katrina: Lessons Learned.” Washington, DC:
Capella University White House, 2006.
 N
Nanotechnology Origins and Fundamentals
The concept of constructing molecules with
Nanotechnology is the field of science that explores atomic-level control originated as early as the
the development and functional application of 1950s, when physicist Richard Feynman specu-
atomic-scale materials and devices. The prefix lated in public lectures in 1959 about the abil-
nano refers to the scale on which the research ity to build molecular structures, atom by atom.
and development is being performed: between Advances in microscope technology in the 1980s,
one and 100 billionths of a meter. The physical including the development of the atomic force
properties a material may have on the visible microscope (AFM) and the scanning tunnel
scale may be very different from the properties microscope (STM), made possible the physical
it exhibits on the nanoscale. Inert materials may observation of individual atoms and the contin-
become reactive, opaque materials may become ued development of nanotechnology as a discrete
transparent, and so forth. Using nanotechnologi- science. The field continued to develop through-
cal methods, scientists can manipulate these prop- out the 1990s and 2000s and saw the emergence
erties to control the structure, weight, strength, of nanoscience subspecialties, including nano-
solubility, and chemical reactivity of a material. photonics, nanoionics, and nanomechanics. The
Nanotechnology also allows atoms to be carefully National Nanotechnology Initiative (NNI) was
manipulated and arranged to produce entirely created in 2000 to provide coordination of U.S.
new molecular structures. Nanoproducts have federal nanotechnology research, and in 2003
seen broad application across many disciplines of the passage of the 21st Century Nanotechnol-
science, including physics, organic chemistry, and ogy Research and Development Act authorized
materials science. Beyond scientific applications, funding for the project. Participation in the NNI
nanotechnology has also significantly impacted is broad and includes both research and regula-
commercial manufacturing, medicine, and infor- tory agencies such as the Departments of Home-
mation systems. The creation of novel materials land Security, Transportation, and Agriculture;
and devices through the use of nanotechnology the National Science Foundation; the U.S. Patent
has raised ethical, environmental, and economic and Trademark Office; the National Institutes of
concerns, and debate about the future of nano- Health; and the Nuclear Regulatory Commission.
technology (including its risk and regulation) Two major approaches are considered funda-
continues. mental to nanotechnology research. The “bottom

643
644 Nanotechnology

up” approach involves the manipulation of the of personalized medicine, improving the sensi-
specific chemical properties of atoms to synthe- tivity and accuracy of diagnostic tools, and the
size desired molecular configurations. Certain development of multifunctional pharmaceuti-
molecular structures, although thermodynami- cals and therapeutics. For instance, the antimi-
cally unfavorable or unlikely to occur naturally, crobial properties of nanoparticulate silver are
can be generated with nanotechnology. In turn, being evaluated for use in bandages and medical
these complex molecular assemblies may them- equipment.
selves manufacture or assemble nanoproducts,
essentially creating molecular factories. This is Risk and Regulation
known as “molecular manufacturing.” Because nanoproducts are invisible to the unas-
The second approach guiding development of sisted human eye, their presence, persistence, and
nanoproducts employs a “top down” methodol- impacts can be difficult to document and control.
ogy. Certain mechanical and physical properties For instance, nanotechnology processes could
become more pronounced as a material is scaled be used to enhance biological, chemical, and
down. Nanoproducts are fashioned from larger nuclear weapons or to make them undetectable
materials, often without atomic-level control. and untraceable. Additionally, significant legal
Ultraprecision tools are used to shape, mill, and and ethical concerns are raised by the use, cost,
reduce a material down to a specific size to elicit and trade of nanoproducts. The potential threats
desired effects. For example, aluminum, a rela- of nanotechnology to the environment, human
tively stable material on the visible scale, can be health, and public safety have led to federally coor-
milled down to the nanoscale, where it becomes dinated research on the subject. NanoEHS (envi-
potently combustible. ronmental, health, and safety) research has seen a
surge in federal funding and is currently exploring
Applications methodologies to mitigate both intentional and
Applications for nanotechnology can be found unintentional consequences of the applications of
in many disciplines, from scientific research to nanotechnology. The NNI currently recommends
human services to commercial manufacturing. a risk management process that outlines risk
Not only has nanotechnology facilitated improve- assessment, hazard identification, and exposure
ments in current designs and processes, but it control across the entire nanotechnology product
has also allowed the development of completely life cycle. A nanotechnology-specific regulatory
novel devices and products. The domain of mate- framework has yet to be established, with nations
rials science has been most significantly affected including the United States choosing to manage
by the nanotechnological developments, and the potential risks through existing regulatory bod-
capabilities of the field have greatly expanded. ies, such as the Food and Drug Administration
Materials can now be made lighter, stronger, (FDA) and the Environmental Protection Agency
more flexible, and more durable. Nanoscale pro- (EPA). Labeling of nanomaterials in consumer
cesses and materials are currently in use in more products is currently not required; however, some
than 800 commercial products, from sunscreens manufacturers voluntarily list their products in
to body armor. These advances have also trans- databases maintained by the Project on Emerging
lated the fields of electronics and information Nanotechnologies (PEN) and the International
systems as well as environmental science and Council on Nanotechnology (ICON).
sustainable energy. Computer processing chips,
semiconductors, and consumer electronic goods Lauren Ohl-Trlica
have become faster, more powerful, and more University of California, Los Angeles
portable, and cleaner fuels and pollution remedi-
ation agents have been developed. Nanotechnol- See Also: Biological Weapons; Chemical
ogy has also shown promise for revolutionizing Weapons; Crisis Management, Emerging Trends
the field of medicine. Current research suggests in; Manufacturing Risks; Nuclear and Radiological
that nanotechnological applications could assist Weapons; Nuclear Risk; Sabotage; Terrorism; Threat
in the early detection of disease, the development Detection.
 NatCatSERVICE (Munich Re) 645

Further Readings of NatCatSERVICE, the database does provide

Cobb, M. and J. Macoubrie. “Public Perceptions the most comprehensive basis for long-term trend
About Nanotechnology: Risks, Benefits, and Trust.” analysis for “great natural catastrophes” since
Journal of Nanoparticle Research, v.6 (2004). 1950. The database records nearly 1,000 loss
Roco, M. and W. Sims Bainbridge. Societal events per year and catalogs each into one of six
Implications of Nanocience and Nanotechnology. main loss categorizes, from “small-scale” events
Norwell, MA: Kluwer Academic, 2001. with little or no reported property damage and
U.S. Office of Science and Technology Policy. “Policy fewer than 10 fatalities to “great natural catas-
Principles for the U.S. Decision Making Concerning trophes” that exceed a region’s ability to help
Regulation and Oversight of Applications of itself, require international assistance, or result in
Nanotechnology and Nanomaterials.” Washington, thousands of fatalities and/or hundreds of thou-
DC: White House, 2011. sands of homeless. Additional levels of classifica-
tion within the database further define events by
grouping them by one of four main causal agents:
geophysical, meteorological, hydrological, and
climatological. These categories conform to inter-
NatCatSERVICE (Munich Re) national standards created through a 2007 col-
laboration among the Asian Disaster Reduction
The need for accurate, precise, and reliable haz- Center, the Center for Research on the Epidemiol-
ard loss information is imperative for stability ogy of Disasters (CRED), the International Strat-
and growth not only within civil society but also egy for Disaster Reduction (ISDR), Munich Re,
for public and private-sector enterprises. Knowl- Swiss Re, and the United Nations Development
edge of past catastrophic impacts plays a vital role Programme (UNDP), which effectively harmo-
in planning for development into the future and nized the hierarchy and terminology of natural
for understanding the possible outcomes related hazards classification across governments, non-
to ever-increasing encroachment into the world’s governmental organizations (NGOs), and pri-
hazard zones. To support this need, insurance and vate-sector entities. Further subdivision of these
reinsurance entities have created vast enterprises main categories provides a standard basis from
aimed at identifying, understanding, analyzing, which international disaster impact assessment,
and contextualizing risks, impacts, and future analysis, and comparisons can be conducted.
threats. A leader in this development of catastro-
phe research and analysis, Munich Re’s NatCat- Outreach and Publications
SERVICE provides online access to high-quality NatCatSERVICE is often cited as a source for
loss information and data for risk evaluation and publications across a broad spectrum of outlets,
assessment as one of the supporting pieces of the and Munich Re has established a long tradition of
company’s geo-risk research division. In addition publication in both scientific and proletarian chan-
to being one of the world’s most comprehensive nels. Topical areas for publications from Munich
natural catastrophe datasets, NatCatSERVICE Re include articles, newsletters, presentations, and
provides a one-stop platform from which users analytical map products related to climate change,
can access, analyze, and understand natural disas- marine insurance, natural hazards, sustainability,
ters at many different temporal and spatial scales. property and casualty, Solvency II, and workers’
compensation. In addition, Munich Re publishes a
NatCatSERVICE Data and Methods variety of annual special-topic editions, including
The current NatCatSERVICE database contains global-, Asia- and U.S.-focused natural catastro-
around 28,000 individual event datasets and phe reports aimed at shedding light on the broad-
boasts a complete accounting of worldwide disas- suite disaster impacts for specific places, including
ters since 1980. These data enable users to per- economic, social, and geospatial impacts.
form detailed trend analysis at global, continent,
and county levels. Although subcountry details, Christopher Todd Emrich
analysis, and reporting are not available as part University of South Carolina
646 National Fire Protection Association (NFPA) 1600, 2007, and 2010

See Also: Damage Assessment; Insurance; Losses, in 2000, 2004, and 2007, but the first edition to
Quantitative Versus Qualitative; Reinsurance; Risk fully encompass business continuity as a sepa-
Assessment. rate component is the 2010 edition. It has been
reviewed and amended triannually by the NFPA
Further Readings Technical Committee on Emergency Management
Cutter, S. L., M. Gall, and C. T. Emrich. “Toward and Business Continuity. The standard is a “con-
a Comprehensive Loss Inventory of Weather sensus standard” developed by a technical com-
and Climate Hazards.” In Climate Extremes mittee of practitioners and experts, including rep-
and Society, H. F. Díaz and R. J. Murnane, eds. resentatives and support from the International
Cambridge: Cambridge University Press, 2008. Association of Emergency Managers (IAEM), the
Kron, W., P. Steuer, P. Low, and A. Wirtz. “How Association of Contingency Planners (ACP), and
to Deal Properly With a Natural Catastrophe Disaster Recovery Institute International (DRII).
Database—Analysis of Flood Losses.” Natural NFPA 1600 is a very clear list of essential com-
Hazards and Earth System Science, v.12 (2011). ponents for an emergency plan. It is suitable for
Munich Re. “NatCatSERVICE: A Guide to the communities, businesses, universities, and not-
Munich Re Database for Natural Catastrophes.” for-profit organizations and, in fact, has been
(2003). http://www.ccap.org/docs/resources used as a model by many such entities. It was
/345/302-03901_en.pdf (Accessed March 2012). accepted by the Department of Homeland Secu-
Munich Re. “Natural Catastrophe Know-How for rity as one of three standards for the voluntary
Risk Management and Research.” (2011). http:// private-sector preparedness planning outlined in
www.munichre.com/publications/302-06733_ Public Law 110-53. Though its initial acceptance
en.pdf (Accessed May 2012). and use was by public organizations and jurisdic-
tions, its applicability to private-sector organiza-
tions was recognized by users such as emergency
management directors, corporate risk manage-
ment personnel, university professors, authors,
National Fire Protection trainers, and practitioners. By 2004, the standard
was incorporated into training programs at police
Association (NFPA) 1600, and fire academies, disaster recovery and emer-
2007, and 2010 gency management conferences, community and
private sector–based training, and professors and
The National Fire Protection Association Standard authors of undergraduate and graduate courses in
on Disaster/Emergency Management and Business emergency management degree programs.
Continuity Programs, 2010 Edition (NFPA 1600) The standard includes a chapter-by-chapter
is recognized by the Department of Homeland list of the essential components of an all-haz-
Security under Public Law 110-53. This document ards disaster/emergency management and busi-
is designated and certified by the Department of ness continuity program. Its stated purpose is
Homeland Security as antiterrorism technology to provide the fundamental criteria to develop,
under the Support Anti-terrorism by Fostering implement, assess, and maintain the program for
Effective Technologies Act of 2002 (SAFETY Act). prevention, mitigation, preparedness, response,
The standard identifies components and provides continuity, and recovery. It applies to all levels or
details for inclusion in an all-hazard disaster/emer- jurisdictions, local, national, or international.
gency management or business continuity pro- The NFPA 1600 standard contains a brief def-
gram applicable to local, regional, national, and inition of terms to guide the end user through the
international private, public, not-for-profit, non- document. It defines not only emergency manage-
governmental, and tribal entities. ment and business continuity terms but also the
NFPA 1600 is the National Fire Protection language of the standard, such as “approved,”
Association Standard on Disaster/Emergency “shall,” “should,” and “vital records.” For
Management and Business Continuity Programs, a more complete glossary, see http://www.drj
2010 Edition. It was published in earlier editions .com/tools/tools/glossary-2.html for business
 National Fire Protection Association (NFPA) 1600, 2007, and 2010 647

At Francis S. Gabreski Air National Guard Base in New York, firefighters with the New York Air National Guard’s 106th Civil
Engineering Squadron train with local firefighters to remove victims from a mock burning aircraft, August 15, 2012. The National Fire
Protection Association 1600 standard is incorporated into training programs at police and fire academies, emergency management
conferences, and public and private sector–based agencies.

continuity terms defined by the Glossary Com- Chapter 5, “Planning,” outlines the sections to
mittee of Disaster Recovery Journal and http:// be included in the program. It is not a template
training.fema.gov/EMIWeb/edu/termdef.asp for for a plan but a recommended set of criteria. It
terms defined by the Federal Emergency Man- includes subsections on Planning Process, Com-
agement Agency (FEMA). mon Plan Requirements, Planning and Design,
There are five chapters (4–8) that detail the cri- Risk Assessment, Business Impact Analysis, Pre-
teria, each with specific subsections that together vention, and Mitigation.
outline a complete all-hazard disaster/emergency Chapter 6, “Implementation,” is concerned
management or business continuity program. with matters once an incident has occurred. It
includes Resource Management, Mutual Aid/
Chapters and Subchapters Assistance, Communications and Warning,
Chapter 4, “Program Management,” presents the Operational Procedures, Emergency Response,
essential elements in establishing a disaster/emer- Employee Assistance and Support, Business Con-
gency management and business continuity pro- tinuity and Recovery, Crisis Communications and
gram. It includes subsections on Leadership and Public Information, Incident Management, Emer-
Commitment, Program Coordination, Program gency Operations Centers (EOCs), and Training
Committee, Program Administration, Laws and and Education. All of these subsections should be
Authorities, Performance Objectives, Finance and developed in a program in advance of an incident,
Administration, and Records Management. even though they pertain to response and recovery.
648 National Incident Management System (NIMS)

Chapter 7, “Testing and Exercising,” addresses business continuity programs. There are other
the need to practice using the program and to plan standards, and this standard has met the require-
in order for personnel to be well acquainted with ments and approval of countless organizations in
their responsibilities. It includes Entity Evaluation, search of risk management, emergency mitiga-
Exercise Evaluation, Methodology, Frequency, tion, preparedness, response, and recovery solu-
and Exercise Design. (See also http://www.fema tions. The clear and concise format has provided
.gov/pdf/media/factsheets/2010/npd_hseep.pdf ample opportunity for partnerships to be devel-
for the Homeland Security Exercise and Evalua- oped between public and private entities whose
tion Program Toolkit.) focus is on efficient, effective, well-documented
Chapter 8, “Program Improvement,” offers planning and implementation for the protection
criteria for assessing and improving a plan or of lives, property, and the environment.
program, which is an ongoing process. It includes
the subsections Program Reviews and Corrective Tom Phelan
Action. American Public University System
Though each chapter and subsection briefly
define and describes the criteria, a follow-up See Also: All-Hazards; Business Continuity Planning;
“Annex A, Explanatory Material” is numbered Disaster Recovery; Emergency Management,
to correspond with the subsections in all eight Principles of; Exercises; Incident Action Plans;
chapters. For example, “Annex A.3.3.4” explains Incident Response; Pre-Crisis Training and Planning;
the concept of continuity. “Annex A.3.3.13” Preparedness; Response; Strategic Plans; Training.
describes the components of an Incident Manage-
ment System similar to the NIMS ICS (National Further Readings
Incident Management System, Incident Com- Coté, Ron. Life Safety Code Handbook: With the
mand System). “Annex 4.6.1” explains why it is Complete Text of the 2009 Edition of NFPA 101,
important to have performance objectives. Criti- Life Safety Code. Quincy, MA: National Fire
cal to life safety of responders is “Annex 5.2.7,” Protection Association, 2009.
which provides details of hazard control, an issue National Fire Protection Association. “Standard on
of safety and health to all personnel participating Disaster/Emergency Management and Business
in an emergency or disaster. Continuity Programs, 2010 Edition.” http://www
In addition to the standard criteria and the .nfpa.org/assets/files/pdf/nfpa16002010.pdf
Annex, NFPA 1600, 2010 edition, contains a (Accessed July 2012).
crosswalk to two other documents—the “DRII U.S. Department of Homeland Security. “Mission and
Professional Practices for Business Continuity Responsibilities.” http://www.dhs.gov/xabout
Practitioners, 2008” and the Canadian Standards /responsibilities.shtm (Accessed July 2012).
Association’s “CSA Z1600-08, Emergency Man-
agement and Business Continuity Programs.”
NFPA 1600 has been the standard for a number
of “maturity models” that have been constructed
by both private-sector and not-for-profit organiza- National Incident
tions dedicated to business continuity planning.
Finally, NFPA 1600 includes “Annex B Pro- Management System
gram Development Resources,” “Annex C Self
Assessment for Conformity With NFPA 1600,
(NIMS)
2010 Edition,” “Annex D Management System The National Incident Management System, also
Guidelines,” and “Annex E Informational Refer- known as NIMS, is a system of common proce-
ences.” These annexes, B–E, are brief but valu- dures, structures, and training designed to pro-
able for extending the use of the standard. mote more cooperative and integrated domestic
NFPA 1600 has been used and reviewed glob- incident and emergency preparedness, manage-
ally by practitioners who desire to create the most ment, and response. It emerged in the U.S. gov-
complete disaster/emergency management and ernment from Homeland Security Presidential
 National Incident Management System (NIMS) 649

Directive 5 (HSPD-5 or Management of Domes- know that NIMS encourages the use of “plain
tic Incidents) called for by president George W. English” to avoid confusion around jargon. Crisis
Bush on February 28, 2003, following the ter- managers will also likely find NIMS training use-
rorist attacks of September 11, 2001. The release ful. NIMS training is offered through the National
of NIMS was announced by Department of Integration Center (NIC, formerly known as the
Homeland Security (DHS) Secretary Tom Ridge NIMS Integration Center), as well as through
on March 1, 2004. Following what was seen by FEMA’s Emergency Management Institute (EMI)
some as flawed disaster response despite the use and the U.S. Fire Administration (USFA).
of NIMS during natural disasters such as Hurri-
cane Katrina in 2005, NIMS was updated after Five Key Components
a discussion that began in 2006 and ended with NIMS is made up of five key components: pre-
new publications and guidelines in 2008. This paredness, communications, and information
update was designed to clarify the role of NIMS management; resources management; command
and other agencies and systems in disaster mitiga- and management; supporting technologies; and
tion, preparedness, response, and recovery. ongoing management and maintenance. These
The Federal Emergency Management Agency components are each important to crisis manage-
(FEMA) and DHS describe NIMS as a tem- ment, as they establish a variety of critical func-
plate that was designed to provide consistency tions within a broader system of cooperation and
and cooperation in incident mitigation, preven- coordination among a variety of private groups
tion, response, and recovery across various lev- and government agencies, allowing for well-orga-
els of government (including local, tribal, state, nized management of disaster response. Each of
and federal), nongovernmental organizations these five components is designed to work with
(NGOs), and various other organizations. NIMS the others within the system as a whole, and to be
was developed from already existing systems fully utilized, they must work in tandem.
such as the incident command system (ICS) but Preparedness comprises assessment, planning,
was designed to go beyond that, creating an and training for future potential crises for indi-
integrated national system. It allows crisis man- vidual personnel and organizations as a whole,
agers to work within a shared system, making giving crisis managers information about which
cooperative efforts easier. Federal departments steps have been taken to prepare for domestic
and agencies, as well as different state and local incidents, emergencies, or disasters. Communica-
departments and agencies and nongovernmen- tions and information management are based on
tal organizations, are required to incorporate a series of requirements that there be standard-
NIMS into preparedness and response plans such ization across different communications systems,
as their emergency operations plans (EOPs) or rendering them interoperable, reliable, and redun-
comprehensive emergency management plans dant, enabling crisis managers to share informa-
(CEMPs) in order to be able to qualify for federal tion effectively, clearly, and concisely. Resources
emergency preparedness funding. management includes the organization, mobi-
Although not all private organizations are lization, and tracking of resources needed for
legally required to work with NIMS, it is impor- disaster response, enabling crisis managers to
tant for them to know that government agencies work together to mobilize and share necessary
and other organizations are using it, and an under- resources. Command and management are based
standing of or training in NIMS will likely be use- on three distinct systems of organization: Incident
ful if they need to interact with these groups. Even Command System (ICS), multiagency coordina-
if these crisis managers do not use NIMS within tion systems, and public information. These orga-
their own organizations, they will almost inevita- nizational systems ensure that crisis managers,
bly work with other organizations or government other responders, and, in some cases, the public
agencies that do. Because of its widespread use, it is are working together to respond to crises within
important that crisis managers at least be familiar the same parameters. Finally, ongoing manage-
with NIMS. Such familiarity is important to avoid ment and maintenance includes systems like those
confusion. For example, crisis managers should in the National Integration Center (NIC) and
650 National Oceanic and Atmospheric Administration (NOAA)

supporting technologies. Supporting technolo- See Also: Department of Homeland Security (DHS);
gies enable crisis managers to communicate with Federal Emergency Management Agency (FEMA);
other responders and manage resources more Interoperability; National Response Framework;
effectively, and systems like the NIC allow for a Policy Setting.
shared management center, further promoting the
cooperative use of information and resources. Further Readings
NIMS lays the foundation for scalable Alperen, Martin J. Foundations of Homeland
approaches to preparedness, interoperabil- Security: Law and Policy. Hoboken, NJ: John
ity, resource management, and coordination. Wiley & Sons, 2011.
Although NIMS is designed to encourage con- Coombs, W. Timothy. Code Red in the Boardroom:
sistency between different agencies and orga- Crisis Management as Organizational DNA.
nizations, it is not a specific response, manage- Westport, CT: Praeger, 2006.
ment, or communications plan. It is designed Federal Emergency Management Agency. “FY 2010
to be alterable as needed, based on the crisis or NIMS Implementation Objectives and Metrics for
circumstances. NIMS is designed so that agencies Federal Departments and Agencies.” http://www
and organizations at different levels can adapt .fema.gov/pdf/emergency/nims/FY2010_Federal
its guidelines to different situations as needed. NIMSImplementationObjectivesMetrics.pdf
With the establishment of NIMS, the National (Accessed January 2012).
Response Framework (NRF; formerly known as Federal Emergency Management Agency. “National
the National Response Plan, or NRP) was put Incident Management System.” Washington, DC:
into place as a guide for all-hazards response in Department of Homeland Security, 2008.
the United States. Although NIMS is a general Federal Emergency Management Agency Emergency
system designed to focus on establishing best Management Institute. “IS-700.a NIMS: An
practices and training and guidelines to put them Introduction.” http://training.fema.gov/emiweb/is
in place, the NRF focuses on important structures /is700a.asp (Accessed January 2012).
and key goals for participants. Walsh, Donald W., Hank T. Christen, Christian E.
NIMS reinforces a shared system with common Callsen, Geoffrey T. Miller, Paul M. Maniscalco,
training, structures, and processes that allows cri- Graydon C. Lord, and Neal J. Dolan. National
sis managers from different agencies and organi- Incident Management System: Principles and
zations to work together in a unified approach. Practice. 2nd ed. Sudbury, MA: Jones & Bartlett
NIMS and the NRF are designed to support Learning, 2012.
cooperation between different groups involved
in emergency, disaster, and crisis response. This
focus on cooperation is important, but it is impor-
tant to note that the system also maintains some
preexisting standards of disaster response and National Oceanic and
emphasizes the fact that control in crisis response
remains first and foremost at the local level. Even Atmospheric Administration
when NIMS is not in use, the guidelines for coop-
eration and interoperability it emphasizes can be
(NOAA)
used by emergency responders and crisis manag- Established in 1970 by uniting three of the oldest
ers, enabling them to communicate clearly and federal agencies in the United States under the aus-
quickly, share resources, and approach problems pices of the Department of Commerce, the National
with a unified and cooperative front. Moreover, Oceanic and Atmospheric Administration (NOAA)
this cooperation both inside and outside NIMS is dedicated to better comprehending the physical
occurs while agency and organization indepen- environment in order to assist decision makers.
dence and goals are maintained. During the 1970s, there was a heightened sense of
environmental awareness in the United States as
Jennifer Trivedi citizens realized that the economy and ecology are
University of Iowa inextricably linked. The government recognized
 National Oceanic and Atmospheric Administration (NOAA) 651

the need to protect people and property from natu- anthropogenic phenomena that could result in a cri-
ral disasters, such as hurricanes and floods, as well sis situation. These include holes in the ozone layer,
as from hazards created by humans, such as air solar flares, air and water pollution, and El Niño/
pollution and groundwater contamination. This La Niña events. The OAR supports thousands
realization led to the passage of numerous envi- of engineers, technicians, and scientists through
ronmental laws and the establishment of NOAA, research centers, laboratories, and programs, all
with a primary mission to forecast changes in the dedicated to protection and preservation.
environment that can negatively impact the public.
Thus, NOAA plays an enormous and essential role National Ocean Service
in crisis management from the outer reaches of the The responsibility for preserving and enhancing
atmosphere to the deepest depths of the oceans. coastal areas and oceans belongs to the National
Fundamental goals espoused by NOAA are criti- Ocean Service (NOS). The primary purpose of
cal elements in managing crises at every level of the NOS is to manage environmental, economic,
the physical environment. These objectives include and social pressures along the coasts and in the
providing real-time weather information, conduct- oceans to ensure that they are healthy, safe, and
ing climate research, and ensuring the sustainabil- productive. The NOS monitors dangers to human
ity of coastal and marine resources. To accomplish health such as algal blooms, toxins, hypoxia, and
these aims, NOAA has the support of several scien- waterborne illnesses and is concerned with every
tific agencies under its jurisdiction. stage of chemical and oil spills, from response
and assessment to cleanup operations. The NOS
Satellite, Data, and Information Service also deals with natural hazards such as tsunamis
The data gathered by NOAA from land- and through the use of its network of tsunami warn-
ocean-based weather stations as well as space- ing systems. Once local officials receive a tsunami
based satellites are the responsibility of the watch or warning, they have the option to activate
National Environmental Satellite, Data, and Infor- the Emergency Alert System, which sends a broad-
mation Service (NESDIS). The primary purpose of cast to evacuate beaches and low-lying coastlines
NESDIS is the promotion and protection of the to media outlets and NOAA weather radios.
economy and the environment by providing data These broadcasts are vital to handling a potential
on a global scale from satellites and other sources. tsunami emergency. Without adequate warning,
This Earth system monitoring is accomplished the death toll can be staggering, as was the case
through the collection of atmospheric and climatic in 2004 along the coastline of Indonesia when
information as well as oceanographic and geo- more than 200,000 people died as a result of a 9.1
physical data, which are available for analysis by magnitude earthquake and the accompanying tsu-
scientists around the world. Much of this research nami. As the planet continues to warm, the NOS is
is focused on climate change, as NOAA’s diverse developing products to reduce the ramifications of
satellite platforms provide tangible evidence of climate change on coastal communities, including
higher land and sea surface temperatures, elevated sea level rise, storm surge, and beach erosion.
greenhouse gas concentrations, melting ice caps
and glaciers, rising sea levels, increased deforesta- National Weather Service
tion, and expanding desertification. Each of these Perhaps the most notable of the NOAA agencies
negative impacts represents a potential crisis for is the National Weather Service (NWS), which has
administrators and political leaders at every level. 122 weather forecast offices that are constantly
gathering and analyzing data from thousands
Oceanic and Atmospheric Research of weather stations and satellites. The charge of
NOAA has its own research agency that ana- the NWS is to protect property, people, and the
lyzes data, writes technical reports, and develops economy by providing short-term weather fore-
environmental products. In addition to investi- casts and warnings, long-range climate predic-
gating climate change, the Office of Oceanic and tions, and relevant hydrologic information for the
Atmospheric Research (OAR) is committed to a United States and its territories. Natural disasters
better understanding of all types of natural and such as hurricanes, tornadoes, floods, droughts,
652 National Preparedness Goal

and wildfires are among the crises that are more

manageable through the work of the NWS. Once
National Preparedness Goal
the forecasts are made, contingency plans can be The National Preparedness Goal was established
put into place to mitigate the impending damage. in Presidential Policy Directive 8: National Pre-
With enough warning prior to hurricane landfall paredness, in 2011, to prepare the nation for
from the National Hurricane Center, which is part those threats that pose the greatest risk to the
of the NWS, much of the population can evacu- United States. It is an all-hazard, risk-based, all-
ate, those who cannot leave can be transported of-nation approach. The National Preparedness
to safer facilities or prepare to ride out the storm, Goal is this: “A secure and resilient Nation with
and organizations such as the National Guard the capabilities required across the whole commu-
and the Red Cross can plan for the disaster and nity to prevent, protect against, mitigate, respond
prevent the escalation of the crisis in the after- to, and recover from the threats and hazards that
math of destruction. In the case of tornadoes, the pose the greatest risk.”
Storm Prediction Center, also an arm of the NWS,
has the ability to issue high-risk warnings as History
much as 24 hours in advance and refers to storms In 2003, the president of the United States issued
as catastrophic and life-threatening in an attempt Homeland Security Presidential Directive 8 to
to become more proactive in communicating the direct the Secretary of Homeland Security to
severity of these deadly natural disasters. develop an all-hazard national preparedness goal.
The outcome of that was the National Prepared-
Richard K. Snow ness Guidelines (NPG). There are four compo-
Mary Snow nents to the National Preparedness Guidelines:
Embry-Riddle Aeronautical University
1. The National Preparedness Vision, which
See Also: Earthquakes; Evacuation; Fires; Floods; defines the goal
Global Warming; Heat Waves; Hurricanes, Typhoons, 2. The National Planning Scenarios, which
and Cyclones; Tornadoes and Severe Thunderstorms; explore 15 major scenarios to help guide
Tsunamis. planning efforts
3. The Universal Task List (UTL), which is a
Further Readings list of approximately 1,600 tasks involved
Brouwer, G. “NOAA Breaks Ground for New in emergency response
Satellite Center.” Civil Engineering, v.73/8 (2003). 4. The Target Capabilities List (TCL), which
Jung, J., T. H. Zapotocny, J. F. Le Marshall, and R. E. defines 37 capabilities that all responding
Treadon. “A Two-Season Impact Study of NOAA organizations should possess
Polar-Orbiting Satellites in the NCEP Global Data
Assimilation System.” Weather and Forecasting, The National Preparedness Guidelines provide
v.23/5 (2008). concrete information to guide responding organi-
Malakoff, D. “NOAA to Retool Research Programs.” zations and agencies at all levels of government
Science, v.306/5699 (2004). in their all-hazards preparedness efforts. The Uni-
“NOAA’s Environmental Satellites Provide Early versal Task List and Target Capabilities List, in
Warning of Drought to Countries Around the particular, can be used to measure preparedness
World.” Bulletin of the American Meteorological and help guide the development of plans, train-
Society, v.82/1 (2001). ing, and exercises.
Prendergast, A C. “NOAA Ocean Explorer.” Choice, In 2011, the president of the United States
v.48/12 (2011). issued Presidential Policy Directive 8 (PPD-8):
Wang, L., C. Cao, and P. Ciren. “Assessing NOAA- National Preparedness. PPD-8 further develops
16 HIRS Radiance Accuracy Using Simultaneous the concept of the national preparedness goal
Nadir Overpass Observations From AIRS.” and calls for a mechanism for tracking prepared-
Journal of Atmospheric and Oceanic Technology, ness. In 2011, the National Preparedness Goal
v.24/9 (2007). document was released. Much like the National
 National Preparedness Goal 653

Preparedness Guidelines, the National Prepared- Shared Responsibility for Preparedness

ness Goal is capability based. The National Pre- The National Preparedness Goal identifies pre-
paredness Goal also calls for risk-based planning paredness as a shared responsibility. There is a
as well as whole community preparedness. specific focus on all-of-nation or whole commu-
nity. This means that responsibility is shared by
Risk-Based Planning individuals and organizations, the public sector
The understanding of risk is central to the and the private sector, and nonprofit and faith-
National Preparedness Goal. As directed in Presi- based organizations. Part of the goal is to enable
dential Policy Directive 8: National Preparedness, all members of the community to contribute to
a Strategic National Risk Assessment was con- preparedness effort, including children, people
ducted. The types of hazards and threats facing with disabilities, and people with limited English-
the nation were found to be wide-ranging. This language proficiency. Preparedness is not lim-
conclusion served to support the need for all- ited to specific individuals, organizations, or the
hazards, capabilities-based planning. Key risks government.
identified include natural hazards, varying in type
and potential severity across the country; pan- Core Capabilities and Mission Areas
demic influenza and emerging infectious diseases; There are five mission areas, each with associated
technological and accidental hazards, with aging core capabilities. The core capabilities evolved out
infrastructure posing a special risk; terrorist use of of the Target Capabilities List established under
weapons of mass destruction; and cyber attacks, the National Preparedness Guidelines. The mis-
especially those targeted at utility infrastructure sion areas are prevention, protection, mitigation,
and financial institutions. response, and recovery. The core capabilities are

A Coast Guard vessel from Sector Upper Mississippi River patrols a safety zone around the I-35W bridge collapse site in downtown
Minneapolis, Minnesota, on August 3, 2007. On August 1, at 6:05 p.m., a nearly 2,000-foot section of the concrete and steel bridge,
under the weight of construction materials and about 100 cars, buckled and fell into the Mississippi River. Aging infrastructure is
thought to pose a special risk in the Strategic National Risk Assessment for the National Preparedness Goal.
654 National Preparedness Goal

used to achieve the National Preparedness Goal. Management Services; Infrastructure

Each of these core capabilities includes capability Systems; Mass Care Services; Mass
targets that can be measured. The capabilities and Search and Rescue Operations; On-scene
targets are reflective of the communal effort and Security and Protection; Operational
are not specific to an entity or level of government. Communications; Public and Private
The core capabilities by mission area are as fol- Services and Resources; Public Health
lows. Note that Planning, Public Information and and Medical Services; and Situational
Warning, and Operational Coordination are com- Assessment.
mon to all five areas because they are critical in all 5. Recovery addresses the actions that
five areas. focus on the restoration, strengthening,
and revitalization of communities. This
1. Prevention refers to avoiding or stopping includes the economy, infrastructure, and
an act of terrorism (actual or threatened). housing, in addition to the health and
The core capabilities for prevention well-being of a community from a social
are Planning; Public Information and cultural perspective. Core capabilities
Warning; Operational Coordination; under recovery are Planning; Public
Forensics and Attribution; Intelligence Information and Warning; Operational
and Information Sharing; Interdiction and Coordination; Economic Recovery;
Disruption; and Screening, Search, and Health and Social Services; Housing;
Detection. Infrastructure Systems; and Natural and
2. Protection refers to protecting people Cultural Resources.
and material assets against threats
and hazards. Core capabilities under Maintenance
protection are Planning; Public The National Preparedness Goal is reviewed on a
Information and Warning; Operational periodic basis, with updates made by a core com-
Coordination; Access Control and Identity mittee; revisions are made available for public
Verification; Cybersecurity; Intelligence review and comment. It is considered to be a living
and Information Sharing; Interdiction and document based on re-evaluation of threats and
Disruption; Physical Protective Measures; hazards as well as changes in needs and capabilities.
Risk Management for Protection
Programs and Activities; Screening, Kristin L. Stevens
Search, and Detection; and Supply Chain New York University Langone Medical Center
Integrity and Security.
3. Mitigation focuses on lessening the See Also: All-Hazards; Department of Homeland
impact of disasters, thereby minimizing Security (DHS); Federal Emergency Management
loss of life and property. Mitigation Agency (FEMA).
core capabilities are Planning; Public
Information and Warning; Operational Further Readings
Coordination; Community Resilience; Simmons, Jonathan. “Hurricane Andrew: 20 Years
Long-term Vulnerability Reduction; Risk Later, Florida Building Code ‘Really Made a
and Disaster Resilience Assessment; and Difference.’” ABC Action News. (August 20, 2012).
Threats and Hazard Identification. http://www.abcactionnews.com/dpp/news/state/hur
4. Response refers to the actions following ricane-andrew-20-years-later-florida-building-code
an incident. Goals are to save lives and -really-made-a-difference (Accessed August 2012).
protect property and the environment. U.S. Department of Homeland Security. “National
The core capabilities for response Preparedness Goal.” Washington, DC: FEMA
are Planning; Public Information and Publications, 2011.
Warning; Operational Coordination; U.S. Department of Homeland Security. “Presidential
Critical Transportation; Environmental Policy Directive/PPD-8: National Preparedness.”
Response/Health and Safety; Fatality Washington, DC: FEMA Publications, 2011.
 National Response Framework 655

National Response system that would allow a unified, interoperable

approach to emergency management. The ulti-
Framework mate result of HSPD-5 is the National Incident
Management System and the National Response
The National Response Framework (NRF) guides Plan (NRP).
response to all-hazards incidents and is focused In 2008, the National Response Plan evolved
on domestic incident response. It is a companion into the National Response Framework. The
document to the National Incident Management National Response Plan replaced the Federal
System (NIMS), with its flexible, scalable, and Response Plan (FRP) that had been established
adaptable coordinating structures. in 1992. The National Response Plan itself was
The framework is only one element of the groundbreaking for including all levels of gov-
broader National Strategy for Homeland Secu- ernment. The change in title from the National
rity. Other elements focus on prevention and pro- Response Plan to the National Response Frame-
tection, while the framework focuses on response work reflected that the document is intended not
and recovery. Key elements of the National as an operational plan but rather as an outline
Response Framework include the aligning of roles of how varying responding agencies (public and
and responsibilities across jurisdictions and the private) will work together to manage emergen-
linking of federal, state, local, and tribal govern- cies. The change in content was largely driven
ments with the private sector and nongovernmen- by input from key stakeholders. Whereas the
tal organizations. The result is a unified approach National Incident Management System pro-
to emergency management. Unlike disaster dec- vides a template for emergencies response, the
larations, the National Response Framework National Response Framework describes roles
is always in effect and can be fully or partially and responsibilities, specific authorities, and
implemented depending on the needs of the inci- best practices for the management of all domes-
dent response. tic emergencies.
There is no need for a formal declaration or In 2012, the National Response Framework
federal coordination. The National Response was open for review and comment as a means of
Framework was written for emergency managers continuous improvement.
as well as for senior elected and appointed offi-
cials. The National Response Framework estab- National Response Framework Structure
lishes a response doctrine and frames planning as There are five main components to the National
an essential component of response. The National Response Framework. The core document is the
Response Framework comprises the core docu- central framework upon which all the annexes
ment, the Emergency Support Function (ESF) and guides are based. It describes roles and
Annexes, Support Annexes, Incident Annexes, responsibilities, response actions, and planning
and Partner Guides. considerations. The Emergency Support Function
Annexes group capabilities by function to facili-
History tate a more coordinated response. The Support
In 2003, U.S. President George W. Bush issued Annexes focus on response functions that may be
Homeland Security Presidential Directive 5: found in any emergency response regardless of
Management of Domestic Incidents (HSPD-5) to the nature of the hazard.
enhance the management of domestic incidents Incident Annexes focus on responses to spe-
through creation of a comprehensive national cific types of hazards. Partner Guides identify
incident management system. This newly estab- roles and responsibilities for different levels of
lished system covered all phases of emergency government and the private sector. Together,
management (mitigation, preparedness, response, these elements combine to provide an overarch-
and recovery) and all levels of government (fed- ing framework that delineates responsibilities,
eral, state, local, and tribal). The scope applied defines the mechanisms for working together,
to natural disasters, terrorist attacks, and other and links all levels of government as well as the
major emergencies. The goal was to establish a private sector.
656 National Response Framework

National Response Framework Components coordination, public affairs, tribal relations, vol-
The core document comprises five major chap- unteer and donations management, and worker
ters. Chapter 1 describes roles and responsibili- safety and health.
ties and addresses who is involved in emergency The incident annexes explore the unique ele-
management activities at the local, tribal, state, ments of response to seven broad categories of
and federal levels as well as in the private sector incidents: biological incident, catastrophic inci-
and nongovernmental organizations. Chapter 2 dent, cyber incident, food and agriculture incident,
describes response actions and covers what is mass evacuation incident, nuclear/radiological
done to manage incidents. Chapter 3 describes incident, and terrorism incident law enforcement
response organization and addresses how the and investigation.
nation is organized to respond to emergencies. The partner guides provide descriptions of
Chapter 4 addresses planning as a critical ele- key roles, responsibilities, and actions for local,
ment of effective response. The importance of tribal, state, federal, and private-sector response
planning is addressed and a summary of national partners.
planning elements is included. Chapter 5 dis-
cusses additional resources such as an outline Scope and Response Doctrine Key Principles
for the online National Response Framework The framework applies to all types of domestic
Resource Center managed by the Department of incidents, regardless of cause or jurisdiction. It
Homeland Security. allows for incident response to be scaled up or
The Emergency Support Function (ESF) down as needed.
Annexes are a way of grouping federal resources The response doctrine describes the opera-
and capabilities into functional areas that are tional concepts behind the framework. There
most frequently needed in a national response. are five key principles to the response doctrine:
The Emergency Support Function model is also engaged partnership; tiered response; scalable,
used at the state and local levels in some jurisdic- flexible, and adaptable operational capabilities;
tions. There are 15 Emergency Support Functions: unity of effort through unified command; and
readiness to act.
1. Transportation
2. Communications 1. Engaged partnership refers to
3. Public Works and Engineering collaboration of leaders at levels, whether
4. Firefighting public or private sector. The collaboration
5. Emergency Management includes development of the shared goals
6. Mass Care, Emergency Assistance, in response and alignment of capabilities.
Housing, and Human Services One aim of this type of collaboration is to
7. Logistics Management and Resource share the burden during response and to
Support prevent any one element from becoming
8. Public Health and Medical Services overwhelmed.
9. Search and Rescue 2. Tiered response describes the concept
10. Oil and Hazardous Materials Response that incidents are managed at the
11. Agriculture and Natural Resources lowest jurisdictional level possible. This
12. Energy allows for more efficient management.
13. Public Safety and Security Additional capabilities may be added
14. Long-Term Community Recovery as needed to support the response. All
15. ESF #15 External Affairs emergencies begin and end at the local
level, and most incidents are wholly
Support annexes describe response elements managed at the local level. Some
that are common to many incidents, regardless will require additional support from
of the nature of the emergency: critical infra- neighboring jurisdictions and/or the state.
structure and key resources, financial manage- A still smaller number will require federal
ment, international coordination, private-sector support. Tiered Response describes how
 Network for Good 657

response can be scaled both up and down Hundred Tenth Congress, First Session, September
as the needs of the incident require. 11, 2007. Washington, DC: U.S. Government
3. Scalable, flexible, and adaptable Printing Office, 2007.
operational capabilities refers to the U.S. Department of Homeland Security. “National
concept that plans and structures are Response Framework.” Washington, DC: FEMA
designed in a way to manage incidents Publications, 2008.
varying in scope, size, and complexity.
4. Unity of effort through unified command
refers to the Incident Command
System concept that integrates each
organization’s chain of command Network for Good
across jurisdictions in support of
common objectives. Incidents should Network for Good is a nonprofit organization
be manageable across jurisdictional formed in 2001 to provide a comprehensive Inter-
boundaries with interoperable net philanthropy portal. The portal aids nonprof-
functionality. its and others raising money over the Internet and
5. Readiness to act describes the concept processes gifts through its Internet presence, keep-
that preparedness and response is a ing a percentage as a processing fee. Resources and
collective responsibility across all levels guidance are offered to organizations seeking to
of government and across communities. improve their online presence and donor relations.
It is required under the principles of The Web site also provides a database for those
the Incident Command System, with looking for volunteer opportunities. The organi-
a focus on clear communication and zation seeks to help users take advantage of the
coordination. social networking wave sweeping our culture by
using these networks to raise money for charity.
Maintenance Network for Good was founded in 2001 by
The National Response Framework is reviewed AOL, Yahoo!, and Cisco Systems and has its head-
on a periodic basis, with updates made by a core quarters in Bethesda, Maryland. AOL’s helping
committee and revisions made available for pub- .org, a philanthropic portal, was the starter for the
lic review and comment. In 2012, the National Network for Good Web site. It has become the
Response Framework was opened for public most prominent online giving portal. Initially, 100
comment. percent of credit card online donations to charities
channeled by Network for Good went directly to
Kristin L. Stevens the charities. The portal itself paid the transaction
New York University Langone Medical Center costs. This has since changed, and a percentage
of donations is withheld by Network for Good.
See Also: All-Hazards; Department of Homeland Ease of online giving is one of the benefits cited by
Security (DHS); Emergency Support Functions; donors as a main reason for donating through an
Federal Emergency Management Agency (FEMA); entity like Network for Good.
Incident Response; National Incident Management Bill Strathmann is the CEO of Network for
System (NIMS). Good. He worked in mergers and acquisitions
prior to his work with Network for Good. He
Further Readings was also a consultant to corporations and non-
U.S. Congress. “Readiness in the Post-Katrina and profit organizations in the areas of strategy plan-
Post-9/11 World: An Examination of the New ning and business improvement.
National Response Framework.” Hearing before Network for Good provides a fund-raising ser-
the Subcommittee on Economic Development, vice titled DonateNow to nonprofits and others
Public Buildings, and Emergency Management wanting to raise charitable gifts. The organization
of the Committee on Transportation and sets up a donation page, processes the contribu-
Infrastructure, House of Representatives, One tions, and sends gift receipts to the contributors.
658 Network for Good

There is a one-time setup fee, a monthly fee, and opportunities for individuals looking to volunteer
3 percent of contributions is withheld for transac- their time. Reference material related to the non-
tion fees. When Network for Good is the portal profit world, especially as it relates to presence on
donors use to give to a charity, the gift is actually the Web, is also offered. The organization pro-
made to Network for Good’s donor-advised fund. vides the Good Card, a gift card that can be pur-
That fund then transfers to money to the desig- chased and given. The recipient can use the card
nated nonprofit. to give a charitable gift to one of many possible
Network for Good has enabled many small charities. The Network for Good also provides a
and medium-sized charities to enter the world of number of other premium services to nonprofits,
online giving though its training and Web giving including e-mail marketing, donor management,
support functions. It also helps enable social net- events management, and premium training.
works to be used to raise money for causes. Indi- In 2008 Network for Good acquired ePhilan-
viduals are empowered through these sites to raise thropy. ePhilanthropy was a nonprofit educa-
money for causes among their friends and social tional organization that promoted ethical prac-
networks. It provides individuals an opportunity tices among nonprofits. It also provided training
to host a charity badge on their Web sites, blogs, in a number of different formats to equip non-
or social networks. A charity badge is a tool an profits to be more efficient in their work. It has
individual can use to provide information on a worked to pass on best practices to nonprofits
charity, track giving, and provide an opportunity in the area of the Internet, nonprofits’ practices,
for those who see the badge to contribute. and online giving. Network for Good sought
Network for Good actively pursues partner- to increase its presence by offering training and
ships with corporations. It provides corporations resources to nonprofit organizations.
the technical support and giving coaching so that In 2011, $138 million was donated through
they can enable their employees to give to chari- the Network for Good platform from 1.6 mil-
ties supported by the business or by employees. lion donations. These funds were distributed to
In 2011, 15 percent of giving via the Network more than 40,000 charities. This organization has
for Good was through social networks. This kind earned an excellent reputation and is seen as a
of giving is up dramatically. In 2011, excluding trustworthy partner by many.
disaster relief donations, giving through Network Network for Good created the Digital Giving
for Good rose 17 percent over the previous year. Index as a means of conveying to interested par-
The Web site provides the opportunity to give to ties the trends observed in the field of nonprofit
any of the 1.8 million charities listed by Network support and online giving. The data came from
for Good. an examination of the giving it processed. Among
Network for Good has responded in special the reported trends was that giving through peer-
ways after a number of disasters. After the tsu- to-peer opportunities using social networks was
nami of December of 2004, it set up a Web page becoming a mainstream way of giving. The Index
devoted to that event with links to organizations is updated quarterly.
involved in the relief effort and with an opportu-
nity to donate online. It has created similar pages Ken B. Taylor
after many other disasters. In a study in which New Orleans Baptist Theological Seminary
Network for Good participated, it was deter-
mined that online giving was becoming the pre- See Also: Crisis Communications; Electronic Media;
ferred method of giving by donors seeking to give Nongovernmental Organizations; Social Media;
to disaster relief efforts. Volunteer Coordination.
The Web site provides a prospective donor
the resources to research and give to almost any Further Readings
charity. Network for Good stores an individual’s Damon, William and Susan Verducci. Taking
donation history for tax purposes. It also pro- Philanthropy Seriously: Beyond Noble Intentions
vides users a place to save lists of favorite chari- to Responsible Giving. Bloomington: Indiana
ties. The site provides a database of volunteer University Press, 2006.
 News Media 659

Hart, T., et al. People to People Fundraising: Social News Reporting in Disaster
Networking and Web 2.0 for Charities. Hoboken, News is a perishable commodity whose value
NJ: John Wiley & Sons, 2007. changes daily. It provides a frame of reference
Raschky, Paul A. and Hannelore Weck-Hannemann. through which events are judged, debated, and
Charity Hazard: A Real Hazard to Natural assimilated. Given the role of the media as both a
Disaster Insurance. Innsbruck, Austria: University creation of society and an influence upon it, news
of Innsbruck, 2007. both records and influences the prevailing social
reality. This is especially true in crisis situations,
but the severity of a disaster does not determine
its news value, which is a function of various fac-
tors, namely:
News Media
• Location: whether the place where the
Information is one of the most vital commodi- disaster occurs is of strategic importance to
ties in disaster. During emergencies, it will be in the readership or the country involved
short supply at the very moment when demand • Distance: whether the geographical area
is greatest. Television, radio, and newspapers will involved is well known or of central
be primary sources of information for survivors, importance to the audience of the news
the public, and, to a certain extent, the suppliers • Hazard agent: some causes of disaster are
of national and international aid. In turn, the aid more dreaded than others, and some are
agencies will also be influenced by the opinions more spectacular
and solidarity of the general public, which tend • Difficulty of covering the event: reports
to be sensitive to the quality of news received. on disasters in distant places may not be
Moreover, disaster managers cannot afford to extensive, detailed, or sustained; neither
ignore the media, as they may have a determin- will reports from places where there is overt
ing influence on the behavior and activities of the censorship
general public. But although the news media can • Perceived audience interest: the degree
motivate the public to contribute to relief appeals, of personal involvement or connection
they can to a certain extent turn disaster relief on between the audience and the event
and off like a tap by arbitrarily highlighting, mini- • Context: the context of what else is news at
mizing, or ignoring the plight of survivors. Media the time
culture reflects the dominant political and social
institutions that created it, and that it helped cre- In regard to audience interest, the earthquake
ate. This is a form of synergy that has both posi- and tsunami in the Indian Ocean basin on Decem-
tive and negative connotations. In a democracy, ber 26, 2004, elicited massive interest from the
the mass media can be induced to fulfill a public publics of European and North American coun-
service role in disaster, but they are not organs tries, perhaps because it involved a significant
of government, and it may be equally important number of Western tourists. Massive public-
that they play the role of independent evaluator, ity had a graphic content and a strong sense of
of government actions. immediacy, to which people felt they could relate.
The media and the manner in which journal- As a result, donations given to the tsunami relief
ists work have a role in major emergencies, both appeals were higher than ever before, reaching
negative and positive: the perpetuation of misas- almost $4.5 billion. At the same time, a severe
sumptions is balanced by the media’s public ser- crisis in Darfur led to a United Nations–sup-
vice role. There are emerging trends in the report- ported relief appeal that failed to reach the target
ing of emergencies, disasters, and crises that are donation figure of $30 million, not least because
largely driven by the momentous changes wrought media coverage was extremely slight. Concern-
by information technology, including Web-based ing the context of other events, researchers have
news services and the “citizen journalism” pro- shown that disaster news can be scaled down if it
moted by social media. is overshadowed by contemporary events of other
660 News Media

kinds. For example, in 1988 a storm caused 24

casualties and toppled 15 million trees in south-
ern England, but the news coverage was abated
by stock market turmoil and local elections that
occurred at the same time as the storm.
In general, the importance of a news story
is determined by several factors. Impact on the
nation and national interest is one; number of
people involved is another. The involvement of
high-ranking politicians, officials, or celebrities
can increase the news value of a story. So can any
significant connection between the event and a
country’s past history or future aspirations.
In a disaster, news media reporting rarely
reflects the objective balance of facts relating to
the event. There is usually a heavy emphasis on
human interest stories, which chronicle “how
ordinary people are coping” and in so doing
make the disaster comprehensible to readers, lis-
teners, or viewers. The news value of a disaster
is increased by adding role-reversal stories, expo-
sés, anecdotes, and tales of heroism, whether real A FEMA public information officer (center) is interviewed about
or invented. News value is also affected by the Hurricane Lee by WFMZ-TV, Allentown, Pennsylvania, October
“freshness” or “staleness” of the story, the need 7, 2011. The credibility of authorities who are responsible for
to avoid repetition, and the balance of subject, disaster relief can be impacted by reports in the media.
location, politics, pace, action, clarity, and aes-
thetics. As one might surmise, the news is manu-
factured as much as it is reported, as manifest in
the slant put upon facts and information and in of Biafra in 1967–70. This was the first event in
the selectivity with which they are reported. which starvation was chronicled in the field and
films of it were played to Western audiences on
Anatomy of the Media in Disaster evening television news bulletins a matter of hours
News after disaster comes from four main later. It was thus the first disaster to have a strong
sources: reporters sent into the field, journalists sense of immediacy—almost in “real time”—to
based at the nearest center of government, press the televised reporting.
agency syndicated news-feeds, and the communi- Subsequently, as the scope and power of televi-
ques (press releases) of official agencies. With the sion journalism increased, researchers identified
diffusion of social media, citizen journalism has four styles in the reporting on disasters:
become important. Television remains the prin-
cipal source of information for most people. It • Populist/sensationalist accounts that
has a greater sense of immediacy than the other “threaten viewers with the awful”
news media, except perhaps Internet-based ones, • Elitist/factual accounts that “render the
with which it has great potential for synergy. awful manageable”
Radio is capable of offering greater depth, but it • Ignorant/didactic accounts that “demystify
has a higher dependency on interviews. Newspa- the awesome”
pers and magazines can offer more information, • Pluralist/feature accounts that “blend
including more detailed graphics and statistics. sagacity with resignation”
One could argue that the first “modern disas-
ter” was the famine that occurred (through artifi- Furthermore, with the advent of 24-hour
cial causes of denial of food) in the Nigerian state news coverage, television news has developed a
 News Media 661

repetitiveness and an appetite for novelty that is television and radio broadcasts, must differ from
even more voracious than it was in previous times. the previous day’s offerings, the disaster may be
The “selling points” of television are its imme- dropped long before it ceases to be relevant. On
diacy and its ability to purvey graphic images the other hand, massive publicity may increase the
of disaster, but such is the lack of depth in most “convergence reaction” and bring large influxes
televised reporting that few people end up with a of people unnecessarily into the disaster area,
clear idea of the risks entailed by the events being including hordes of reporters and television crews.
reported—or the complexity of the causes that Transportation, accommodation, communica-
usually lie behind disasters and crises. tion, and information systems can be overloaded
by the demands of the media at a time when they
Negative Aspects of the News Media are needed for search and rescue. Finally, the cred-
The process of communication between the ibility of authorities who are responsible for disas-
media and the public is powerful but imprecise. ter relief can be affected by negative reports in the
It has both negative and positive sides. However, media, especially because journalists will exert
neither disaster management officials nor the gen- intense pressure on the authorities to supply infor-
eral public has much faith in the media’s ability mation at a time, shortly after the impact, when
to report news about disasters in a responsible, the situation may be far from clear.
sober, and accurate manner. One serious and persistent problem with jour-
Overall, media coverage of disasters tends to be nalism is the tendency to report misconceptions
unsystematic and unsustained. It may suffer from and rumors as if they were the truth. The news
lack of accountability, prejudice, sensationalism, media have consistently perpetuated the common
sloppiness, political partiality, ethnocentric bias, “myths” about disaster, including social break-
and the perpetuation of rumors and misassump- down, panic, flight, psychological dependency,
tions. Students of the media in disaster have noted competition among victims for resources, vio-
that news outlets seldom contribute much to the lence, and looting. The most persistent “myth”
understanding of risk levels, the causes of disaster, concerns panic, which in reality is a rare and very
or what can be done to reduce risks. Moreover, short-lived phenomenon, yet is routinely treated
there is a considerable duality between domestic in news reports as if it were prevalent. This is part
and foreign reporting. In the latter case, the visit of the news media’s tendency to perpetuate the
of the reporter to the area may be too brief to “Hollywood model” of disaster, in which societal
gain an accurate impression of what is going on, breakdown occurs, revealing the individualistic,
and he or she may have a weak understanding of selfish, competitive “inner savage” in people. The
the local language, culture, and geography. Bias reality is usually the opposite: the emergence of
is a particularly thorny problem in international a “therapeutic community” in which people act
news: in addition to any prejudices that they man- positively for collective benefit, a situation that
ifest, reporters may distort the reality of the situ- is apparently less attractive to journalists than
ation to the angle judged to be of most interest to the “disaster movie” interpretation. Finally, the
the public for whom the story is destined. media have a tendency to present disasters as sud-
Although attempts have frequently been made den, unpredictable, abnormal events. In reality,
to provide disaster education for journalists, they they are usually predictable enough to be rela-
tend to be generalists and have little interest in tively normal occurrences.
learning the details of what is involved in a disas- There is a basic division between responsible
ter. News is filtered by both the perception of and irresponsible news media, which, however,
people interviewed and that of the journalist him- is not always a net distinction. The former will
self or herself. Research shows that this seldom research a situation thoroughly and report as
extends far beyond the immediate post-impact objectively as possible, while the latter (often
phase, leaving the longer-term and pre-disaster known as the “tabloid press,” or its visual or
periods relatively unreported. audio equivalent) will invent many of the details
Because journalism dictates that every day the of the story and receive others from unchecked
front pages of newspapers, or the headlines of secondary sources. This distinction has existed
662 News Media

since time immemorial, but in the digital age it given that science is frequently beset by contro-
has been joined by a new, more sinister class of versy and not always able to furnish a cut-and-
media. Web sites that offer news with a political dried answer to the pressing problems caused by
slant are proliferating. They tend to use informa- disaster. Unfortunately, dissent and controversy
tion selectively in order to make political capital among scientists can have a very negative impact
out of disasters. This was particularly evident dur- on reporting. Alternatively, reporters may dis-
ing the aftermath of the Haiti earthquake of Janu- tort and overdramatize scientific information
ary 2010, where it made much political capital in order to make it more newsworthy. Finally,
out of praising or criticizing interventions by the reporters cannot always distinguish bona fide
United States and, in particular, President Barack scientists from credible charlatans, whose prin-
Obama. It did not represent objective, unbiased cipal aim is to gain publicity for themselves or
reporting. their ideas, especially as the two categories are
not always mutually exclusive.
Positive Aspects of the Media’s Role
The problems with inaccurate and biased report- Virtual Reality?
ing mean that many emergency responders are The magnitude 6.8 earthquake of November 23,
extremely wary of collaborating with reporters. 1980, in southern Italy devastated 36 mountain
However, there is a positive side to the media’s villages. In one of them, only the local coffee bar,
role in disaster aftermaths. Most journalists want a community asset, remained functional. It was
to get the story right. If treated fairly and without attached by improvised connections to water
favoritism by the authorities, most media repre- and electricity supplies. Around it was a scene of
sentatives will collaborate willingly and provide a destruction with buildings reduced to rubble. One
public information service of value to both emer- day shortly after the earthquake, a researcher
gency managers and the public. By careful, honest observed that the bar was full of local people who
management of the media, rumors can be stopped, had survived the disaster and whose attention
confusion avoided, the public educated, and the was fixed upon a television. Flickering across the
emergency workers left free to do their jobs prop- screen was a film of a devastated village, with a
erly. Thus, the media can be induced to convey coffee bar in which people were watching televi-
information on the seriousness, scope, duration, sion. The observer could be forgiven for wonder-
and effects of the disaster. They will document the ing what reality means in the television age. The
progress of rescue, relief, and recovery operations question is all the more pertinent in the age of
and help educate the public about disasters. The the Internet and social media, in which a story
media, which naturally tend to share resources (a tweet, video clip, digital photograph, or writ-
(such as film footage) in disasters, may help set ten report) can “go viral” and be seen or down-
up a pool of accredited journalists, providing this loaded by so many people that it becomes part of
is done impartially. Emergency managers need to the process of making news. One problem with
understand the needs of the media: radio needs the “unofficial” media beloved of the Internet
information quickly, television requires a star- age is that they can as easily propagate false or
tling visual impact and sense of immediacy, and unreliable news as they can disseminate reliable,
newspapers want access to deeper knowledge and verifiable information. This observation can eas-
more detailed graphics. ily be tested by using an Internet search engine
to look up sites that deal with the controversial
Science and the Media topic of earthquake prediction. Reliable, scientifi-
Given the need to explain extreme natural cally verified information can be obtained from
phenomena as well as a wide variety of conse- the U.S. Geological Survey’s sites, but these are
quences of disaster, the relationship between visually no more authoritative than the sites set
scientists and news reporters is particularly up by charlatans.
important. Scientific information is often diffi- Disaster has always carried an element of
cult to make intelligible to people who lack an spectacle, but this has been vastly amplified in
education in the sciences. This is especially true the modern world. Medieval soothsayers have
 Noncommunicable Diseases 663

been replaced by media-savvy “gurus.” In half a Sykes, Trent F. and Emmanuel A. Travis. Social Media
century, victimhood has been transformed from and Disasters: Uses, Options, Considerations.
a disgrace to a state in which victims are the pub- Hauppauge, NY: Nova Science Publishers, 2012.
lic purveyors of moral outrage and some may Sylvester, Judith. The Media and Hurricanes Katrina
become media personalities in their own right. and Rita: Lost and Found. New York: Palgrave
Through media coverage, disaster has acquired Macmillan, 2008.
a new symbolism and a changed set of values
compared to its image in the past. Whether they
are practical or symbolic, forms of participa-
tion are changing with the development of social
media and the ability to propagate information— Noncommunicable Diseases
regardless whether it is true of false. So rapid,
momentous, and immediate are these changes Diseases that are not transmitted from one person
that at present it is probably too early to predict to another are noninfectious diseases and by defi-
where they will lead. nition, noncommunicable diseases. Noncommu-
nicable diseases include both rapid/sudden onset
David Alexander (acute) as well as slow progressing and lengthy
Global Risk Forum, Davos duration (chronic) diseases. Globally, noncom-
municable diseases are the leading cause of mor-
See Also: Crisis Communications; Electronic Media; tality, accounting for 36 million out of 57 million
Information Asymmetry; Information Vacuums; Mass (63 percent) deaths annually. Annually, over three-
Media; Social Media. quarters (77 percent) of the developed world and
one-third (37 percent) of the developing world’s
Further Readings mortality are attributed to noncommunicable dis-
Alexander, David E. “News Reporting of the eases. In low-income and middle-income countries,
January 12, 2010, Haiti Earthquake: The Role of 80 percent of the deaths are attributed to noncom-
Common Misconceptions.” Journal of Emergency municable diseases annually. The United Nations
Management, v.8 (2010). estimates that by 2030, over 50 million people will
Arnold, Jeffrey L. “Disaster Myths and Hurricane die annually from noncommunicable diseases.
Katrina 2005: Can Public Officials and the There are many different types of noncom-
Media Learn to Provide Responsible Crisis municable diseases, which can be both acute and
Communication During Disasters?” Prehospital chronic. Examples of acute noncommunicable
and Disaster Medicine, v.21 (2006). diseases include appendicitis, cataracts, traumatic
Burkhardt, Ford N. Media, Emergency Warnings and injuries (e.g., automobile accident or gunshot
Citizen Response. Boulder, CO: Westview Press, wounds), overdose of drugs or alcohol, or poison-
1991. ing. Examples of chronic noncommunicable dis-
Goltz, James D. “Are the News Media Responsible eases include asthma, Alzheimer’s disease, diabe-
for the Disaster Myths? A Content Analysis of tes, fibromyalgia, heart disease (e.g., arrhythmias/
Emergency Response Imagery.” International rhythm irregularities, heart attack/failure, and val-
Journal of Mass Emergencies and Disasters. v.2 vular heart disease), hypertension, cirrhosis (from
(1984). alcoholism), hypertension, hypercholesterolemia,
Harrison, Shirley, ed. Disasters and the Media. glaucoma, osteoporosis, and various arthritis and
London: Macmillan, 1999. cancer conditions (i.e., breast, prostrate, lung,
Mitchell, J. Kenneth, Neal Devine, and Kathleen and colorectal cancer). Other noncommunicable
Jagger. “A Contextual Model of Natural Hazard.” disease examples include autoimmune diseases
Geographical Review, v.79 (1989). and mental health conditions. Even though there
Moeller, Susan D. “‘Regarding the Pain of Others:’ are many different types of noncommunicable
Media, Bias and the Coverage of International diseases, four noncommunicable diseases account
Disasters—The Globalization of Disaster.” Journal for approximately 80 percent (over 30 million)
of International Affairs, v.59 (2006). of yearly deaths. These four are cardiovascular
664 Noncommunicable Diseases

disease (17 million), cancer (7.6 million), respira- or eating too little food can result in malnutrition.
tory disease (4.2 million), and diabetes (1.3 mil- Further, having an unhealthy diet might result in
lion). Noncommunicable diseases affect men and the early onset of type 2 diabetes. Physical inac-
women almost equally. tivity can result in increased BMI or even obesity.
Tobacco use, such as smoking, has been linked
Causes and Risk Factors to developing cardiovascular disease (CVD) and
Determining the exact causes of noncommunica- chronic obstructive pulmonary disease (COPD).
ble diseases is difficult because there can be sev- Prolonged exposure to the sun can result in skin
eral different causes for the same disease. Con- cancer, and exposure to pollution can result in
tributing factors to noncommunicable diseases chronic respiratory diseases, asthma, or cancer.
include a number of factors, such as biological,
lifestyle (e.g., behavioral risk factors), and the Social Determinants of Health
social determinants of health factors. The social determinants of health are the social
environments in which one is born, develops, lives,
Biological works, and ages, all of which can contribute to or
The biological factors include such things as prevent noncommunicable diseases. Some social
genetic disorders (e.g., abnormalities, predispo- determinants that influence persons’ or groups’
sition, and inherited), early life origin (e.g., low overall health are a lack of health care, limited or
birth weight), excess body weight (high BMI), nonexistent health policies, and the social, politi-
hypertension, and diabetes (type 2). Noncommu- cal, and economic resources of the individual,
nicable diseases from genetic disorders are caused family, state/province, and nation. These social
by single-gene defects, genetic predisposition, and determinants of health are largely responsible for
congenital malformations. There are over 9,000 the unequal distribution of health resources and
possible single-gene disorders, resulting in con- a contributing factor in the differences in health
ditions like hemoglobin disorders, hemophilia, status of people within and between countries.
sickle-cell anemia, and cystic fibrosis. Genetic pre- Examples of the social determinants of health
disposition is based on a person’s having the pres- include one’s socioeconomic status, living and
ence of a gene; however, having the gene or genes working conditions, environmental factors, hous-
does not guarantee acquiring or being resistant ing, and urbanization and globalization.
to a noncommunicable disease. In addition, if the Each of these contributing factors (e.g., biolog-
disease is linked to behavioral or environmental ical, lifestyle, and social determinants of health
factors, it becomes more complex and referred to factors) can be the source of a noncommunicable
as a multi-causation disease. Congenital malfor- disease, and they can also work in combination
mations are genetic conditions that exist before with each other to produce a noncommunicable
birth. Annually, there are an estimated three mil- disease. Many noncommunicable diseases are
lion infants born with a major congenital malfor- referred to as multi-causation diseases, such as
mation, such as heart defects, spina bifida, cleft coronary heart disease, which can be the result
palate, and Down syndrome (e.g., chromosomal of biological (genetic, or inherited), behavioral
abnormality). (smoking, poor diet, and lack of exercise), and the
environment (stress factors), all of which signifi-
Behavioral Risk Factors or Lifestyle Factors cantly contribute to the disease. In other words,
Lifestyle risk factors are the repeated purposeful heart disease is a combination of all these fac-
activities of life that a person engages in that con- tors and thus viewed as multi-causation. Another
tribute to the development of noncommunicable example is diabetes, which is a multifactorial dis-
diseases. Common lifestyle factors such as poor order—the result of multiple gene mutations that
diet, physical inactivity, tobacco use, inappro- interact with lifestyle and environmental causes.
priate use of alcohol, and excessive exposure to
sunlight and pollution can cause a noncommu- Preventable Risk Factors
nicable disease. For example, a poor diet of no Prevention is based on reducing or eliminating the
fruits can lead to scurvy (e.g., lack of vitamin C), primary risk factors of noncommunicable diseases.
 Nongovernmental Organizations 665

There are a number of preventable risk factors poverty and the social determinants of health, 75
associated with noncommunicable diseases, which percent of diabetes (type 2), strokes, and heart
are modifiable and nonmodifiable. Modifiable disease–related deaths, as well as 40 percent of
determinants are factors that can be changed at the cancer deaths could be prevented. Without inter-
community level and include ensuring that people ventions, these noncommunicable disease will
have adequate food, access to education (formal continue to increase. For example, the prevalence
and health related), health care and medical ser- of diabetes is around 140 million worldwide, and
vices, employment, sanitation, and housing, and it is projected to grow to 300 million by 2025. By
limited exposure to environmental and occupa- 2020, tobacco–related mortalities are projected
tional hazards. At the individual level, the modifi- to grow to 7.5 million.
able determinants include knowledge about good
health practices, such as proper diet, maintaining Andrew Hund
an appropriate body weight, exercising, wearing Umea University
seat belts, not engaging in risky activities, wearing
sunscreen, refraining from tobacco use, and limit- See Also: Centers for Disease Control and Prevention
ing alcohol use. Nonmodifiable determinants are (CDC); Public Health Surveillance; World Health
those factors that are beyond the individual’s abil- Organization (WHO), UN.
ity to control, such as their age, sex, race/ethnicity,
genetic tendencies, or heredity. Further Readings
Surveillance for early detection of noncom- Centers for Disease Control and Prevention. “Global
municable diseases is important in reducing Health—Noncommunicable Diseases.” http://www
the risk. Providing communities with access .cdc.gov/globalhealth/ncd (Accessed July 2012).
and equipment for regular screenings for high World Health Organization. “Noncommunicable
blood pressure, high cholesterol, diabetes, and Diseases Fact Sheet.” (September 2011). http://
other chronic diseases is critical in preventing www.who.int/mediacentre/factsheets/fs355/en/in
and reducing risk of developing a noncommu- dex.html (Accessed July 2012)
nicable disease. Individuals should be encour-
aged to engage in self-examinations (e.g., for
skin, breast, and testicular cancer), have regular
dental checkups, and have health and medical
screenings (i.e., yearly Pap smear, prostate-spe- Nongovernmental
cific antigen [PSA], mammogram, diabetes, heart
and respiratory diseases, glaucoma, and hyper- Organizations
tension). Any diagnosis of a noncommunicable
disease should be promptly treated. Nongovernmental organizations (NGOs) play
Noncommunicable diseases can be preventable an active role in all four phases of disaster and
and controllable, if interventions target the five emergency management: mitigation, prepared-
main modifiable risk factors of elevated blood ness, response, and recovery. The members of the
pressure, elevated cholesterol, tobacco use, harm- National Voluntary Organizations Active in Disas-
ful use of alcohol, and being overweight. Annu- ter (NVOAD) are the most influential voluntary
ally, over 21 million people die as a result of these organizations related to crisis in the United States.
five conditions. Specifically, 7.5 million die from During crisis and emergency response, mass care
elevated blood pressure, 2.6 million from elevated is the most common service provided by nongov-
cholesterol, 6 million from tobacco use, 2.5 mil- ernmental organizations, but the NGOs are not
lion from alcohol, and 2.8 million from being sufficient; they have their own limitations.
overweight. Basic interventions are smoking ces- Nongovernmental organizations—also known
sation, improved diet, increased physical activity, as volunteer agencies, nonprofit organizations, or
and discontinuing the harmful use of alcohol. The the third sector—play an important role in provid-
World Health Organization (WHO) estimates that ing social services to the public. In this article, all
by eliminating the five risk factors and addressing these terms will be used interchangeably, though
666 Nongovernmental Organizations

Table 1 National voluntary organizations active in disasters

Name Mission/main works related to disasters

ACTS World Relief ACTS World Relief “unites, equips and deploys human resources and rapid emergency response
assets in emergency and community service, and in doing so, demonstrates the compassion of God,
regardless of race or religion.”
Adventist Community ACS serves communities “in Christ’s name” within the United States, providing humanitarian relief
Services (ACS) and individual and community development ministry.
All Hands Volunteers, AHV is a U.S.-based nonprofit organization that provides hands-on assistance to natural disaster
Inc. (AHV) survivors and response services to communities in need.
Alliance of Information AIRS is a professional association, primarily in the United States and Canada, helping to bring
and Referral Systems people and services together.
(AIRS)
American Red Cross The AMR has been the United States’ premier emergency response organization since its founding in
(AMR) 1881. It offers neutral humanitarian care to the victims of war and natural disasters with the aim of
preventing and relieving suffering. In addition, the AMR also offers compassionate services in five other
areas: community services that help the needy; support and comfort for military members and their
families; collection, processing, and distribution of lifesaving blood and blood products; educational
programs that promote health and safety; and international relief and development programs.
American Radio Relay The ARRL is an organization to promote and advance the art, science, and enjoyment of amateur
League, Inc. (ARRL) radio. It is the primary source of information about what is going on in the ham radio world.
Billy Graham Rapid The BGRT is “a ministry of crisis-trained volunteer chaplains who deploy in the aftermath of a
Response Team (BGRT) disaster to respond to the emotional and spiritual needs of people in crisis.”
Brethren Disaster The BDM restores hope for the most vulnerable disaster victims by engaging volunteers to repair
Ministries (BDM) and rebuild disaster-damaged homes, and by providing grants to support the disaster recovery
efforts of faith-based partners. Its Children’s Disaster Service program meets the needs of children by
setting up child care centers.
Buddhist Tzu Chi The Tzu Chi Foundation’s mission is to educate the rich to help the poor and inspire the poor to
Foundation realize their riches. It also extends activities into medicine, education, and humanistic culture areas.
Catholic Charities USA The mission of Catholic Charities is to “provide service to people in need, to advocate for justice in
social structures, and to call the entire church and other people of good will to do the same.”
Christian Reformed The CRWRC responds to the needs of people who suffer from poverty, hunger, disaster, and injustice.
World Relief
Committee (CRWRC)
Churches of The COSDR is an embracive program of the Church of Scientology to provide community service,
Scientology Disaster disaster relief, and emergency response.
Response (COSDR)
Church World Service The CWS aims to build interfaith and intercultural coalitions to eradicate hunger and poverty, and
(CWS) to promote peace and justice by supporting sustainable grassroots development, disaster relief, and
refugee assistance.
City Team Ministries CTM is an organization serving the poor and homeless in cities by providing “life-saving food,
(CTM) shelter, clothing, recovery programs, youth outreach, camp for at-risk inner-city kids, discipleship and
other essential care 365 days a year,”
Convoy of Hope Convoy of Hope is a faith-based organization providing children’s feeding initiatives, community
outreaches, disaster response, and partner resourcing worldwide.
Cooperative Baptist The CBF is a faith-based organization that provides service and assistance in the areas of poverty
Fellowship (CBF) and transformation, disaster response, international outreach, church starts and faith sharing, justice
and peace making, health care, economic development, and education.
Episcopal Relief and ERAD focuses on alleviating hunger and improving food supply, creating economic opportunities and
Development (ERAD) strengthening communities, promoting health and fighting disease, and responding to disasters and
rebuilding communities.
 Nongovernmental Organizations 667

Name Mission/main works related to disasters

Feeding America The mission of Feeding America is to feed America’s hungry through a nationwide network of
member food banks and engage the country in the fight to end hunger.
Feed the Children Feed the Children provides hope and resources for those without life’s essentials.
Habitat for Humanity Habitat helps build and repair simple, decent, affordable houses with people who lack adequate
International shelter worldwide.
HandsOn Network HON helps individuals, companies, and HandsOn volunteers solve pressing problems through
(HON) volunteering: “It inspires, equips, and mobilizes people to take action that changes the world.”
Hope Coalition HCA improves the economic quality of life for individuals, families, and communities through
America (Operation economic education and empowerment. The ultimate mission is to eradicate poverty by focusing on
Hope) (HCA) the 21st century’s next civil rights movement.
HOPE Worldwide, Ltd HOPE Worldwide is an international charity that “changes lives by harnessing the compassion and
commitment of dedicated staff and volunteers to deliver sustainable, high-impact, community-based
services to the poor and needy.”
Humane Society of the The Humane Society celebrates animals and confronts cruelty both nationally and globally.
United States
International Critical The mission of the ICISF is to “provide leadership, education, training, consultation, and support
Incident Stress services in comprehensive crisis intervention and disaster behavioral health services to the
Foundation (ICISF) emergency response professions, other organizations, and communities worldwide.”
International Relief The IRD is a nonprofit organization responsible for implementing relief, stabilization, and
and Development (IRD) development programs worldwide. Its mission is to reduce the suffering of the world’s most
vulnerable groups and provide the tools and resources needed to increase their self-sufficiency.
Jewish Federations of Jewish Federations focuses on the social welfare, social services, and educational needs, especially
North America for Jews worldwide
Latter-day Saint LDS Charities helps people of all nationalities and religions by relieving suffering, helping people
Charities help themselves, and providing opportunities for service through emergency response and local
development programs.
Lutheran Disaster LDR brings together the energy and efforts of Lutherans from around the United States to respond
Response (LDR) to natural and human-caused disaster.
Mennonite Disaster The MDS is a volunteer network that responds in Christian love to people affected by disasters in
Service (MDS) Canada and the United States. The main focus is on cleanup, repair, and rebuilding homes.
Mercy Medical Airlift The MMA provides charitable transportation services to those in need of medical air transportation.
(MMA)
National Association The NAJC is the professional organization of Jewish chaplains worldwide.
of Jewish Chaplains
(NAJC)
National Baptist The mission of the Convention is to “fulfill the Great Commission of Jesus Christ through preaching,
Convention USA teaching, and healing.”
National Organization NOVA’s mission is “to champion dignity and compassion for victims of crime and crisis.”
for Victim Assistance
(NOVA)
Nazarene Disaster NDR is “Nazarenes mobilizing for disaster through Readiness, Response, and Recovery.”
Response (NDR)
NECHAMA: Jewish NECHAMA is the Jewish community’s disaster response organization that offers help to all people,
Response to Disaster especially the vulnerable, regardless of religious affiliation.
Noah’s Wish Noah’s Wish is an animal welfare organization dedicated to rescuing and sheltering animals in
disasters throughout the United States.

(Continued)
668 Nongovernmental Organizations

(Continued)
Name Mission/main works related to disasters
Operation Blessing OBI is a humanitarian organization dedicated to demonstrating God’s love by alleviating human
International Relief need and suffering in the United States and around the world through core programs of disaster
and Development relief, medical aid, hunger relief, orphan care, water wells, and community development.
Corporation (OBI)
Presbyterian Church in MNA Disaster Response provides support to PCA churches in disaster-affected communities through
America (PCA) Mission human resource (professional and voluntary) mobilization, funds and donation distribution, and
North America (MNA) spiritual encouragement services.
Presbyterian Disaster The PDA focuses on long-term recovery of disaster-impacted communities, providing training and
Assistance (PDA) disaster preparedness for presbyteries and synods.
Samaritan’s Purse (SP) The SP provides spiritual and physical aid to people hurting around the world. The emergency relief
program offers food, water, temporary shelter, and other critical needs to victims of natural disaster,
war, disease, and famine.
Save the Children Save the Children is “an independent organization creating lasting change in the lives of children
in need in the United States and around the world.” It provides food, medical care, education, and
long-term recovery programs for communities rebuilding after disasters.
Society of St. Vincent St. Vincent de Paul offers person-to-person service to individuals in need. Also, it plays a role of
de Paul advocacy for those who are defenseless or voiceless.
Southern Baptist The Southern Baptist Convention provides disaster relief both domestically and internationally.
Convention/North
American Mission
Board
Salvation Army The Salvation Army is a faith-based organization to meet human needs “in God’s name” without
discrimination.
United Church of Christ The UCC provides spiritual, physical, financial, and psychological assistance to people and
(UCC) communities impacted by disasters.
United Methodist The UMCOR is a global humanitarian aid organization aimed at alleviating human suffering with
Committee on Relief open hearts and minds toward all people.
(UMCOR)
United Way Worldwide United Way improves lives by mobilizing the caring power of communities around the world to
advance the common good.

they have slight differences according to the var- Voluntary Organizations Active in Disaster
ied definitions. Volunteer agencies have been (NVOAD). In the summer of 1970, representa-
important disaster relief resources for a long time. tives from seven voluntary agencies—the Ameri-
For example, the American Red Cross has been can Red Cross, Christian Reformed World Relief
the United States’ premier emergency response Committee, Mennonite Disaster Service, National
organization since it was founded in 1881. It is Catholic Disaster Relief Committee, Seventh-day
also designated to provide mass care services for Adventists, Society of St. Vincent De Paul, and
disaster survivors by the U.S. Congress. Today, the Southern Baptist Disaster Relief—came together
American Red Cross responds to about 70,000 in Washington, D.C., to form NVOAD in response
disasters each year, from large-scale catastrophes to the challenges many disaster organizations
to small disasters like house fires. experienced following Hurricane Camille in 1969.
There are two types of members in NVOAD:
National Voluntary Organizations in Disaster national members and state/territory VOADs.
The most influential volunteer organizations in The current 48 national members and their mis-
the United States are the members of the National sions/works related to disasters are listed in Table
 Nongovernmental Organizations 669

Table 2 Services provided by the American Red Cross after Hurricane Katrina in 2005
Services Detailed information
Response
Sheltering Opened more than 1,400 shelters in 31 states and the District of Columbia and sheltered nearly
450,000 evacuees.
Food/feeding More than 90 kitchens served more than 68 million hot meals and snacks to evacuees and responders.
Health and emotional Deployed nearly 4,600 licensed health and mental health professionals, more than any relief operation
care in recent history.
Relief supplies Delivered more than 2,500 truckloads of food items, as well as ice, coolers, sunscreen, insect repellent,
garbage bags, hand sanitizer and other need supplies directly into the hands of survivors. Also, more
than half a million Red Cross comfort kits with hygiene supplies and cleanup kits with cleaning
supplies were distributed.
Reconnecting Launched the Family Links Registry, which was available online or by phone, to reconnect families
loved ones to respond people’s needs to find their loved ones. Internet and phone services were set up in many
Red Cross shelters. More than 340,000 people registered online, and the hotline received more than
350,000 calls. The Red Cross became a trusted source of information.
Financial assistance Provided emergency financial assistance to survivors to purchase life’s essentials. Also, a toll-free
financial assistance hotline was created for families to meet urgent needs. In total, more than 1.4
million families—nearly 4 million people—received vital emergency assistance from the Red Cross.
Long-term recovery
Planning More than 13,000 families received long-term recovery planning and advocacy services from trained
Red Cross case managers.
Mental health Provided mental health and substance abuse treatment to more than 22,500 people.
Financial assistance More than 8,200 families received recovery financial assistance.
Funding other The Red Cross funded more than 200 other organizations in more than 30 states through the
nongovernmental Hurricane Recovery Program. More than 165,000 adults and youth received capacity building services
organizations through 16 behavioral health programs awarded by the Red Cross, and more than 150,000 people
were involved in community resilience building.

1. National VOAD also includes state VOAD of these organizations. The most common services
members from all 50 states and territory members from volunteer agencies are mass care and emer-
from five U.S. territories. gency assistance soon after disasters. For example,
However, it should be noted that the NVOAD they help establish temporary shelters or homes;
itself is not an organization and does not deliver distribute food, water, and clothing to disaster vic-
disaster response and recovery services. It is only tims; and provide first aid and health care if nec-
a forum for organizations, fostering communica- essary. Mental health services and spiritual relief
tion, coordination, collaboration, and cooperation are other common services provided by NGOs.
among nonprofit organizations active in disasters Some organizations can perform damage assess-
in order to better serve people impacted by disas- ment, identification, debris removal, communi-
ters. Like the National VOAD members listed cation, transportation, relocation, or other more
above, most volunteer agencies related to disas- professional services after crisis. Besides emer-
ters are faith-based organizations. They provide gency response, volunteer organizations also help
services before, during, and after disasters, espe- vulnerable people in communities through finan-
cially services targeted toward vulnerable or dis- cial assistance, skills education, and other aid, for
advantaged populations like the elderly, children, better disaster recovery, mitigation, or prepared-
and the disabled. The idea of empowering people ness. How to empower people through commu-
and local participation are main themes for most nity outreach, training, education, advocacy, and
670 Nongovernmental Organizations

participation is the general work of NGOs during and efficiency in emergency response. For exam-
noncrisis times. Some organizations also provide ple, in the case of Hurricane Katrina, many
special services to people with special needs like NGOs from other parts of the United States could
translation, special dietary needs, and pet care that not access the local communities affected by the
might be difficult to meet. hurricane, and services could not be delivered to
needy survivors. Also, the donors’ preferences
The American Red Cross in Hurricane Katrina would affect the equitable distribution of services,
The American Red Cross is a nonprofit, charitable, as well as the needs in all phases of the disaster
congressionally chartered organization. One of its cycle. As shown in the table of National Volun-
main responsibilities is to “maintain a system of tary Organizations Active in Disaster, many of
domestic and international disaster relief, includ- these organizations are faith based, and many of
ing mandated responsibilities under the National them have religious preferences or special targets.
Response Plan coordinated by the Federal Emer- During the initial period of Hurricane Katrina,
gency Management Agency (FEMA).” Before some black activists contended that the Red Cross
Hurricane Katrina, the American Red Cross was provided better services in mostly white areas
the “primary agency for mass care” during disas- than in black areas. Meanwhile, compared with
ters in the United States; now it plays a support mitigation and long-term recovery, donors tended
role to facilitate FEMA’s mass care function under to be more interested in immediate disaster relief.
the Emergency Support Function 6—Mass Care,
Emergency Assistance, Housing and Human Ser- Ziqiang Han
vices Annex. The response to Hurricanes Katrina, University of Delaware
Rita, and Wilma in 2005 is the American Red Qiujie Zhang
Cross’s largest response to a single, natural disas- Beijing Academy of Science and Technology
ter in its history. About 250,000 Red Cross work-
ers, 95 percent of whom were volunteers from See Also: Collaboration; Coordination; Coping
all U.S. states and territories, responded to help Capacity and Response Capability; Disaster
and provided services to more than four million Recovery; Doctors Without Borders; Emergency
people in nine states. Support Functions; Federal Emergency Management
The Red Cross not only served millions of Agency (FEMA); Mass Care; Red Cross and Red
Americans during the emergency situation after Crescent; Salvation Army; Volunteer Coordination;
Hurricane Katrina but also provided services to World Health Organization (WHO), UN; World
victims and affected communities for long-term Water Relief.
recovery. During the response phase, the Red
Cross provided sheltering, feeding, health and Further Readings
emotional care, financial assistance, information American Red Cross. “Bringing Help, Bringing Hope:
services, and other essential services to millions The American Red Cross Response to Hurricanes
of people. During the long-term recovery period, Katrina, Rita and Wilma.” (2010). http://www.red
many individuals, families, communities, and cross.org/www-files/Documents/pdf/corppubs/Kat
small NGOs received assistance and help from rina5Year.pdf (Accessed March 2012).
the American Red Cross. The details of services American Red Cross. “A Year of Healing: The
provided by the American Red Cross after Hur- American Red Cross Response to Hurricanes
ricanes Katrina, Rita, and Wilma in 2005 are Katrina, Rita and Wilma.” (2006). http://www.red
shown in Table 2. cross.org/images/pdfs/Katrina_OneYearReport.pdf
(Accessed March 2012).
Limitations of NGOs in Disaster Management Fagnoni, C. M. “Mass Care in Disasters: FEMA
NGOs are agile and less bureaucratic than govern- Should Update the Red Cross Role in Catastrophic
ment agencies, but their limitations in resources, Events and More Fully Assess Voluntary
accountability, and coordination can make it hard Organizations’ Mass Care Capabilities.”
for them to fulfill the response needs in catastro- Testimony. Washington, DC: U.S. Government
phes, and sometimes undermine their effectiveness Accountability Office, 2009.
 Nonlinearity 671

Fagnoni, C. M. “National Disaster Response: FEMA against narrow and unreflective actions to miti-
Should Take Action to Improve Capacity and gate a crisis that do not account for the complex-
Coordination Between Government and Voluntary ity of relationships within a system coupled with
Sectors.” Washington, DC: U.S. Government a rapidly changing environment.
Accountability Office, 2008.
Fagnoni, C. M. “Voluntary Organizations: FEMA Chaos Theory
Should More Fully Assess Organizations’ Mass Chaos theory is often referred to as the “new sci-
Care Capabilities and Update the Red Cross Role ence,” and one of the reasons for this description
in Catastrophic Events.” Washington, DC: U.S. stems from a departure from a traditional scien-
Government Accountability Office, 2009. tific worldview of linear systems. The worldview
Federal Emergency Management Agency. “FEMA of linear systems is based on laws such as those
Independent Study: IS-288 The Role of Voluntary created by Sir Isaac Newton and used to identify
Agencies in Emergency Management.” http://train or attempt to identify cause-and-effect relation-
ing.fema.gov/EMIWeb/is/is288.asp (Accessed ships that enable scientists to predict the direct
December 2011). dependence of one variable on another. Although
Goldman, K. K. Nonprofits and Disaster: The the foundations of most disciplines are grounded
Experience of New York State on September 11, in this notion of linearity, this narrow conception
2001. Washington, DC: Urban Institute, 2006. of systems has had limited success in predicting
Kapucu, N. “Non-Profit Response to Catastrophic outcomes beyond the very short term. Scholars in
Disasters.” Disaster Prevention and Management, a variety of disciplines, in both natural and social
v.16/4 (2007). sciences, have been forced to reinvent their world-
Moore, M. H. Disasters and the Voluntary Sector: views to account for the increasing complexity of
Reflections on the Social Response to Hurricane their observations.
Katrina. Washington, DC: The Urban Institute, To account for more complexity, chaos theory
2006. embraces a “neo-Newtonion” manner of con-
Simo, G. and A. L. Bies. “The Role of Nonprofits in ceptualizing how systems work. In this modified
Disaster Response: An Expanded Model of Cross- systems approach, systems are seen as nonlinear,
Sector Collaboration.” Public Administration dynamic, or chaotic (nonlinear will be used for
Review, v.67 (2007). the duration of this article) instead of linear. A
Waugh, W. L., Jr., and G. Streib. “Collaboration and nonlinear system is fundamentally different from
Leadership for Effective Emergency Management.” a linear system because nonlinear systems are
Public Administration Review, v.66/1 (2006). not governed by proportional cause-and-effect
relationships.
Within a traditional linear system perspective,
Newton’s third law explains that every action has
an equal and opposite reaction. Thus, an event
Nonlinearity such as a crisis situation should, from a Newto-
nian perspective, create a proportional reaction
Nonlinearity is a central idea of chaos theory within the system and unfold in a predictable
and distinguishes how chaos theory conceptu- manner from a known set of initial conditions.
alizes systems differently from other scientific However, chaos theory scholars present much
paradigms. Nonlinearity is used by a multitude evidence to suggest that this relationship is not
of scholars in various disciplines to explain vast accurate for many, if not all, systems.
and often disproportional changes in a system For example, when chaos theory is applied
through complex and often unknown interactions to a recognized nonlinear system such as the
within a system. These complex system interac- weather, very small changes to the initial condi-
tions have the potential to create nonlinear effects tions of a weather system dramatically impact
with unpredictable and seemingly random ramifi- the way that system evolves. These very small
cations to the entire system. The concept of non- changes in the initial conditions of a weather
linearity warns crisis management professionals system may actually create an exponential—not
672 Nonlinearity

A homemade sign updates residents of a neighborhood in Slidell, Louisiana, on September 12, 2005, that their drinking water supply,
once contaminated from the effects of Hurricane Katrina, is now safe to drink. Numerous utilities in many Louisiana communities were
severely damaged by the storm, illustrating how many social systems can be affected by the evolution of a natural system. On a sub level,
drinking water was contaminated by the failure of a human-built potable water system. On a supra-level, the economy was affected.

proportional—reaction in the system, so that a system will be affected past the very short term.
even after a short period of time it is difficult to Thus, we are able to see how weather reports can
identify that two systems began with very similar change dramatically on a daily or in some cases
sets of initial conditions. even hourly basis.
Nonlinearity accounts for the vast differences Additionally, both natural and social systems
in the outcomes of these nearly identical weather tend to evolve in a hierarchical manner. Thus, a
systems by explaining that the small differences system can be simultaneously part of a subsystem
in the initial conditions result in some parts of and a suprasystem, which illustrates the need for
the system amplifying certain conditions expo- a complex relational perspective in understand-
nentially rather than proportionally because of ing how a system can be influenced by seemingly
complex relationships between the parts of the unrelated or random events in the environment.
system. The changes may appear unrelated to the For example, when Hurricane Katrina struck the
initial stimuli, but because of the system’s com- Gulf Coast in 2005, many systems were affected
plexity, the stimuli found within the initial condi- by the evolution of this natural system. On a sub-
tions initiated a chain reaction that led to a large level, the drinking water of many species was
shift in the system’s outcome. contaminated by the failure of a human-made
These complex relationships may be partially levy system. On a supra-level, the economy of the
understood by traditional scientific inquiry; how- United States was affected, which in turn affected
ever, because of the interdependence between all the economy of the entire world. These condi-
parts of the system, traditional scientific meth- tions are among the many that affected the local
ods have often failed to capture reliable, direct and national responses to the crisis. If emergency
causal relationships that are able to predict how managers create artificial system boundaries in
 Normal Accident Theory 673

an effort to reduce the complexity of the situa-

tion, there is a potential for blind spots to emerge
Normal Accident Theory
in the response. Overlooked interactions between Normal accident theory (NAT) focuses on orga-
natural and social systems may profoundly nizational structure and suggests that crisis trig-
affect the system and the attempts to mitigate an gers are inevitable or “normal” in complex, tight-
emergency. coupled technological systems. Such systems yield
unexpected multiple interactions between inde-
Conclusion pendent failures, while the combination of com-
Nonlinearity is a useful concept for all stages of plexity and tight coupling makes system accidents
crisis management. In preparing for a crisis, non- inevitable. This theory defines such accidents as
linearity showcases the need for practitioners to “normal accidents” or “systems accidents.” NAT
look at the complexity and potential interactions was proposed and developed in the early 1980s
of multiple systems to create a more robust cri- by Charles Perrow, a sociology professor study-
sis management plan. Additionally, nonlinearity ing the impact of large organizations on society.
can be applied to leadership and decision mak- Perrow attempted to translate the analysis of the
ing during a crisis. organizational aspects of the Three Mile Island
Nonlinearity illustrates the need for practi- nuclear accident into a general formulation,
tioners to be mindful of small changes that may which originated NAT. Other industries, activi-
disproportionately affect the situation they are ties, and organizations that have been examined
facing and make reflective decisions to mitigate through the NAT framework include the airline
a crisis while constantly reevaluating the deci- industry, mining, dams, weapons programs, oce-
sions as new variables begin to interact within the anic industries, and the space program.
situation. Finally, during the recovery from a cri-
sis, nonlinearity is useful for embracing systemic Normal or Systems Accident
learning from the crisis and how an event creates “Normal accident” or “systems accident” refers
large and lasting changes to the system. to any unintended and untoward event that dis-
rupts the ongoing or future outputs of systems.
JJ McIntyre According to NAT, a system is divided into four
University of Central Arkansas levels: the first level is based on the individual
part (e.g., a value); the second level is functionally
See Also: Cascading Crisis; Chaos Theory; made up of the related collections of individual
Cosmology Episode; Interdependence; Normal parts; the third level is subsystem consisted with
Accident Theory. the arrays of units; and the fourth level is com-
bined with subsystems, which makes a system. In
Further Readings addition, the environment lies beyond the system.
Gleick, J. Chaos: Making a New Science. New York: In this scheme, any failure at the first two levels
Viking, 1987. is defined as an incident rather than an accident,
Murphy, P. “Chaos Theory as a Model for Managing where the engineered safety features (ESFs) incor-
Issues and Crises.” Public Relations Review, v.22/2 porated in systems, such as redundant components
(May 1996). or emergency shutoffs, would prevent incidents
Perrow, C. Normal Accidents: Living With High-Risk from transitioning into accidents. The disrup-
Technologies. Princeton, NJ: Princeton University tions are only qualified as accidents at the third
Press, 1999. or fourth level, when the failures of lower-level
Sellnow, T. L., M. W. Seeger, and R. R. Ulmer. components defeat ESFs, escalate to higher levels,
“Chaos Theory, Informational Needs, and Natural and culminate in a component failure accident.
Disasters.” Journal of Applied Communication, Therefore, better-designed ESFs (e.g., preventive
v.39/4 (November 2002). maintenance, operator training, etc.) could avoid
Wheatley, M. J. Leadership and the New Science: component failures in an organization.
Discovering Order in a Chaotic World. 2nd ed. Rather than the component failure accidents,
San Francisco, CA: Berrett-Koehler, 1999. the operator errors, and all the other anthropic
674 Normal Accident Theory

Case Study: The Ford Pinto

The case of the Ford Pinto can be seen as a However, given the cost limits imposed on creation
component failure accident. This type of accident of the model, this option was not adopted. Other
involves one or more component failures that reasons changes were not made included a cultural
are linked in an anticipated sequence, meaning belief that small cars were useful and that safety
that although the accident is normal, it had does not sell. Also, a cost-benefit analysis using
the possibility of being foreseen and corrected. figures from the National Highway Traffic Safety
In 1970, the Ford motor company of Detroit, Association concluded that it was a better business
Michigan, introduced a compact car model named decision to ignore the design issues and compensate
the Pinto (with a Mercury variant, the Bobcat, any victims that came forward claiming injuries or
being introduced later). The Pinto was designed deaths caused by design features.
to compete with the increasing threat from foreign The demands of the 2,000-pound maximum
manufacturers who were producing automobiles weight and $2,000 cost represent a tightly coupled
that were smaller, were cheaper, and achieved system with a more time-dependent process.
better gas mileage. At the time the Ford Pinto was Another characteristic of tightly coupled systems
introduced, the industry average from the time of is that the sequence of steps in a process exhibits
concept to production was 43 months. The Ford little or no variation. Thus, tooling of production
Pinto was rolling off the assembly line after only plants was under way while safety tests were being
25 months. This was a company decision made conducted. Changes in production at this time may
to react to market pressures and competition. have required changes in other parts of the system,
Moreover, the car was to be produced with stringent and this was viewed as a threat to the production
production limits that included a maximum weight timeline. Similarly, tightly coupled systems have
of 2,000 pounds and a maximum cost of $2,000. little slack. Every part of the process has to be
Midway through pre-production, safety tests completed and operating just right or it doesn’t
revealed that the Pinto’s fuel tank could be work at all.
compromised when a low-speed rear-end collision Another component in normal accident theory
occurred. Testing indicated that the fuel tank failures is rational decision making. Absolute rationality is
were the result of marginal design features. Studs a type of decision making often used by engineers
from the rear axle house could puncture holes in the and economists, but it can cause problems in
fuel tank, causing spilled gasoline to be ignited by other types of systems. Absolute rationality can be
subsequent sparks. Several avenues existed for fixing seen in the cost-benefit analysis used by Ford as a
the flaws in the Pinto. One of the remedies to resolve decision to move forward on production in spite of
the issue would have only cost $11 to implement. the design features.

factors where there is no significant unexpected and virtually circular systems theory of the 1960-
interaction of failures, the system accidents own to-1980 period.
to multiple failures, which interact with each
other in ways that could be neither anticipated Quadrant Matrix of Systems
nor comprehended in some complex systems. Two systemic dimensions are integral to NAT’s
NAT justifies the discussions of power by refer- main thesis: the natural of interactions within a
ring to the system perspective. This theory takes system and the degree of coupling among its sub-
into account the wider context of a failure that systems. These two dimensions generate a two-by-
ranges from mental models of individual opera- two matrix, where NAT populates all the quad-
tors to group, organizational, and industry struc- rants of the matrix with various types of systems:
tures, a recognition based on the grand inclusive complex-tight systems (e.g., a nuclear plant),
 Normal Accident Theory 675

complex-loose systems (e.g., multigoal agencies were traced back to S. D. Sagan, who wrote a
and universities), linear-tight systems (e.g., dams), book in 1993 titled The Limits of Safety. In this
and linear-loose systems (e.g., a post office). NAT book, Sagan applied both NAT and HRT to anal-
states that systems are the interactions of these ysis of accidents and near-misses in the nuclear
dimension factors and focuses on tightly coupled weapons systems in the United States during the
and complexly interactive systems. Cold War. Sagan supported NAT’s perspectives,
Complex interactions and tight coupling make which invited criticism from the scholar of HRT,
a system susceptible to normal accidents. Com- Todd R. La Porte, in 1994.
plex interactions are either invisible or untimely NAT holds that because of system character-
comprehensible, occurring in unfamiliar sequences istics, accidents in complex and tightly coupled
or unplanned and unexpected sequences, which systems are inevitable regardless of the inten-
would be driven by multifunctionality failures of sity of organizational efforts. HRT suggests that
components, physical proximity of components, if the organizations take enough pains to make
limited awareness of specialized knowledge of per- the workplace safe, accidents are avoidable even
sonnel, multiple control parameters with potential in complex organizations that operate hazard-
interactions, and the need to decode unfamiliar ous technologies. NAT proponents point to the
or unintended feedback loops to make inferences. moment when accidents do eventually take place
Tight coupling refers to the minimal time lag in order to support the inevitability claims, while
between the processes for a system, the simplex HRT emphasizes pointing to accident-free envi-
sequence of processing, the single method for task ronments that have existed for long periods. Both
accomplishment, little possible slack in resources theories cannot agree whether the views comple-
(i.e., supplies, equipment, and personnel), riges- ment or contradict each other.
cent (stiff) buffers and redundancies, and a pre-
scribed manner of ready resources substitution. Critique of NAT
The theory indicates that almost all the com- NAT is criticized, mostly by the scholars prone
plex-interactive and tight-coupled systems exe- to belief in HRT, to contain several limitations.
cute transformation processes, such as in nuclear Some scholars suggest that NAT is considered as
plants, chemical plants, or space missions, that a theory about the causes of a particular kind
transform the main raw material that they work of accident rather than the production and
with in some fundamental way. In an organiza- maintenance of safety. The theory doesn’t give
tion, decentralization aids the system to cope with an adequate explanation of the process, where
complex interactions, while centralization aids in the complex interactions between human actors
coping with tight coupling. Lowering the com- and organizational structures are neglected in its
plexity levels and decoupling of interactions in theory articulation. NAT is put forward based
systems would lower the probability of accidents, on empirical studies of high-complex, tight-cou-
as the very nature of the transformation process pling systems; it might lack in articulating all
that must be executed to preclude the possibility. the types of system crisis. For instance, Hopkins
However, decentralization and centralization are questioned NAT’s limited relevance that only a
impossibly simultaneous in a complexity interac- minuscule percentage of accidents would qualify
tive and tightly coupled organization, which make as system accidents. Consistently, some schol-
the organization structurally incapable of coping ars also questioned whether NAT’s accident is a
with system accidents. NAT thereby suggests that component failure accident or a system accident.
it may be best to abandon developing some of the S. Shrivastava, K. Sonpar, and F. Pazzaglia criti-
more complex technologies. In addition, the the- cized Perrow’s NAT interpretation attributing to
ory also acknowledges that experience and train- the intra system, which is being arbitrary; fur-
ing can help reduce complexity. ther empirical studies of liner-loose systems need
to be explored. In addition, NAT is concerned
Debates Over High Reliability Theory (HRT) about overaccepting the status quo. It is criticized
NAT has been compared with high reliability to negatively affect the practical response strat-
theory (HRT) by sociology scholars. The debates egies; it seems to deny the value of post-event
676 Normalization of Deviance

committees of investigation and might mislead procedures and routines that result in a gradual
organizations toward simple denial and shift- and unintentional expansion of the threshold of
the-blame responses during the crises. what is considered an acceptable residual risk of
failure. By fostering an erosion of safety stan-
Patric R. Spence dards over time, normalization of deviance can
University of Kentucky increase the likelihood of catastrophic organiza-
Xialing Lin tional failure.
Western Michigan University A number of related concepts have been devel-
oped to explain the causes of organizational fail-
See Also: Air Travel; Catastrophe, Definition of; ure. They include the general tendency of com-
Chaos Theory; Coordination; Coupling; High plex systems to experience periodic crises (normal
Reliability Organization Theory; Incidents Versus accident theory), the gradual uncoupling of local
Crises; Interoperability; Mining; Nonlinearity; actions from organizational rules and procedures
Nuclear Risk; Risk Assessment. (practical drift), and the adverse effects that group
dynamics can have on decision-making processes
Further Readings (groupthink). Normalization of deviance comple-
Perrow, C. “The Limits of Safety: The Enhancement ments these explanations by drawing attention
of a Theory of Accidents.” Journal of to the organization-cultural antecedents to cata-
Contingencies and Crisis Management, v.2 (1994). strophic organizational failure.
Perrow, C. “Normal Accident at Three Mile Island.”
Society, v.18 (1984). Origin of the Concept
Perrow, C. Normal Accidents: Living With High Risk The term and concept normalization of deviance
Technologies. 2nd ed. Princeton, NJ: Princeton came to prominence as an explanatory mecha-
University Press, 1999. nism in sociologist Diane Vaughan’s meticulous
Rijpma, J. A. “Complexity, Tight-Coupling and analysis of the Challenger space shuttle disaster
Reliability: Connecting Normal Accidents of 1986 (see case study). Contrary to the pub-
Theory and High Reliability Theory.” Journal of lic account that drew on individual misconduct
Contingencies and Crisis Management, v.5 (1997). and technical (O-ring) failure as main causes of
Sagan, S. D. The Limits of Safety: Organizations, the accident, Vaughan argued that the fateful
Accidents, and Nuclear Weapons. Princeton, NJ: launch decision was not to be seen in isolation.
Princeton University Press, 1993. Instead, it was to be understood as the culmina-
Samir, S., S. Karan, and P. Federica. “Normal tion of a long-term process by which the safety
Accident Theory Versus High Reliability Theory: A standards at the National Aeronautics and Space
Resolution and Call for an Open Systems View of Administration (NASA) had been undermined by
Accidents.” Human Relations, v.62 (2011). a repeated normalization of O-ring performance
anomalies.
In contrast to approaches that seek causes
for organizational failures in the misconduct of
individuals (operator errors), normalization of
Normalization of Deviance deviance directs attention to the culturally con-
ditioned frames of reference that shape and con-
“Normalization of deviance” is a concept that strain how individuals make decisions in orga-
refers to social processes by which decisions nizations. Individual action in organizations is
come to reflect an incremental acceptance of ini- always situated within a context that is defined
tially unacceptable deviations from the standards by the organization’s culture—its structures, pro-
held by the members of a group or organization. cesses, and rules. Normalization of deviance sug-
Originally developed to explain the failure of gests that the organizational context can promote
organizations that engage in high-risk activi- worldviews that prevent organizational members
ties, the concept draws attention to patterns of from acknowledging deviations from a standard
decision making and to culturally conditioned or norm as signals of potential danger.
 Normalization of Deviance 677

Normalization of Deviation about the consequences of actions. According to

The normalization of deviance suggests that deci- Vaughan, three interrelated social forces mediate
sions are heavily influenced by the organizations this process. They are the workgroup culture, the
in which they are made. To better understand organization’s culture of production, and struc-
how organizations affect decision making and can tural secrecy. Together, these forces can precipi-
thereby precipitate disastrous outcomes in high- tate a normalization of deviance.
risk environments, it is important to recognize As individuals collaborate to solve problems,
that assessments of risk are not objectively given. they develop a local “workgroup culture” that
Instead, they are constructed in negotiated attri- is characterized by distinctive norms and val-
bution processes by which members of an orga- ues. This workgroup culture provides members
nization develop collectively held expectations with a shared definition of the situation they are

Case Study: The Challenger Launch Decision

On the morning of January 28, 1986, the space explanation based on individual misconduct, arguing
shuttle Challenger exploded 73 seconds after liftoff, instead that the decision to launch constituted
putting a tragic end to the first Teacher in Space an organizational failure caused by the repeated
mission, so named for the crewmember who had normalization of O-ring performance deviations.
been assigned to teach schoolchildren from space. Vaughan found that the “workgroup culture” had
The initial assessment of the disaster identified led to a normalization of O-ring performance
a technical failure as cause. Unprecedentedly deviations by drawing on engineering rationales
cold weather conditions at the time of launch had and a strong belief in the adequacy of the two-
impaired the resiliency of the rubber-like O-rings tiered O-ring system. On occasion, erosions, hot
that sealed a small gap in the joints of the two gas “blow by,” joint rotations, and other deviations
solid rocket boosters that were to propel the shuttle had each triggered a formal five-step process that
into space. Seconds after liftoff, both primary and resulted in technical re-evaluations of initially
secondary O-rings at the aft segment of the right unacceptable O-ring performance deviations as the
booster had been compromised, resulting in the acceptable risk of an unlikely O-ring failure. The
violent disintegration of the vehicle shortly afterward. workgroup’s recommendations were aligned with
It was found that problems with the O-rings had NASA’s “culture of production,” which had shifted
been documented throughout the space shuttle from a purely technical rationale in the Apollo
program, and concerns had escalated in the year era of expansive space politics to one that had to
preceding the disaster. Moreover, there had been merge technical, bureaucratic, and cost-efficiency
an extended telephone conference on the eve of the mandates under severe budgetary constraints.
fateful launch, in which engineers had voiced their The resulting production pressures that NASA
concerns about the effects of the cold weather on was confronted with further reinforced the
the O-rings and had advised NASA management workgroup’s proposals to reevaluate performance
against launching. As it became apparent that anomalies in accordance with formally legitimized
the disaster might have been anticipated and procedure. “Structural secrecy” effectively
prevented, public perception came to blame concealed the seriousness of the O-ring problem,
managerial wrongdoings as a cause of the tragedy. as each successful shuttle mission corroborated
It was suggested that management had given in to the adequacy of normalization, and the
economic and political pressures and had prioritized workgroup’s recommendations were effectively
launching on schedule over safety concerns. ratified in the four-tiered Flight Readiness Review
In a detailed reconstruction of events leading up that relied heavily upon the workgroup’s input for
to the launch decision, Diane Vaughan contested the engineering information and analysis.
678 Nuclear and Radiological Weapons

acting in and serves as a lens through which devi- that organizations impart to their members at the
ations from expected performance outcomes are time when decisions are being made. By sensitiz-
interpreted. As minor deviations may be symp- ing to the organizational context in which decision
tomatic for serious root causes that might jeop- making occurs, normalization of deviance brings
ardize the safety of the overarching project to to the fore the cultural lenses through which
which the workgroup is contributing, they may actors perceive and interpret ongoing develop-
signal potential danger. However, interpreting ments. While not denying that organizational
performance deviations as signals is conditional failures can be caused by individual misconduct,
upon the workgroup culture. Normalization of normalization of deviance challenges explanations
deviance sets in when members of a workgroup that fail to consider the organizational antecedents
develop a definition of the situation that allows to catastrophic failure. When deviance has been
them to ignore signs of unacceptable potential normalized over time, organizations can fail even,
danger. Normalization of deviance that does not and particularly, when all individuals involved
immediately lead to disaster can set a precedent conform to the established standards.
that confirms normalization as a viable pathway.
This can entail the acceptance of further devia- Malte Doehne
tions that, while each insignificant in its own Zeppelin University
terms, accumulate in unanticipated ways.
Workgroups are embedded into the organi- See Also: Groupthink; High Reliability Organization
zation that is itself a carrier of norms and val- Theory; Mental Models; Normal Accident Theory;
ues. The organization’s “culture of production” Organizational Failure; Practical Drift; Residual Risk;
manifests in the rules, roles, and authority rela- Structural Secrecy.
tions that shape the institutional environment in
which workgroups operate. The culture of pro- Further Readings
duction subtly preselects the range of cultural Starbuck, William and Moshe Farjoun, eds.
scripts available to the workgroup. As long as Organization at the Limit: NASA and the
workgroup activities are aligned with the organi- Columbia Disaster. Malden, MA: Blackwell, 2005.
zational culture of production, however, the latter Vaughan, Diane. The Challenger Launch Decision:
will generally legitimize and reinforce the work- Risk Technology, Culture, and Deviance at NASA.
group’s definition of the situation. Chicago: University of Chicago Press, 1996.
“Structural secrecy” undermines attempts by Vaughan, Diane. “Organizational Rituals of Risk and
those outside the workgroup to understand the Error.” In Organizational Encounters With Risk,
situation in its full extent. Organizational struc- Bridget Hutter and Michael Power, eds. New York:
tures and the regulatory procedures in place affect Cambridge University Press, 2004.
how information is conveyed among the mem-
bers of an organization. Ambiguous patterns of
information, lack of data, and formalized assess-
ment procedures can render signals ambiguous,
weak, and routinized, thereby depriving them of Nuclear and Radiological
salience and ultimately making their normaliza-
tion more likely. Weapons
Implications for Crisis Management Before the former Soviet Union was dissolved in
When things go seriously wrong in organizations, 1991 and the Berlin Wall was torn down, one of
it is common practice to seek causes in individual the greatest fears in the United States was that of
negligence or misconduct and to direct remedial a nuclear war between the United States and the
action at those identified as responsible. However, Soviet Union. Even though the threat of nuclear
the retrospective apportioning of responsibility warfare between countries is a possibility, it is
to individuals obscures the interpretative frame- no longer the primary concern. The greatest fear
works, cultural ambiguities, and social constraints now is that an individual or terrorist group could
 Nuclear and Radiological Weapons 679

acquire a nuclear weapon or enough nuclear two incidents of use of nuclear weapons currently
material to develop a “dirty bomb.” recorded in history.
This article attempts to expand further on the The United States thought this would deter
concept of chemical warfare by providing the the Soviet Union from expanding its influence
reader some of the history of nuclear warfare, the in Europe. However, in 1949, the Soviet Union
different types of radiation, exposure to radia- tested its first nuclear weapon, which ultimately
tion, the effects of a nuclear detonation, the dirty triggered the start of the Cold War. Since then, at
bomb, the immediate response after exposure to least seven other countries have developed some
radiation, and the available antidotes. type of nuclear capability.

History of Nuclear Warfare Different Types of Radiation

In 1945, the United States dropped two atomic Before discussing the effects of a nuclear detona-
bombs on Japan in an effort to bring World War tion or radiological device, it is important to under-
II to an end. The two bombs were dropped on the stand the principles of radiation. There are two
cities of Hiroshima and Nagasaki. As a result of categories of radiation: non-ionizing and ionizing.
the bombings, an estimated 160,000 people were Non-ionizing radiation is low energy and
killed in Hiroshima and another 80,000 in Naga- mostly harmless. Examples include light waves,
saki. The majority were killed by the explosion, radio waves, and microwaves.
and the remainder died from burns or being hit Ionizing radiation produces energy that is
by debris. The war was brought to an end, but harmful to humans. Sources of ionizing radiation
at the expense of many lives. These are the only include natural radiation from the Earth and space,

Members of the Oregon National Guard’s 102nd Civil Support Team approach a mock crash scene, ready to take readings and assess
levels of contamination by a “dirty bomb” at a joint-agency exercise held on February 15, 2006, at the Portland Fire Department’s
training facility in north Portland. Even though the threat of nuclear warfare is a possibility, of greatest concern is the fact that terrorist
interests could acquire a nuclear weapon or enough nuclear material to develop a “dirty bomb.”
680 Nuclear and Radiological Weapons

nuclear reactor accidents, radioactive materials • Blast injuries could result from the high-
used in industry and medicine, and dirty bombs. velocity winds, crushing injuries from
Ionizing radiation consists of three different types: collapsing buildings, or flying debris
alpha particles, beta particles, and gamma rays. • Thermal radiation may cause burns and
They have the following characteristics: ignite flammable materials
• Thermal injuries could include flash burns
• Alpha particles: of the skin
»» Heaviest of all ionizing radiation • Eye injuries could result from the thermal
»» Most highly charged flash
»» Travel more than seven inches in the air • Exposure to radiation from fallout
»» Stopped by paper • Electromagnetic pulse results in damage to
»» Stopped by outer layer of skin electronic equipment and electrical systems,
• Beta particles: causing disruption of the following:
»» Smaller and travel faster than alpha »» Electrical infrastructure by disrupting
»» Have a lesser charge than alpha the power grid
»» Penetrate further into material or »» Telecommunications by disrupting
human tissue, but not into vital organs communication lines, wireless,
»» Stopped by aluminum satellite, and radio
»» Internal hazard if ingested »» The economy by disrupting electronic
• Gamma rays: financial transactions
»» Similar to X-rays »» Fuel and energy infrastructure by
»» Transmitted through space in waves disrupting electronic control systems
»» Can travel distances up to 1 mile »» Transportation by disrupting traffic
»» Can penetrate all tissues and organs, lights and preventing vehicles from
causing damage operating
»» Two and a half inches of concrete »» Food infrastructure by disrupting food
or five inches of water will stop 50 distribution
percent of gamma rays »» Water supply by disrupting pumping
• Neutrons: and filtration systems
»» Uncharged particles »» Emergency services by disrupting
»» Emitted during nuclear detonation vehicle operation and communications
»» Cause up to 20 times the damage to equipment
tissue as gamma rays »» Space systems by disrupting low-
orbiting satellites
Exposure to Radiation »» Government
There are additional factors in determining the • Psychological effects of exposure to
potential damage from the radiation: type and radiation could include panic, shock,
amount, time of exposure, distance from source, depression, anxiety, and sleep disorders
type and amount of shielding, and continuous or
intermittent exposure. Dirty Bomb
A dirty bomb consists of some type of radioac-
Effects of a Nuclear Detonation tive material attached to a conventional explosive
There are a number of possible effects of a nuclear like dynamite. When the dirty bomb is detonated,
detonation that could have an impact on both the there is immediate damage caused by the explo-
environment and people: sive, and the radioactive material is dispersed into
the immediate area. A nuclear bomb is differ-
• The primary effect of the explosion is ent from a dirty bomb in that it is more power-
the blast, which could cause light to ful than the conventional explosive. The nuclear
severe damage of structures and critical bomb disperses radioactive dust in the mushroom
infrastructure cloud over a large area, resulting in fallout. A dirty
 Nuclear Proliferation 681

bomb would be used to contaminate a facility and Kearny, C. Nuclear War Survival Skills. Cave
cause fear in its intended population. Most of the Junction, OR: Oregon Institute of Science and
injuries from a dirty bomb would be from heat, Medicine, 1987.
flying debris, radiological dust, and the force of Medalia, Jonathan. “Dirty Bombs:” Background in
the explosive. Very little radiation is dispersed by Brief. Washington, DC: Congressional Research
a dirty bomb. Service, 2011.
National Security Staff Interagency Policy
Radiation Exposure: Immediate Response Coordination Subcommittee for Preparedness and
There are three things to do after being exposed Response to Radiological and Nuclear Threats.
to radiation: (1) evacuate the immediate area of Planning Guidance for Response to a Nuclear
the explosion, (2) remove contaminated clothing, Detonation. 2nd ed. Washington, DC: U.S.
and (3) decontaminate by washing with copi- Government Printing Office, 2010.
ous amounts of soap and water. There are two U.S. Defense Threat Reduction Agency. Weapons
primary antidotes for treatment of exposure to of Mass Destruction Handbook—Terms and
radiation: (1) Prussian blue, which is effective for Operational Overview. Washington, DC: U.S.
exposure to the radioactive element cesium-137, Defense Threat Reduction Agency, 2005.
and (2) potassium iodide, which is adminis-
tered for exposure to the radioactive element
iodine-131.

Conclusion Nuclear Proliferation

This has been a brief overview of nuclear/radio-
logical weapons, including the history of nuclear Nuclear proliferation refers to the spread of
warfare, the different types of radiation, exposure nuclear weapons, material (such as fissile mate-
to radiation, the effects of a nuclear detonation, rial), and technology among nations or organi-
the dirty bomb, the immediate response after zations. In order to explore possible solutions to
exposure to radiation, and the available anti- nuclear proliferation, an adequate review of the
dotes. This information provides only the base- characteristics and evolution of nuclear prolif-
line for understanding nuclear/radiological weap- eration and the current status regarding nuclear
ons and warfare. The threat of a dirty bomb is disarmaments is warranted. There have also been
probably greater than that of a nuclear weapon. recent research developments regarding mitigat-
However, it is important to understand the prin- ing small-scale and localized nuclear proliferation.
ciples of both to effectively respond to a nuclear
or radiological incident. Motivation and Characteristics
There are three main motivations behind nuclear
Bruce A. Thompson proliferation. First, some nations might invest in
Joint Task Force National Capital Region Medical the construction of nuclear weapons to improve
national security; second, some nations might
See Also: Department of Homeland Security (DHS); perceive nuclear weapons as political tools to win
Federal Emergency Management Agency (FEMA); certain domestic benefits; and third, other nations
Health and Medical Response Scenarios; National might construe nuclear weapons as a critical nor-
Response Framework; Terrorism. mative symbol of a nation’s position and identity in
the global community. In general, there are mainly
Further Readings two types of nuclear proliferation: (1) governmen-
Armed Forces Radiobiology Research Institute tal proliferation, which includes both vertical pro-
(AFRRI). Medical Management of Radiological liferation, referring to the advance of the number
Casualties. 3rd ed. Bethesda, MD: AFRRI, 2009. and power of nuclear weapons by nuclear weapon
Federal Emergency Management Agency (FEMA). nations, and horizontal proliferation, referring to
“Program Manual: Radiological Emergency the possession of nuclear weapons by formerly non-
Preparedness.” Washington, DC: FEMA, 2012. nuclear weapon nations, and (2) nongovernment
682 Nuclear Proliferation

proliferation, which refers to the procurement of The smuggling of nuclear weapons across
nuclear weapons by adversarial groups such as ter- borders facilitates the spread of nuclear mate-
rorists and criminals. rials, which could be prohibited by inspection
and retaliation declaration. However, too much
Nuclear Proliferation Among Nations unnecessary inspection would affect normal trade
Governmental nuclear proliferation frequently between nations, and limited resources prohibit
takes the form of arms races. If a nation possesses a thorough examination of every container. N.
nuclear weapons, other nations within the region Haphuriwat et al. rigorously investigated the pos-
might feel insecure and rely on developing more sibility of deterring the smuggling attempt by con-
nuclear weapons than their neighbors. Therefore, tainer shipments across borders. Later, Shan and
a vicious cycle could form and pose enormous Zhuang studied the scenario, where the retalia-
threats to the whole world. tion threat might not be credible.
With realization of the potentially catastrophic
effects of nuclear weapons, several treaties and Nuclear Proliferation and Crisis Management
agreements were made in the attempt to reduce Crisis management generally refers to means
the number of existing nuclear weapons while of managing exceptional events by mitigation,
preventing new nuclear weapons from being preparation, response, and recovery. Nuclear
built. However, credibility is an issue affecting proliferation presents a great risk to society, and
their effectiveness. For instance, North Korea was crisis management takes this nuclear risk into
secretly developing nuclear weapons although it account. Nuclear proliferation also poses a signif-
had signed the nonproliferation treaty (NPT) in icant threat to international security, has a huge
1985. Its declaration of intention to withdraw impact on the international system, and accounts
from the NPT might result in unconstrained for many important cases of international crises.
nuclear weapons production. Frequent nuclear For example, the recent nuclear crisis at the Fuku-
inspections and accompanying diplomatic means shima Daiichi power plant in Japan is reported
are necessary to deter signatories from deviating. to have resulted from “man-made errors.” There-
fore, regardless of the cause (intentional or unin-
Nongovernmental Organizations tentional), a necessary management plan must be
The treaties and agreements probably will not in place to mitigate and prepare for such a nuclear
have a constraining effect on terrorists’ acqui- crisis. The above-mentioned research on prevent-
sition of nuclear weapons. In 1998, Al Qaeda ing nuclear proliferation would be considered as
leader Osama bin Laden stated that the acquisi- mitigation. Because of the devastating effects of
tion of weapons of mass destruction (WMDs) is a nuclear disasters, emphasis on mitigation is neces-
“religious duty” for Muslims. These types of dec- sary and critical.
larations are indeed alarming. Some alternatives After recognizing the catastrophic effects of
to fighting terrorists directly might play a larger detonated nuclear weapons, many nations rely
role in risk mitigation of nuclear weapons. Given on treaties and agreements to constrain nuclear
the close connections among different nations, proliferation and encourage nuclear disarma-
some nations might rely on other nations for ment. Frequent nuclear inspections, together with
countering terrorism rather than fighting directly. diplomatic methods, are needed to ensure their
For instance, subsidizing another government effectiveness. Governments can use subsidizing
that can interfere with terrorist activities, includ- another government (which can interfere with ter-
ing nuclear proliferation, has been explored by X. rorism), contracting with terrorist groups, inter-
Shan and J. Zhuang as a feasible alternative to dicting nuclear production projects, and tighten-
passively preparing for nuclear attacks. A simi- ing border security to restrain nongovernmental
lar concept of contract might be another feasible nuclear proliferation.
alternative to reduce terrorist incidents. One par-
ticular mitigation method is interdicting a nuclear Xiaojun Shan
weapon production project using diplomatic, eco- Jun Zhuang
nomic, and military means. State University of New York, Buffalo
 Nuclear Risk 683

See Also: Interstate War; Nuclear and Radiological accidents that have occurred around the globe
Weapons; Nuclear Risk; Terrorism; Weapons since 1952 and the International Nuclear Event
Trafficking. Scale (INES).
Although the majority of the nuclear risks
Further Readings come from nuclear power plants as the world
Brown, G., W. M. Carlyle, R. C. Harney, E. M. seeks non–fossil fuel sources of energy, there are
Skroch, and R. K. Wood. “Interdicting a Nuclear other potential risks from sabotage and coordi-
Weapons Project.” Operations Research, v.57/4 nated terrorist attacks. Nuclear risk comes from
(2009). contamination of the environment from radioac-
Haphuriwat, N., V. M. Bier, and H. H. Willis. tive discharges or exposure to radiation, often the
“Deterring the Smuggling of Nuclear Weapons result of nuclear accidents. The risk to human
in Container Freight Through Detection and populations as a result of radiation from nuclear
Retaliation.” Decision Analysis, v.8/2 (2011). accidents or disasters can occur in two ways.
He, F. and J. Zhuang. “Modeling ‘Contracts’ Between The first is by contamination when fluids con-
Terrorist Groups and Governments in a Sequential taining dangerous radioactive materials enter the
Game.” Journal of the Operational Research body through injection or inhalation (referred
Society, v.63/6 (June 2012). to as internal contamination) or by direct con-
McCloud, K. and M. Osborne. “WMD Terrorism and tact with the skin (external contamination). The
Osama Bin Laden.” (2001). http://cns.miis.edu/re former constitutes a much higher risk to public
ports/binladen.htm (Accessed March 2012). health. The second risk is radiation. Radiation is
Nash, G. B., J. R. Jeffrey, J. R. Howe, P. J. Frederick, invisible, odorless, and tasteless and can only be
A. F. Davis, A. M. Winkler, C. Mires, and C. G. detected by specialized equipment. In this case,
Pestana. The American People, Creating a Nation radiation from a source contaminates humans
and a Society. Comb. vol., 6th ed. New York: without any direct physical contact with the
Longman, 2007. radioactive substance.
Sagan, B. E. The Symmetric Group. 2nd ed. New
York: Springer-Verlag, 2001. Health Effects of Radiation
Wit, J. S., D. Poneman, and R. L. Gallucci. Going Cancer is the primary health effect of long-term
Critical: The First North Korean Nuclear Crisis. chronic exposure to radiation. Some previous
Washington, DC: Brookings Institution Press, nuclear accidents like the Chernobyl nuclear
2004. disaster have linked radiation exposure to breast
cancer, lung cancer, and leukemia. Radiation
exposure can also cause damage to human DNA.
Acute exposure can cause burns and radiation
sickness (also referred to as radiation poison-
Nuclear Risk ing). The symptoms include skin burns, nausea,
headache, hair loss, and loss of white blood cells.
The early 21st century is a time and age when Radiation can also affect the effective function-
the risks of catastrophic nuclear disasters are ing of certain organs of the body, with children
high. They can be caused by human error, equip- particularly more sensitive to the effects of radia-
ment failures, sabotage, terrorist activities, war, tion. There is also the psychological burden and
and, in some cases, natural disasters. The risk of mental health effects on the population, often
nuclear accidents or disasters can be considered made worse by lack of information or poor com-
to be relatively high; although the probability munication to the public about the health risks
of occurrence is very low, the severity of con- of exposure to radiation. There is currently no
sequence when they occur is very high. Several effective medical treatment for very high radia-
nuclear accidents are recorded annually around tion exposure. The effects of lower exposure
the globe. It is often a thin line between being may be treated using various intrusive treatment
minor accidents or catastrophic nuclear disas- methods, including bone marrow transplant and
ters. Table 1 shows some of the serious nuclear blood transfusion.
684 Nuclear Risk

Managing Nuclear Crisis doses of iodine tablets helps saturate the thyroid
During nuclear crisis, it is the immediate responsi- gland with nonradioactive iodine and hence pre-
bility of the operator, in the case of a power plant, vent the adsorption of radioactive iodine, which
to get the events under control at the technical can enter the body through the airways or con-
level. The local, regional, or national authorities taminated food and water. Iodine tablets should
have a responsibility to protect the environment only be taken based on the recommendation of
and the public health of the population. the relevant authorities. They should not be taken
To prevent internal contamination, measures based on individual initiatives. Adults over the
should be taken to protect drinking water and food age of 40 should seek medical advice from their
sources, as radioactive materials can end up in both doctors on the use of iodine tablets. Unless there
food and drinking water sources. Where radioac- are very high doses of radioactive iodine released,
tive iodine is released during nuclear discharges, older people should avoid the use of the tablets.
doses of iodine tablets can be made available by To reduce both internal and external con-
the relevant authorities. Taking recommended tamination from radioactive discharges, people

Table 1 Serious nuclear accidents since 1952 with International Nuclear Event Scale (INES)

Name Year Country Event INES level

Chalk River experi- December Canada Core damage
–
mental reactor 1952
Mayak nuclear September Soviet Storage tank explosion with 200 deaths and more than
6
complex 1957 Union 270,000 people exposed to dangerous rations
Windscale nuclear October 1957 United Fire in graphite-core reactor with 33 deaths
5
reactor Kingdom
Idaho Falls January 1961 United Reactor explosion with three deaths
–
States
Bohunice nuclear January 1976 Slovakia Release of radioactive carbon dioxide with two deaths
–
plant
Three Mile Island March 1979 United Partial meltdown of one reactor
5
power plant States
Tsuruga nuclear March 1981 Japan Over 100 workers’ exposure to very higher radiation with
2
power plant release of radioactive substance to the Sea of Japan
Buenos Aires September Argentina Worker error led to fatal exposure with additional 17
5
1983 workers being exposed
Chernobyl power April 1986 Soviet Reactor explosion with thousands of deaths both directly
7
plant Union from the accident and from long-term radiation exposure
Goiania September Brazil Stolen radiotherapy source led to four deaths and
–
1987 contamination of about 245 people
Severesk April 1993 Russia Uranium plutonium factory explosion with contamination
4
of 120 square kilometers
Tokaimura nuclear September Japan Worker error in eventually resulting two deaths and about
4
processing plant 1999 40 serious radiation exposures
Mihama power August 2005 Japan Steam and hot water leak from broken pipe; five deaths
1
plant and seven injuries
Fukushima Daiichi March 2011 Japan Triggered by earthquake and tsunami, with four reactors
7
power plant damaged
Macoule nuclear March 2011 France Furnace explosion with one death and four serious injuries
–
site
 Nuclear Risk 685

should be advised to stay indoors, with windows Further Readings

and doors shut. In serious cases, authorities may Andreasen, Steve and Isabelle Williams. “Reducing
have to evacuate the population away from close Nuclear Risk in Europe: A Framework for
proximity to the main sources of the radiation. Action.” Nuclear Risk Initiative (2011).
The public should be advised to remain calm. Bernstein, Jeremy. Plutonium: A History of the
During evacuation, they should shut off gas, elec- World’s Most Dangerous Element. Washington,
tricity, and water before leaving their homes. Also DC: Joseph Henry, 2007.
a good practice by authorities is to set up relief Brugnoli, Alberto. Dangerous Materials: Control,
centers for affected people for medical checkups Risk Prevention and Crisis Management: From
and decontamination. All practical information New Global Threats to New Global Responses: A
needed should be made available to the public. Picture of Transition. Dordrecht: Springer, 2010.
Reed, Thomas C. and David B. Stillman. The Nuclear
Augustine Osamor Ifelebuegu Express: A Political History of the Bomb and Its
Coventry University Proliferation. Minneapolis, MN: Zenith, 2010.
Wit, J. S., D. Poneman, and R. L. Gallucci. Going
See Also: Chemical Risk; Emergency Public Critical: The First North Korean Nuclear Crisis.
Information; Nuclear and Radiological Weapons; Washington, DC: Brookings Institution Press,
Nuclear Proliferation. 2004.
 O
Office for the Coordination Resolution 46/182 was the Inter-Agency Stand-
ing Committee (IASC), which ensures inter-
of Humanitarian Affairs agency decision making in response to complex
emergencies.
(OCHA), UN The Department of Humanitarian Affairs
(DHA) was established soon after the adoption
The United Nations (UN) Office for the Coor- of Resolution 46/182. The DHA was reorganized
dination of Humanitarian Affairs (OCHA) is in 1988 into the OCHA, with an expanded man-
responsible for coordinating a response to emer- date that includes coordinating humanitarian
gencies by providing a framework within which response, policy development, and humanitarian
humanitarian organizations can contribute to the advocacy.
response effort. The mission of the office is to The OCHA’s coordination function is carried
coordinate an effective humanitarian response by out mainly through the IASC. All humanitarian
partnering with national and international actors partners that may respond to a disaster are par-
in order to alleviate human suffering in disasters, ticipants on the IASC. These may include the Red
advocate the rights of those in need, promote pre- Cross, nongovernmental organizations (NGOs),
paredness and prevention, and facilitate sustain- UN agencies, and any other partners with an
able solutions. interest in the response. The types of response
carried out by the IASC are needs assessments,
History of OCHA consolidated appears, field coordination, and the
In order to strengthen the response to emergen- development of humanitarian policies.
cies and disasters and improve the effectiveness of The Secretary-General introduced a series of
humanitarian operations, the UN General Assem- humanitarian reforms in 2005 to ensure greater
bly adopted Resolution 46/182 in December predictability, accountability, and partnership in
1991. This resolution created the new position the international humanitarian response system.
of emergency relief coordinator (ERC), with the In 2009, the General Assembly declared World
purpose of combining the functions previously Humanitarian Day as a means to increase public
carried out by the Secretary-General’s representa- understanding of humanitarian assistance activi-
tives for major and complex emergencies and the ties. World Humanitarian Day is celebrated on
UN Disaster Relief Organization. Also created by August 19 each year.

687
688 Office for the Coordination of Humanitarian Affairs (OCHA), UN

OCHA Funding so, people are now able to receive nearly 15 liters
OCHA’s coordination work is funded mainly of drinking water per day at water points in the
from voluntary contributions from UN member camp. Before the project, women needed to walk
states and the European Commission. The office more than 10 kilometers to get drinkable water.
also receives private donations and a small per- OCHA is also using current technology to
centage of the UN Regular Budget. The Regular gather information and to help plan responses to
Budget is approved every two years and is funded emerging situations. When events in Libya began
from contributions paid by each member state. to unfold in February 2011, OCHA activated a
OCHA received only 0.6 percent of the Regu- group of more than 150 online volunteers to help
lar Budget for 2010–11, totaling $14 million create an online map that tracked information
per year. OCHA’s budget has quadrupled since relevant to relief efforts in real time, such as secu-
2002, although the amount it receives from the rity issues, health needs, and refugee movements.
Regular Budget allocation has remained nearly Organizations such as the Red Cross, the U.S.
the same. Agency for International Development (USAID),
the World Food Programme, and others used the
Response site to assist in planning their response efforts.
Through its 24 regional offices, OCHA can quickly
respond to a new or escalating crisis. Response to Future Planning
emergencies can come from a variety of organiza- OCHA planned to have a presence in more than
tions that OCHA helps coordinate, such as the 50 countries in 2012, with the largest operations
Red Cross, United Nations offices, international being in areas with long-standing issues, such
and local nongovernmental organizations, and as Afghanistan, Democratic Republic of Congo,
governments. OCHA attempts to build consen- Somalia, the occupied Palestinian territory, South
sus among organizations regarding the response Sudan, and Sudan. OCHA will continue to
priorities and how to accomplish those goals in respond to crises as they occur and is ready to
order to ensure an effective response and to avoid increase its presence in areas when needed.
duplication of effort. OCHA is also focusing on partnering with a
OCHA manages the UN Disaster Assessment wider range of organizations. It plans to continue
and Coordination (UNDAC) system, which is building and strengthening relationships with
a team of emergency managers on standby and governments, response agencies, private com-
ready to deploy within 24–48 hours of a natu- panies, and various experts around the globe,
ral disaster. Members of the UNDAC come from including the signing of a memorandum of under-
more than 60 countries, NGOs, and other agen- standing with the Organization of Islamic Coop-
cies. OCHA can also send response coordination eration. OCHA is working to expand and create
specialists to a scene within hours. new partnerships with the African Union and will
open a new office in Abu Dhabi.
OCHA in Action
OCHA channels funds to international and Christina Spoons
national humanitarian partners. OCHA manages Ashford University
a Common Humanitarian Fund (CHF) that has
provided nearly $900 million to Sudan since 2006, See Also: Bureau for Crisis Prevention and Recovery,
and it allocated $155 million to 289 humanitarian UN (UNDP–BCPR); International Strategy for
projects in Sudan and South Sudan in 2011 alone. Disaster Reduction, UN (UNISDR); Nongovernmental
One project funded by the CHF was a $200,000 Organizations; Red Cross and Red Crescent.
overhaul of the water system at the Dereige camp
for internally displaced persons in Sudan that Further Readings
houses more than 25,000 people. The project, United Nations. “Resolution 46/182: Strengthening
managed by Mercy Corps Scotland, an interna- of the Coordination of Humanitarian Emergency
tional NGO, connected new water tanks in the Assistance of the United Nations.” New York:
camp to boreholes four kilometers away. By doing United Nations, 1991.
 Operational Plans 689

United Nations Department of Public Information. is rather like the score of a symphony. Individual
“Charter of the United Nations and Statute of the players have their own music (the procedures),
International Court of Justice.” New York: United but the overall effect must be one of harmony by
Nations, 1985. synchronizing highly compatible contributions
United Nations Office for the Coordination of (the plan).
Humanitarian Affairs. “OCHA in 2012 and Planning is the opposite of improvisation.
2013.” Geneva: United Nations, 2011. However, in reality the two concepts are not quite
so antagonistic. Contingency planning conducted
in the period before an emergency (when lead
times and alerts are sufficient) is supplemented by
short-term strategic and tactical planning during
Operational Plans the emergency, which serves to adapt operations
to the dynamic needs generated by the impact
General Dwight D. Eisenhower once remarked, (Figure 1). This is a form of “bounded improvi-
“In preparing for battle I have always found that sation.” Nonetheless, although pure improvisa-
plans are useless, but planning is indispensable.” tion cannot be eliminated from the emergency
His observation is equally valid for civil emer- response, largely because every crisis involves
gencies. The point is that the provisions stated in some unique elements, it should be reduced to a
written plans will always have to be adapted to minimum. Failure to anticipate needs that can be
the specific circumstances of a particular emer- foreseen in advance is tantamount to negligence.
gency, but the process of planning is important Hence, in large measure, improvisation can be
because it induces the planner to consider the equated with inefficiency, and inefficiency adds
elements and dynamics of emergencies and the up to impacts that could be reduced or avoided.
choices among possible response strategies. In synthesis, plans should regulate the use of pro-
Planning to conduct and manage relief opera- cedures, including the standard operating proce-
tions for civil contingencies, emergencies, and dures of particular organizations, and protocols,
disasters is a complex process but one that could the “rules of engagement” to be adopted under
be characterized as “organized common sense.” particular circumstances.
Its main aim is to integrate emergency resources Emergency and operational planning are part
and ensure that they are used in the most practical of a hierarchy in the decision-making and orga-
and efficient way to solve the problems created by nizational system known as civil protection or
the emergency (for example, search and rescue, civil defense. At the top level, policies define the
provision of medical care and shelter, damage broad objectives of the system and are concerned
limitation, and the maintenance of public safety).
Several elements are present in the emergency
environment. One consists of the permanent
emergency plans that different organizations and
levels of government require. Another is the con-
tingency planning that adapts the provisions of
the permanent plan to the evolving reality of the
emergency situation. In this context, one should
distinguish between plans and procedures. Oper-
ational planning should not be designed to specify
in detail the procedures to be used. For instance,
the plan should not instruct police officers how
to direct traffic or tell firefighters how to extin-
guish a blaze. It should instead explain how to
use standard operating procedures in concert
among many organizations during unusual and Figure 1 Interaction between types of plans during the
probably extreme circumstances. Hence, the plan aftermath of a disaster
690 Operational Plans

with the prevention of casualties, the limitation “bottom-up” (i.e., locally organized and nation-
of damage, and the avoidance or reduction of ally coordinated) responses to general emergencies;
interruptions to normal activities. By identifying civil defense involves national organized (i.e., top-
concrete actions to be taken, strategic planning down) responses to security threats; and business
aims to connect policies with the means of mak- continuity management is designed to ensure that
ing them operational. Strategic planners concen- normal business practices in the private and public
trate on finding the resources to be used in fore- sectors are maintained or restored quickly in a cri-
seeable emergency situations. Tactical planners sis. Regarding civil contingencies of all kinds, oper-
concentrate on how to distribute those resources ational planning has to achieve the difficult goal of
to best effect. Operational planners try to look integrating different types of organizations, and at
ahead of ongoing operations in order to ensure a level that optimizes their ability to work together.
that the most efficient use is made of the avail- This is the problem of interoperability: it involves
able resources as these arrive at the scene. This the need for compatibility of equipment, proce-
is a supply-and-demand problem: when the cri- dures, protocols, and working practices. Planning
sis begins, there is a large, unfulfilled demand needs to bridge the operational gap between vari-
for resources (to save lives, evacuate people who ous types of organization, as follows:
are at risk, provide shelter and meals, and all the
typical actions of emergency first responders), • Geographical: for example, contiguous
but the gradual accumulation of resources in jurisdictions
the area redresses the balance in favor of supply. • Sectoral: public administration, private
The speed, accuracy, and efficiency with which companies in charge of key functions, and
this occurs is a function of the quality of both civil society organization (especially in the
prior and ongoing planning and management. In voluntary sector)
synthesis, one role of operational planning is to • Hierarchical: local, regional (for example,
regulate the “convergence reaction” that usually county, state, province, department), and
occurs when emergency resources are sent to the national
scene of an incident or disaster. • Functional sectors: health care, public
works, economy and employment, public
Bridging the Gap security, utilities, and lifelines
In a major emergency such as a large disaster, more • Organizational: for example, police, fire,
than 100 agencies may be present at the scene or ambulance, specialist rescue.
may be working elsewhere to provide resources
for the local response. Therefore, planning has to The planning process must find the most
specify how these various agencies work together: appropriate scale of interaction between these
It does so by dividing tasks and competencies and various organizations, constituencies, competen-
stating the modes of interaction and collabora- cies, and jurisdictions. Furthermore, plans must
tion, as well as the system of direction or com- maintain compatibility between levels of govern-
mand. One can assume either that the agencies ment (local, regional, and national) and sectors
do not normally work together or—more likely— (e.g., municipal, airport, health sector, industrial
that they do not normally do so in the manner plants, commercial facilities, and cultural heritage
required by the emergency. The degree to which protection; Figure 2).
members of the organizations have familiarized Mutual assistance pacts can be used to
themselves with the plan and exercised together strengthen disaster response in conditions where it
may determine the success or failure of real emer- is expected that local resources will be insufficient
gency operations. or overwhelmed. These can be either bilateral or
Planning for major event management involves multilateral agreements. One problem with mutual
devising procedures for dealing with civil con- assistance agreements is that no organization will
tingencies in the context of disaster risk reduc- want to commit its own resources if it is likely to
tion and the promotion of resilience. The field is remain uncovered, either operationally or finan-
divided into three sectors: civil protection involves cially. In this respect, multilateral agreements are
 Operational Plans 691

Coordinated
Hospital and Airport and Disaster in Disaster in
EMS operations
health system transport the medical the system
plans
emergency plan emergency center of medical
plans centers
Mutual Regional and Disaster in Operations Operations
assistance Municipal county or National
emergency the external planning for planning for
pacts emergency provincial
plan environment the medical the medical
plan emergency plans center system
Cultural Operations
Industrial and heritage planning for
commercial emergency the external
emergency plans plan environment

Figure 2 Nesting among plans of different types and at Figure 3 Planning for contingencies in the health system
different levels and hospitals

a better way of pooling resources, but they tend • Research involves carrying out an initial
to be complex and require more effort to be con- study and collecting data on local hazards,
cluded and implemented. Mutual assistance pacts demography, vulnerabilities, and dynamic
must specify which resources will be supplied and systems.
under what conditions and who will pay for them. • Writing involves creating the plan,
Once these details are agreed, they can be incorpo- along with any appendices and annexes
rated into each party’s operational plan. containing data and descriptions of
Health response to emergencies is one sector procedures.
in which operational planning is very important. • Publicity is the means by which the plan is
When making provisions for mass-casualty inci- made known to all participants.
dents, it has been found to be as important to have • Operations test the plan with field exercises,
plans for the wider health system as to have them simulations, and scenario investigations.
for individual medical centers (Figure 3). Hospi- • Updating involves revising the plan
tal emergency plans must face up to both internal periodically and ensuring that the new
and external contingencies. The former include version is adequately known to the users.
fires and contamination episodes at the site, while
the latter refer to large influxes of patients from This process is similar in many respects to urban
incidents and disasters that take place outside the planning, and indeed it embodies a geographic
hospital. Medical system plans need to respond to component of similar scope and importance.
contingencies such as disease surveillance, emer- Several other requisites are worth mentioning.
gency medical response, and coordination of area Plans need to be written in clear, unambiguous
health responses. In major incidents, interchange language, as equivocality can be dangerous when
between hospitals (especially level 1 trauma cen- it applies to emergency operations, or it can at
ters) is necessary in order to maximize the ability least promote inefficiency. Plans need to be com-
to diagnose and treat patients. This requires plan- patible with legislation in several fields: first, emer-
ning of logistics and information flows. More- gency management, and then environmental pro-
over, the health response to incidents and disas- tection, or health and safety at work. To ensure
ters must interact with other emergency planning compatibility, it is usually sufficient to make a
systems, such as those applying to search and res- comparative reading of the legal instruments and
cue, and evacuation of people at risk. the plan in order to identify any provisions in the
plan that might clash with the statutes. One hopes
The Planning Process that there is no ambiguity or contrast among the
There are five steps to the creation of an opera- laws, which is, unfortunately, not something that
tional plan: one can always depend upon. Next, plans should
692 Operational Plans

consider some easily neglected needs associated requisites highlighted by scenario modeling. This
with emergencies, such as veterinary management, is the difference between ignorance, uncertainty
the care of prisoners, and cultural heritage protec- (partial ignorance), and probability (Figure 4).
tion. Emphasis on the processes involved in devis- Levels of uncertainty are increased by specific
ing plans, rather than the end product, should help problems that planning must tackle. For exam-
stimulate the search for such unexpected conse- ple, “fat-tailed” (i.e., skewed or asymmetric) dis-
quences that must be managed in a crisis. Finally, tributions involve relationships between hazard
plans need to be written in a manner that is clear, and vulnerability that give more weight to large,
concise, and comprehensive. Although this may infrequent events than a balanced (Gaussian)
seem to involve contradictions, the solution is to distribution would predict. Hitherto, the magni-
relegate details to appendices, and at the other end tude–frequency relationships on which natural
of the scale, provide summary charts as an aide- hazards modeling and emergency planning have
mémoire. The body of the plan should be speci- been based place much emphasis on medium-
fied sufficiently clearly for readers to be able to see sized events in which the low likelihood of very
the overall architecture and concept of operations large contingencies is balanced by vulnerability
without the encumbrance of excessive detail. In all that rises with the size of event. Current think-
cases, the primary objective of planning is to save ing gives more weight to larger events that are
lives and protect people, while the second objec- less expected. The dilemma here is that it makes
tive is to limit and contain damage. no logical sense to produce detailed plans that
Operations in a crisis situation can usually be determine how to react to events that have a very
envisaged and modeled before the event happens. low probability of materializing during the life of
The scenario approach should be used wherever the plan. Nevertheless, extreme events enhanced
sufficient information is available on which to by climate change and the rising complexity of
base a forecast of the evolution of a future crisis. disaster impacts are both promoting a new view
In this context, a scenario is not a full-scale predic- in which major events are not considered so
tion of the future, but is instead a means of using unlikely, and there is thus some incentive to take
past experience to explore possible future develop- them into account, even if the resources are sim-
ments. There will be a range, or tolerance band, ply not available to deal with them effectively.
of possible outcomes. For instance, the human The dilemma of uncertainty versus probability
impact of earthquakes is heavily influenced by is compounded by the need to consider interac-
aggregate patterns of human behavior, in terms of tions between risks, secondary disasters, collateral
where concentrations of people are to be found
at particular times of the day, and the relation-
ship between aggregate patterns of human activity
and patterns of damage. Hence, seismic disaster
scenarios will vary by time of day and day of the
week. Traveling (including commuting); working
in offices, shops, or factories; studying at school;
resting or sleeping at home; and frequenting other
locales are all activities that change the pattern of
risk and the resulting need for emergency inter-
vention. Nevertheless, multiple scenarios can be
used, and they can be based not merely on hazard,
vulnerability, and impact but also on the design of
possible responses to meet special needs generated
by the predicted impact.
Where the consequences of future events are
not adequately known, and also for rare forms
of impact, plans need to be based on generic pro- Figure 4 Various complications to the process of operational
cedures rather than responding to the detailed planning
 Operational Plans 693

vulnerability, and cascading events. The Japanese that its behavior will be compliant with instruc-
earthquake, tsunami, and nuclear radiation release tions, utilize evacuation routes efficiently, and
of March 11, 2011, emphasized the importance activate reception centers or otherwise disperse
of taking these connections into account wherever the evacuees to safe locations. Evacuation must
possible. The tsunami had a more profound impact also be maintained and serviced for the dura-
than the earthquake that triggered it, and in the end tion of the emergency phase. This will require
it may be found that the nuclear contamination has the cooperation of various forces, including those
a more enduring effect than the tsunami. Hence, that are responsible for monitoring, forecasting,
the secondary effects can overshadow the primary and warning processes; those that deal with the
ones or the triggering event. Moreover, planning logistics of the evacuation; and those that manage
should tackle emerging risks as well as worka- information flows.
day contingencies and major incident and disaster Operational emergency planning has a natural
risks. For example, if pandemic influenza reached home in an emergency operations center (EOC).
levels comparable with the outbreak of 1918–19, This will probably be a bicameral structure,
which is perfectly possible in a future scenario, whose basis is an operations room (for commu-
then many of the most profound effects would be nicating decisions and actions) and a somewhat
socioeconomic rather than medical. Whether the quieter decision-making room, sometimes known
result of illness or fear of contamination, absentee- as the conference or situation room. Many EOCs
ism would affect the staffing of basic services. Pat- are larger, more complex structures that are mul-
terns of consumption and public association would tifunctional and may work around the clock. All
undergo radical mutations, which would greatly EOCs require autonomy in the face of possible
affect economic activities and put immense strains losses of basic utilities, such as electricity supplies
on welfare facilities. It is possible to make contin- and communications channels. The EOC will be
gency plans to deal with such eventualities, and connected to field command posts. In the equiva-
most of the ramifications of pandemic impacts can lent health system arrangements, the ambulance
be foreseen and modeled by scenario techniques. dispatch center and medical response command
However, planning for such cases requires vision center will be in direct communication with
and ingenuity. It also requires the commitment of field triage and first aid posts (advanced medical
resources, which governments are rarely willing to posts). The plan should ensure that lines of com-
concede, as they tend to view the likelihood of a mand and collaboration are well established and
catastrophic pandemic as extremely low. that they function well between these “nerve cen-
Whatever the type and scale of an emergency, ters” of the emergency response system.
the fundamental components of the operations
plan are resources, consisting of personnel and Conclusion
manpower; materials, consumable supplies, and The most efficient operations planning is generic
fuel; buildings; vehicles; equipment; and com- and hence is designed to tackle all kinds of haz-
munications. To these should be added structures ards. However, it may have special provisions for
and organizations, networks, and the assignment the most common and expected hazard impacts in
of tasks. These ingredients need to be connected the area of its jurisdiction. Whatever the adminis-
together by formally articulating relationships trative level at which a plan is pitched, it should
among participating organizations and by speci- aim to reinforce, not replace, local resources and
fying command structures, communications chan- to develop a state of local self-sufficiency. In a
nels, and the operating procedures that enable well-developed emergency response system, plans
these to function in crisis situations. For example, are the means by which disaster risk reduction is
the process of evacuation is one of the best means programmed and strategies are turned into real
of preserving human life in the face of major haz- achievements. Once again, it is the process, rather
ard impacts, providing there is sufficient lead time than the end result, that matters most. Planning
and there are the means to accomplish it. Evacu- focuses attention on the need to anticipate the
ation therefore requires the ability to detect a contingencies that will have to be dealt with when
threat and warn the evacuee population, ensure a real emergency happens. It reduces the need for
694 Operational Readiness

improvisation, which is usually an inefficient and Collins, Larry. Technical Rescue Operations:
wasteful means of dealing with the demands of the Planning, Training and Command. Vol. 1. Tulsa,
emergency. OK: PennWell Books, 2004.
An operations plan should be an instrument Federal Emergency Management Agency (FEMA).
designed to be applied to real problems whenever Producing Emergency Plans: A Guide to All-
needed. It should be a guide to actions rather than Hazard Emergency Operations Planning for
an absolute determinant of them. It should foster State, Territorial, Local, and Tribal Governments.
initiative rather than stifling it. This may mean Washington, DC: FEMA, 2008.
allowing sufficient space and leeway to impro- Perry, Ronald W. and Michael K. Lindell. Emergency
vise wherever this can “cut corners” and improve Planning. Hoboken, NJ: Wiley, 2007.
the efficiency of emergency responses. Moreover, Stallings, Michael and Whitney Faust. “Drafting,
it should be a living document that is constantly Revising, and Updating Local Emergency
subject to change as the real circumstances in Operations Plans: The National Response
the field change. Creation of the plan should be Framework and the Emergency Support
a cooperative effort that involves much consul- Function Annex Model.” Journal of Emergency
tation with stakeholders. Dissemination should Management, v.7 (2009).
involve training in how to activate and use the Webb, Gary R. and Francois-Regis Chevreau.
plan. Tabletop, in camera, and field exercises can “Planning to Improvise: The Importance of
be designed to test different aspects of the plan Creativity and Flexibility in Crisis Response.”
in terms of whether they are efficient provisions International Journal of Emergency Management,
for managing emergency situations. In the plan, v.3 (2006).
all participants should be given roles to fulfill,
and they should be aware of what they will be
expected to do when the plan is activated. Condi-
tions should be well specified for both the activa-
tion of the plan and the end-of-emergency stand- Operational Readiness
down procedure. The plan should also contain
clear provisions for updating it and repeating the Operational readiness (OR) in the military is the
dissemination and testing processes. capability of a unit or weapons system to carry
out the mission for which it is intended. Some-
David Alexander times it is referred to as combat readiness, and
Global Risk Forum, Davos it may be either a general term or graduated by
degrees. In some organizations, it is called opera-
See Also: Business Continuity Planning; Business tional acceptance testing (OAT). A related term is
Resumption Planning; Contingency Planning; Incident production readiness.
Action Plans; Pre-Impact Planning Process; Scenario
Planning; Strategic Plans. Military
Operational readiness in the world of military
Further Readings aircraft includes time in a simulator such as the
Abkowitz, Mark D. Operational Risk Management: P-3 with space for five crew members, The P-3
A Case Study Approach to Effective Planning and dates to the 1960s and is now out of produc-
Response. New York: John Wiley, 2008. tion, and at $36 million it is an expensive asset
Canton, Lucien G. “Emergency Plans: Are They to exercise in the real world, but it is a complex
Really Necessary? Five Steps to Better Response system with critical missions for which it must be
Operations.” Risk, Hazards and Crisis in Public operationally ready. Simulation is a more cost-
Policy, v.2 (2011). effective option. The realistic training environ-
Clark, Robin J. and Megan H. Timmins. “Continuity ment involves photo databases, communications
of Operations Planning: Meeting the Standard of links, target sensors, acoustic modeling, and, in
Care.” Journal of Emergency Management, v.6 general, total control of the training environment
(2008). by the observer/instructor. It allows monitoring
 Operational Readiness 695

of problems and scenarios, crew displays, and Software Development and Maintenance
replay/mission debrief. Rather than deploy in an Operational readiness is also a concern for software
expensive aircraft on an antisubmarine warfare developers. It is often a subpractice of release. As
or surveillance mission, the crew can remain at skeptics note, without OR, what results is “dead
home and simulate contact, weapons firing, and cat” syndrome—dead cats tossed over the partition
communications back to unit headquarters. to operations from solutions. The effective way to
ensure OR is to build it into all phases of software
Disaster Preparedness Activities development, from architecture through design,
For disasters and emergencies, operational readi- build, test, release, and evaluate. OR is not a major
ness is hard to sustain. OR depends on many com- investment of time or money but does require a
ponents. It begins with having adequate policy degree of formalization and suffers from inatten-
and procedures established, but it also involves tiveness. Checklists, as always, are invaluable in
having a survivable and functional emergency ensuring OR, whether of software or another asset.
operations center (EOC). An established EOC Although it takes time to get OR into the entire life
offers organizations benefits including on-the- cycle, it does happen, with checklists “iteratively
job skilled people, ongoing training, and exercise revisited” throughout the project. To work, it
capability. Most disaster preparedness organiza- should be somewhat flexible. Iteration after itera-
tions are located in areas where natural disasters tion of the same process through change cycles for
or human-made ones are fairly frequent, say every production items is cumbersome and undesirable;
couple of years over a 40-year stretch. Actual still, there needs to be some formal OR measure-
events train people in real-world actions, ensur- ment of changes or the credibility of the initial OR
ing that they are operationally ready. In the gaps documentation comes into question.
between real-world events, training and exercises One comment is that OR or OAT occurs only in
are essential, whether through national agencies’ the project life cycle and not in change to services
courses or elsewhere. and products already in production. Project man-
Above all, OR depends on frequent and regu- agers often see OAT as a bottleneck, something
lar meetings of those who will staff the EOC in expendable when schedules slip and due dates
event of a disaster. Monthly meetings are oppor- loom. Those who create the product are sensitive
tunities to review policy and procedure, plan- about OR because testing operational readiness
ning, and future events. Tabletop exercises can draws attention to deficiencies or shortcomings.
take place during some meetings, with EOC team Production items are rarely tested for OR because
members talking about how they would handle production change is too expensive.
a given scenario, what information they would
need, and what problems might arise. Also valu- Virtual Operational Readiness
able are disaster exercises to the level of testing Cloud computing is becoming more widespread,
the readiness of two or more EOCs, with com- and information technology (IT) organizations
munications between the two as the exercise and have to adjust and develop the appropriate opera-
Master Scenario Events List unfold. tional readiness. The technology is there for the
If an exercise is realistic enough, participants most part. What is most likely to cause a fail-
actually feel pressure and emotion, and it is easy ure are people and process. Cloud computing
to detect who can handle stress and who has requires new practices and structures. Successful
problems. Pre-announced exercises are better cloud computing requires changing organizational
than surprise ones because participants brush up structure and processes. People have to change as
on jobs and the overall organizational mission. well. It requires rethinking capacity management
Frequent exercises help bring newcomers up to of abstracted and pooled resources. Provisioning
speed (there are always newcomers as old-timers is different when the customer has self-service, on
retire or otherwise leave.) OR is an ongoing pro- demand capability. The cloud world is faster. Peo-
cess, not a straight line but a bumpy upward pro- ple and processes have to be appropriate, faster,
gression if done right, or a mountain range with and streamlined, and that means change or a loss
dangerous cliffs if neglected. of operational readiness.
696 Operational Readiness

OR applies to the cloud as well as to the desktop. ensure that facility design and procurement mesh
In both cases, the goal is to develop an application with staffing, operations, and maintenance for
suitable for use by others. It has to be operation- maximized life cycle cost-effectiveness. Other soft-
ally ready. For virtual applications, there are 12 ware ensures readiness of systems, organization,
mandatory principles, a checklist that cannot have support, supply, and maintenance. Readiness and
any missing checkmarks. Cloud companies pro- risk assessments are included, as are commission-
vide the service—for a fee. Green Hat has tools for ing and testing. Within the suite is operational
testing performance. Core Cloud Inspect evaluates readiness planning, which coordinates and devel-
security. Cloudkick monitors infrastructure. For a ops the integrated master plan to ensure that all
much larger fee, Novell and EMC will take care of critical start-up activities are ready to run when
the entire OR matter. For those on a tighter bud- the time comes. This is all in the UpFRONT oper-
get, the enterprise service provider has to evaluate ational readiness suite.
the proposed application through these principles. TPS is another operational readiness service
Functional testing has to be signed off on. Then provider. It seeks to make a smoother transition
there has to be a check for adequate capacity for from the built system to its use by real custom-
the specific task in mind, with flexibility, of course. ers. Its specialty is television. Operational analysis
Resiliency is also critical, with ability to compen- and workflow design reduce network downtime
sate for points of failure or less than perfect code and possible overstaffing. TPS begins at the proj-
without undue embarrassment or inconvenience. ect’s beginning and continues until the operators
The service has to be resilient, able to overcome are trained, at the end of the project, in the prod-
operator error, carelessness, or incompetence. uct, signal flow, and maintenance.
Reliability and scalability are important, as is At the beginning, during preliminary design,
security. The system also has to have been worked the OR team meets with systems integrators and
over beforehand to correct as many bottlenecks engineers to discuss all the subsystems. At the
and other errors as possible. It also has to have same time, business stakeholders have an oppor-
integrity, so that customers can be sure their data tunity to express their expectations, and the OR
are reliable, their files are available, and their data process ensures incorporation of the business
are secure. It also has to meet the terms of the ser- goals in the technology. Deficiencies may persist
vice agreement. The customer has to be sure that after these preliminaries, but the design phase is
performance is as specified. Automated measure- a second chance for economical adjustments and
ment and reporting provide assurance and oppor- corrections. Technical solutions are developed
tunity to revive a deficient service. with the operator in mind.
After establishing the general solutions, the
Software and Contractors next step is engineering design, with all potential
Fluor is in the business of making businesses processes formalized in workflows based on stan-
operationally ready. Fluor incorporates technol- dard business processes. Visual workflows allow
ogy to speed up implementation of new facilities operators to see where their portion takes place
and incorporates them into an existing business. and how it fits into the network group. Support-
Its system, named UpFRONT, manages commis- ing the workflow visuals are training courses spe-
sioning, start-up, turnover, preparation of the cific to the different job descriptions the project
organization and employees, and, in general, will require.
making sure that everything is done at the right Computer and information security training
time and finished on schedule. It even provides are the specialty of SANS. Working in coopera-
maintenance best practices to make the new asset tion with the Center for Internet Security, SANS
less expensive to run and to extend the life cycle. developed SCORE to work on best practices
The software is modular, allowing the owner to and benchmarks. SCORE emphasizes checklists
select only the parts deemed suitable, depending for operational readiness. Among the topics are
on the size and complexity of the facility. Ubuntu Linux, Windows 7, Firewalls, BSD, abd
Capacity planning entails siting and planning Web servers (Apache and IIS). Proposed checklists
of new facilities. Life cycle design support helps include Malicious File Investigation Procedures,
 Organizational Failure 697

malware analysis, malware analysis tools, virtual http://atos.net/en-us/Newsroom/en-us/Press_Re

machines, Microsoft 7 security, OS X security, leases/2012/2012_04_04_01.htm (Accessed May
and more. Checklists are seen by security profes- 2012).
sionals in all areas as an integral part of opera- Fluor. “Operational Readiness.” http://www.fluor.com
tional readiness measurement, and the variety of /business_segments/global_services/operations
available checklists is growing. _maintenance/pages/operational_readiness.aspx
The 2012 London Olympics and Paralympics (Accessed May 2012)
were other venues where operational readiness Hardiman, Nick. “Cloud Enterprise Applications: 12
was not to be taken lightly, not to be taken for Principles of Operational Readiness” (January 23,
granted. The vendor was Atos, a worldwide IT 2012). http://www.techrepublic.com/blog/datacen
company, and it had already completed the first ter/cloud-enterprise-applications-12-principles-of
of two planned technical rehearsals. Atos Business -operational-readiness/5265 (Accessed May 2012).
Technologists, LOCOG, and other technical ven- Holdeman, Eric. “Reaching for Elusive Operational
dors ran stringent tests of communications, media, Readiness” (April 14, 2011). http://www.emergen
IT, and security of the games and technology. The cymgmt.com/training/Reaching-Elusive-Operation
IT contract was the largest for any sports event al-Readiness-Opinion.html (Accessed May 2012).
ever, and testing ensured that Atos was ready for L-3 Communications. “P-3C Tactical Operational
any contingency—that its operational readiness at Readiness Trainer.” (2006). http://www.link.com
a peak. The first test involved over 300 IT workers /pdfs/P-3C_TORT_data_sheet.pdf (Accessed May
in simulations of game-related scenarios. ATOS 2012).
claimed to have performed over 200,000 hours SANS Institute. “Security Consensus Operational
of testing of the London IT systems, expected to Readiness Evaluation.” http://www.sans.org/score
handle 30 percent more information than any pre- (Accessed May 2012).
vious Games. The company touted the success of Vmware Professional Services. “VMware Operational
the first test. The real-event effort was expected to Readiness for Cloud Computing” (2012). http://
involve 900 servers, 1,000 security and network www.vmware.com/files/pdf/operational_readiness
devices, 10,000 computers, and 3,500 IT person- _for_cloud_computing.pdf (Accessed May 2012).
nel. A second test was due in May 2012. Wilson, Murray. “What Is Operational Readiness?”
(August 10, 2010). http://tpscorp.com/articles/2010
Conclusion /08/10/What-is-operational-readiness (Accessed
OR is not only a military term. It applies to all May 2012).
organizations that expect to remain competitive
and effective in performing their mission, satis-
fying their clients or customers, and doing the
right thing on time and in the right way. It is no
longer a simple do-it-yourself function, but there Organizational Failure
are firms ready and willing to support or actually
implement OR—if the price is right. Organizational failure generally refers to the
inability to achieve organizational goals or prede-
John H. Barnhill termined performance criteria. An organization is
Independent Scholar a complex system that relies on the relationships
within the organization and in its environment.
See Also: Contingency Planning; Disaster Recovery The interaction between organizational and envi-
Plan Test Cycle; Exercises; Operational Plans; ronmental factors is most likely to contribute to
Preparedness; Training. organizational failure.
Organizational failure is characterized by nega-
Further Readings tive indicators such as resource reduction, severe
Atos. “Atos Completes Its First Operational profit loss, loss of legitimacy, loss of market share,
Readiness Test for London 2012 Olympic and or exit from market. Characteristics of failure in
Paralympic Games.” Press release. (April 4, 2012). private and public sectors differ from each other.
698 Organizational Failure

Case Study: Organizational Failure During Hurricane Katrina

Hurricane Katrina collided with the Gulf Coast in Hurricane Katrina made landfall, officials from
August 2005 and was one of the strongest and different levels of government were still determining
deadliest hurricanes in the history of the United who was responsible for evacuation of victims.
States. Katrina’s wind speed reached 125 miles Lack of communication (or at least poor
per hour and destroyed roads, buildings, and other communication) among levels of governments and/
infrastructures. More than 1,800 people died or agencies was another problem closely related
during the hurricane and aftermath floods. to the inability to coordinate response. A lack of
Because the effect of Katrina spanned millions interoperable communication systems was cited
of people across a very large area, the scope of as the main reason for this systemic flaw, despite
the disaster was difficult to manage. Government the availability of funds. Disagreement among
response to Hurricane Katrina by agencies such local and state agencies contributed to problems
as the Federal Emergency Management Agency with interagency communication. These types of
(FEMA) was criticized for poor preparedness, communication errors caused delays in evacuation
lack of coordination among responding agencies, and relief efforts that resulted in loss of life and
information processing and sharing failures, and property.
leadership failures. The chaotic disaster response during and
Prior to the Katrina disaster, FEMA experienced after the hurricane was defined as a failure of
a structural change in 2003 and became part leadership in crisis management. Leaders of
of the Department of Homeland Security (DHS), federal emergency management were accused
which had a broader mission than FEMA. As a of lacking knowledge, expertise, experience, and
result, FEMA’s mission became clouded, as its main leadership skills. Michael Chertoff, secretary of
focus shifted from natural disaster preparedness DHS, was made responsible by President George
to counterterrorism. This policy brought reduction W. Bush for coordination of response to Katrina.
of the federal government’s involvement in natural He directed Michael Brown, director of FEMA from
disasters. As an indicator of this policy change, 2003, to coordinate response efforts at all levels
more than two-thirds of grants distributed by FEMA of government and organize governmental and
went to counterterrorism. The National Response nongovernmental resources in the disaster area.
Plan at the time minimized the role of the federal Brown lacked experience in the field of crisis and
government and indicated that disasters should be emergency management. He was criticized for
handled by the lowest level of government possible. not coordinating the network of governmental and
Consequently, the new policy left disaster response nongovernmental organizations that were prepared
in the hands of local and state governments and to respond to the event. He was recalled to
resulted in poor preparedness for natural events at Washington, D.C., and a few days later he resigned.
the federal level. This “pull system,” where local Since this breakdown in emergency response,
governments were mandated by policy to respond FEMA has been under new leadership.
first while the federal emergency system was Emergency management organizations learned
limited to a coordinating role, was in place when several lessons from failure of the response to
the hurricane disaster occurred. The pull system Katrina. The scope of Hurricane Katrina was
failed when Katrina wiped out the infrastructure beyond the capacity of all levels of government
for lower-level governments to call for aid. Officials agencies. Being prepared and building capacity
admitted later that response to the disaster was for natural disasters at this scope is essential for
beyond the abilities even of federal agencies. various levels of organizations. It was explicitly
Minimum involvement, or the pull policy of the seen that the pull system did not work during
federal government brought lack of coordination the Katrina disaster, even though it might be
among different levels of government, private, appropriate in an event smaller in scale. One
and nongovernmental agencies. One week after of the most important problems recognized in
 Organizational Failure 699

response to Katrina was lack of coordination among in effective communication. Management and
agencies. The responsibility and mission of the leadership of emergency governance were harshly
federal government in natural disasters needs to be criticized by the public and the media during and
specifically determined in advance. Furthermore, right after the disaster. Crisis management requires
organizations learned that interoperability of a flexible leadership structure that is adaptive to
communication systems is one of the key issues contingencies of the event.

In both sectors, organizations that manage to approach. As these “status quo” leaders gain in
remain solvent during these conditions can expe- seniority, they are prone to believe that they are
rience positive benefits from their shared experi- no longer vulnerable to risks and make decisions
ence of learning through failure. Recognizing the without seeking alternative courses of action. The
latent factors that contribute to organizational unintended consequences of decisions made with-
failure is vital to critical response that may be out careful analysis, information from external
required to prevent failure. resources, and feedback from lower levels of the
organization may further jeopardize organiza-
Factors Leading to Organizational Failure tional stability. As a result, latent conditions make
Environmental and organizational conditions organizations vulnerable to external and internal
are the two main factors contributing to orga- damages and thus trigger actual failures.
nizational failure. First, organizations are faced Together, the accumulated interaction of the
with external environmental conditions that may consequences of latent organizational and envi-
be beyond their ability to predict. For example, ronmental conditions may elicit further failure.
radical changes in the environment, such as the For instance, bad leadership decisions are more
market entry of a giant corporation to a specific likely to cause failure when the environment is
industry, may result in failure for smaller organi- turbulent, but they are less likely to cause decline
zations unable to develop strategies that can com- when the organization is in a stable environment.
pete with the giant’s capacity to achieve higher Consequently, these two dimensions of a complex
volumes and therefore lower prices. The uncer- system rarely independently cause a direct impact
tain impact of rapidly changing technology and on organizational status. However, financial cri-
resource limitations that may prohibit its pur- sis (external) or corruption (internal) within the
chase can also reduce an organization’s ability to organization may be extreme examples of how
survive. Although organizations may be exposed one factor may have a direct impact.
to the same external pressures and environmental
conditions, why some organizations decline and Analysis of Organizational Failures
others manage to survive may be explained by the Attempts to predict actual failure have relied on
interaction with the second factor—internal orga- quantitative measures that are useful to predict an
nizational conditions. actual failure but are not preventive, thus allow-
Internal organizational conditions can be ing failures to occur. Next, review of an organi-
assessed by latent conditions such as leadership zational failure begins with a gap analysis, where
style and employee response to their decisions. flawed or broken components in a process or indi-
Leadership style is an example of an underly- viduals who inappropriately applied an existing
ing condition that may lay the foundation for process can be accused of causing the failure. This
actual failure but is not directly related to fail- “bad actor” approach does not accurately repre-
ure. For example, leaders who tend to stick with sent the interdependence of an organization that
known routine procedures may not be adequate must act in harmony and ignores the complex-
to adapt the organization through environmental ity of organizations, systems, and technologies.
changes that require a radically different strategic Hence, a methodology that recognizes the impact
700 Organizational Failure

of organizational latent conditions in response to different. Disaster response and relief organizations
external environmental stressors is necessary to are generally less responsive to criticism during the
deter organizational failure. early stages of operations, when emotional exhaus-
tion and stress are high among personnel of the
Failure in Public Versus Private Organizations emergency management organization. Addition-
Organizational failures can be expected to differ ally, crisis management organizations learn from
between public and private organizations because failures during response to extreme events that are
of the variance in mission objectives in these two rare and different in type. For example, after the
sectors. The primary goal of a private organiza- response to a hurricane, crisis management agen-
tion can be defined as maximizing profit and/or cies intensify their efforts to understand and evalu-
market share in the industry, among many com- ate their failures in response to the event. Next,
petitors. If a private organization is unable to their focus changes when a different kind of event
compete, a macro failure (e.g., market exit, sud- (e.g., oil spill, earthquake) occurs. The pattern of
den decline in revenue for owners who funded the learning in this area occurs event by event, in dif-
business) may result, since low performance is not ferent categories. The events or failures in response
sustainable in a competitive environment. A pub- to events lead organizations to develop a method or
lic organization’s concern is not related to profit- pattern of procedures. The pattern learned through
ability or market share but rather to providing a a prior event is then applied as necessary to the
necessary service or product to a vulnerable pop- next disaster. For example, the Federal Emergency
ulation. Therefore, a majority of public agencies Management Agency (FEMA) and American Red
are monopolies in their environment. In a public Cross encountered several problems in 1989 dur-
agency, poor performance tends to be accepted as ing responses to a hurricane and an earthquake in
micro failure because total exit from the sector is separate locations. After these organizations were
not an option. Performance is difficult to assess, the target of intense public and media criticism,
as public resources can be used to maintain the they examined to what degree they were prepared
organization during failure. Lenient measures for such events and measured their effectiveness in
such as reorganization are favorable options for their relief operations. As a result, their next major
failed public organizations. crisis response was improved, and more positive
assessments occurred.
Failure as a Learning Opportunity
The failures of an organization, as well as others in Hidayet Tasdoven
a similar field of operation, can provide a signifi- Independent Scholar
cant learning opportunity. One method known to Abdurrahim Emhan
increase organizational learning is receiving feed- Dicle University
back. When feedback comes from outside the orga-
nization, likelihood of objectivity and accuracy of See Also: Federal Emergency Management Agency
feedback are increased. Accurate and rapid feed- (FEMA); Hurricanes, Typhoons, and Cyclones;
back can improve organizational learning. How- Interoperability; Political and Organizational
ever, organizational willingness to accept feedback Leadership; Preparedness.
is critical. Knowledge obtained from shared orga-
nizational failures and successes should be shared Further Readings
among members of the organization in order to Carley, K. M., et al. “Organizational Learning Under
create organizational memory. Organizations that Fire: Theory and Practice.”American Behavioral
are unable to retain their accumulated knowledge Scientist, v.40/3 (1997).
are more likely to experience loss of organizational Farazmand, A. “Learning From the Katrina Crisis:
memory and to repeat past failures. A Global and International Perspective With
This organizational learning framework is Implications for Future Crisis Management.”
also valid for crisis management organizations. Public Administration Review, v.67 (2007).
These organizations learn from their failures like Martorana, P. “Group Dynamics in Top Management
any other organization, but the process is slightly Teams: Groupthink, Vigilance, and Alternative
 Overfishing 701

Models of Organizational Failure and Success.” opportunities and ecological disruption, which
Organizational Behavior and Human Decision can lead to the severe depletion of certain fish
Process, v.73 (1998). species and, in some cases, their extinction, The
Mellahi, K. and A. Wilkinson.“Organizational 1970s’ Peruvian anchovy crash, 1980s’ North
Failure: A Critique of Recent Research and a Sea herring collapse, and 1990s’ Atlantic cod col-
Proposed Integrative Framework.” International lapse were disastrous events that greatly affected
Journal of Management Reviews, v.5/6 (2004). the local economy and harvests.
Morris, John C. “Whither FEMA? Hurricane Katrina By the late 1980s, 90 million metric tons of
and FEMA’s Response to the Gulf Coast.” Public catch had been removed from the oceans. As a
Works Management and Policy, v.10/4 (2006). result, fishing stocks have failed to recover, and
the low availability of traditional fish stocks and
the decline of major predators such as Bluefin tuna
and Chilean sea bass have forced fishermen to
fish further down the food chain, often in deeper
Overfishing waters, depriving other marine animals such as
seabirds and seals of a regular source of food.
Once considered to be a renewable resource, over Government subsidies and policies led to a rise
80 percent of fish stocks are now fully exploited, of large-scale commercial trawlers, some capable
overexploited, or significantly depleted. This of landing over 250 million tons of fish. Inter-
decline has resulted in overfishing becoming one national territorial fishing disputes, such as the
of the most pressing global environmental issues in 1950s’ Icelandic cod wars and the long-running
recent decades. Many governments have acknowl- mackerel dispute between Iceland/Faroe Islands
edged and identified the difficulties within their and the European Union (EU), have occurred
fishing industries and have implemented an array constantly between neighboring countries over
of management techniques in order to restore fish fishing rights.
stocks and protect and preserve existing fisheries Recognizing a growing crisis, in the 1970s
that are in danger of declining. coastal nations established and enforced a 200-
Overfishing can be generally defined as the mile exclusive economic zone. The EU’s Common
fishing of a body of water to such an extent that Fisheries Policy was introduced in 1983 in order to
the fish population cannot produce maximum manage the fish stocks of the EU by setting quotas
sustainable yield on a long-term basis. Growing as to how much fish member states are allowed to
world populations have led to the demand for catch. Critics have accused politicians of subsid-
seafood more than doubling in the last 30 years. ing more fishing fleets than required, ignoring sci-
This demand—together with the rise of illegal, entific recommendations, and introducing fishing
unreported, and unregulated (IUU) fishing; poor policies that are only a short-term solution.
fisheries management; destructive fishing meth- A range of management practices to restore
ods; and greater exploitation of the world’s fish- and sustainably manage fish stocks have been uti-
eries—is driving some fish species to the brink of lized globally by governments and environmental
extinction. A 2006 study of bycatch data by the organizations. Limiting/reducing landing quotas,
journal Science concluded that if fishing rates con- equipment restrictions, no-fish zones, protec-
tinue at the current rate, all fish stocks will col- tion of breeding hot spots, expansion of marine
lapse by 2048. Approximately $50 billion a year reserves, local community management, and con-
is lost from the global economy through depleted sumer pressure and awareness are just some of the
stocks and poor management. most common methods being utilized. Since 1999,
The global fishing industry sustains coastal China has banned fishing in the South China Sea
communities through employment opportuni- during the summer months. In 2010, the Pacific
ties and by providing a valuable source of pro- nations imposed a two-year ban on commercial
tein for local communities. Overfishing has sev- tuna fishing in the Pacific high seas. The seas have
eral knock-on effects and can lead to greater recently reopened with limited access to trawl-
crises, including reduced economic and social ers in order to keep stocks at a sustainable level.
702 Overfishing

A catch of Alaskan walleye pollock is dumped onto a sorting table onboard the National Oceanic and Atmospheric Administration ship
Miller Freeman during a stock and food source assessment in September 2007. Although quotas have largely addressed the problem of
human overfishing of Alaska pollock, burgeoning world populations have doubled the demand for seafood over the last three decades.
That demand, along with illegal fishing and poor management and fishing methods has led to some fish species being near extinction.

Bulgaria has imposed a four-year ban lasting until depriving local fisheries of economic opportu-
2016 on sturgeon fishing in the Danube River and nities, undermining legal fishing practices, and
in the Black Sea. No-take fish zones established in jeopardizing recovery measures put in place to
the Cabo Pulmo Marine National Park have seen protect fish stocks. Greater numbers of illegally
fish numbers increase 460 percent from 2001 lev- caught abalone are confiscated from poachers
els. A recent international study of 42 coral reef than legally caught by fishermen in South Africa.
fisheries by the Wildlife Conservation Society and The Food and Agriculture Organization of
other members concluded that local level coman- the United Nations (FAO) released an interna-
agement of fisheries can curb overfishing and tional plan of action in 2001 to prevent, deter,
benefit local users. Sustainable fisheries provide and eliminate IUU fishing. In 2010, the EU intro-
many benefits, including greater food security and duced a new regulation to combat IUU fishing
economic and social opportunities. Restoring fish and counter the import of IUU fish products into
stocks in the EU has been valued at 2.7 billion the European Union. Despite strong management
pounds a year and would result in the creation of practices and strengthened law enforcement,
more than 100,000 jobs. enforcing these measures can still prove prob-
However, as the demand for seafood continues lematic. Many trawlers use sophisticated logis-
to increase, IUU fishing is becoming a common tics and technologies to evade port authorities, so
occurrence in developing countries and particu- IUU fishing tends to favor poorer nations where
larly in west Africa. IUU fishing is estimated to there is a lack of policing and resources to detect
bring in seafood worth over $10 billion a year, IUU fishing trawlers.
 Overgrazing 703

Overfishing has been recognized as a grave ungulates both wild (giraffe, moose, rhinoceros,
environmental problem that has threatened liveli- deer, gazelle) and domesticated (horse, cattle,
hoods and jobs. Overfishing can be better com- goats, pigs, sheep), is unsustainable and causes
bated by imposing restrictions on landing quotas, irreversible ecosystem damage. Globally, damage
creating greater regulatory control and enforce- caused by overgrazing is estimated at 1.7 billion
ment, and establishing no-fishing exclusion zones acres (680 million hectares), and approximately
and marine parks. Governments have responded 20 percent of the pasture and rangelands world-
to the crisis by taking preventive measures aimed wide have been degraded. The most significant
at restoring and protecting existing fisheries, and land loss is in Asia, and it is especially pronounced
several documented case studies are emerging in Africa.
where fish stocks have returned to acceptable lev-
els. However, IUU fishing and unsustainable fish- Causes
ing techniques are still frequent occurrences in the Overgrazing is caused by inappropriate grazing
fishing industry, and their impacts are undermin- practices, such as high animal-to-land density on
ing the efforts of conservation schemes. a parcel of land for extended periods, that inhibit
vegetation cover in combination with poor land
Cher N. Peterson management (e.g., lack of vegetation rotation,
Independent Scholar grazing during inappropriate vegetation life cycle
and productivity, inappropriate species, grazing
See Also: Border Disputes; Global Food Crisis; on lands that are poor for grazing or have pre-
Global Warming; Overgrazing; Sustainability. viously been degraded by grazing). Land man-
agement is more critical because a few ungulates
Further Readings can overgraze an area if not managed properly.
Agnew, D. J., J. Pearce, G. Pramod, T. Peatman, and Similarly, if the land is properly managed, a large
R. Watson, et al. “Estimating the Worldwide Extent population of ungulates could live on a parcel of
of Illegal Fishing.” PLoS ONE, v.4/2 (2009). land without the damage of overgrazing occur-
Botsford, L. W., J. C. Castilla, and C. H. Peterson. ring. Management of land is limited by access to
“The Management of Fisheries and Marine suitable rangelands, competition with agricul-
Ecosystems.” Science, v.277 (1997). tural land, and available water resources, all of
Clover, C. The End of the Line. London: Ebury Press, which cause grazing ungulates to utilize the mar-
2004. ginal lands.
Food and Agriculture Organization of the United
Nations (FAO). The State of World Fisheries and Overgrazing Effects
Aquaculture 2008. Rome: FAO, 2008. The effects of overgrazing on the natural vege-
Freitas, B., L. Delagran, E. Griffin, K. L. Miller, tation are frequently irreversible, and the prac-
and M. Hirschfield. Too Few Fish: A Regional tice significantly contributes to loss of topsoil,
Assessment of the World’s Fisheries. Washington, increased surface runoff, desertification, and the
DC: Oceana, 2008. loss of biodiversity. The main ecological effect
International Sustainability Unit. Towards Global of overgrazing is the loss of vegetation cover as
Sustainable Fisheries. London: ISU, 2012. a result of inappropriate grazing, especially in
temperate and tropical highland savannas and
drylands (i.e., semi-desert, grassland, and range-
land) located primarily in the global south. These
savannas and drylands are home to some of the
Overgrazing most impoverished people in the world. The prac-
tice of overgrazing allows the population to raise
Overgrazing is a type of environmental degrada- food in the short term, but the fragility of the
tion that results in the loss of productive capacity drylands’ ecosystems results in the limited vege-
of the grazing or pasture land. Overgrazing occurs tation being significantly degraded, which results
when grazing of the vegetation cover, primarily by in topsoil loss, and the areas then become prone
704 Overgrazing

to erosion, making it difficult for the people to fragile temperate and tropical highland savannas
utilize the local resources. and drylands are very susceptible to desertifica-
Overgrazing reduces or removes the amount tion, which causes irreversible degradation of the
of vegetation of a pastureland and is detrimental entire pastureland ecosystem. For example, the
to the habitat and ecosystem. For example, the removal of vegetation exposes the soil to direct
grazing ungulates do not eat all the vegetation; sunlight, resulting in drought conditions, and
instead, they selectively graze the most edible spe- the nutrient-rich topsoil becomes lost to wind
cies and leave weeds and the least edible species. and surface runoff. The regions most affected by
The noneaten species become the dominant spe- desertification resulting from overgrazing are the
cies for the ecosystem, resulting in the land being drylands. The persistent environmental degrada-
less suitable for future grazing. Aside from the tion and deficient soil make it difficult for local
proliferation of unwanted plants, the overall loss populations to utilize pasturelands because they
of vegetation causes reduced groundcover and the become barren wastelands.
plants being distributed more sparsely. The loss of vegetation and topsoil, surface
Overgrazing is damaging to the soil because runoff, and desertification result in significant
of the loss of vegetation and because the soil biodiversity loss. Overgrazing in these special-
becomes compacted by the grazing ungulates. ized microhabitats results in specific plant species
The loss or reduction of vegetation results in the becoming threatened and even extinct, as well as
soil being exposed to higher temperatures via giving rise to the proliferation of alien species and
direct sunlight, and many species die off. Many further loss of plant biodiversity. The ungulates’
of the remaining and subsequent plant genera- selective grazing of the most edible species and
tions have shallow root systems, which in turn leaving weeds and the least edible species is a sig-
diminishes the soil’s ability to hold down the nificant contribution to the disruption to plant
soil, making it vulnerable to wind and water ero- biodiversity. Once plant or animal species are lost,
sion. The compact soil makes it more difficult it is nearly impossible to reestablish them, even
for future plant generations to grow. The loss though most of the degradation of overgrazing is
of vegetation decreases the amount of organic caused by domesticated ungulates. Overgrazing
material (e.g., humus) available for replenishing degradation of wild ungulates is caused primarily
the soil with nutrients. Ultimately, the damage by the loss of apex predators (i.e., foxes, bears,
to the topsoil results in the pastureland becom- lions, wolves, coyotes, tigers, wolverines, and big
ing a barren wasteland. In addition, the loss of cats [cheetah, jaguars, cougars, lynx, leopards]).
vegetation concentration, soil degradation, and The loss of apex predators is significant to the
shallow root systems result in the cultivation of biodiversity of an ecosystem; it can result in wild
seral communities and make the degraded graz- animals overgrazing fragile ecosystems and caus-
ing lands susceptible to fires. ing permanent damage. Without land manage-
The losses of vegetation and topsoil are the ment, overgrazing can become irreversible, result-
means for increased wind and precipitation ero- ing in the land becoming barren and unusable as a
sion. The limited ground cover with a shallow result of desertification and the loss of vegetation,
root system is unable to maintain or replenish the topsoil, and biodiversity. Appropriate land man-
water table. The loss of vegetation results in the agement is the primary means to prevent over-
soil being unable to absorb heavy precipitation, grazing from transforming the land into a waste-
and the nutrient-rich topsoil is eroded or washed land. If overgrazing results in the land becoming
away. Without sufficient ground cover, the barren or a wasteland, the process is irreversible.
unabated runoff can result in floods. Ultimately, Once the damage reaches an irreversible state, the
the loss of water cycle results in the land becom- management of the crisis requires the relocation
ing a barren wasteland as well as the surrounding of people or significant importation of food for
area being prone to periodic flooding. their survival.
The high density of livestock and the loss of
vegetation and topsoil as a result of overgrazing Andrew Hund
significantly contribute to desertification. The Umea University
 Overpopulation 705

See Also: Climate Change Adaptation; Global Food countries from 2000 to 2050 will be 434 per-
Crisis; Global Warming: Sustainability. cent for Uganda, 334 percent for Ethiopia, 224
percent for Nigeria, 209 percent for Democratic
Further Readings Republic of the Congo, 91 percent for Pakistan,
Bainbridge, D. A Guide for Desert and Dryland 89 percent for Bangladesh, 65 percent for India,
Restoration: New Hope for Arid Lands. 50 percent for the United States, and 3.17 per-
Washington, DC: Island Press, 2007. cent for China.
Jayalaxshmi, M. and A. Berardi. Savannas and Dry By 2050, the 10 most populated areas will be
Forests: Linking People With Nature. Surrey, UK: India (1.6 billion), China (1.4 billion), United
Ashgate, 2006. States (439 million), Pakistan (309 million),
Whisenant, S. Repairing Damaged Wildlands: A Indonesia (280 million), Nigeria (259 million),
Process-Orientated, Landscape-Scale Approach. Bangladesh (258 million), Brazil (245 million),
Cambridge: Cambridge University Press, 1999. Democratic Republic of the Congo (189 million),
and Ethiopia (185 million). Russia is projected
to decrease to 109 million and Japan to 93 mil-
lion. Of the projected 9 billion world popula-
tion by 2050, Asian countries will account for
Overpopulation almost half (47 percent), with 5.2 billion people,
followed by African countries accounting for 21
Population growth is the result of fertility, mor- percent or 1.9 billion people. Europe is projected
tality, and migration. The population by itself is to have 674 million, Latin America and Carib-
not problematic until the population exceeds the bean nations 765 million, and North America
carrying capacity of an environment. Regardless 448 million.
whether there is a high or low population density,
the number of people of a given area is only prob- Crude Birth Rate and Total Fertility Rate
lematic if resources are insufficient. By definition, There are a couple of indicators for estimating
overpopulation occurs when a population has the population. The first is the crude birth rate
exceeded basic living standards of food, water, (CBR), which is calculated by taking the number
and shelter. Overpopulation is a combination of of births in a given period (typically a year) and
births, deaths, immigration, resource depletion, dividing it by the total population and then mul-
and environmental degradation. The popula- tiplying that result by 1,000. A CBR is displayed
tion and fertility rates create the consequences of as the rate per 1,000 people. For example, China’s
resource depletion and vice versa. CBR is 12.29 per 1,000, while Nigeria’s is 35.51
per 1,000. CBR is considered a less precise fer-
Total Population tility estimate tool because it can be skewed by
The world’s population is just over 7 billion the age distribution and the total population. The
people and growing at about 80 million people total fertility rate (TFR) is another indicator for
per year. It is estimated that the global popula- estimating population. The TFR is more precise
tion will reach 9.2 billion (range 8–10.6 billion) because it is an average approximation of chil-
by 2050. Of the 7 billion people on the planet, dren born per woman during her entire reproduc-
approximately 4 billion, or 57 percent, live in tive years (e.g., menarche to menopause) rather
10 countries: China (1.3 billion), India (1.2 bil- than the total population, which could include
lion), United States (314 million), Indonesia (240 many people not of reproductive age. The TFR is
million), Brazil (195 million), Pakistan (179 mil- considered a more direct means to measure popu-
lion), Bangladesh (158 million), Nigeria (155 mil- lation change in a state, a country, or the world.
lion), Russia (142 million), and Japan (127 mil- The 2050 population projection of 9 bil-
lion). Six of the most populated countries, along lion (a medium variant prediction) is based on
with three additional countries, will account for the assumption that the global fertility rate will
about half of the world’s projected population decrease from 2.5 children per woman to 2 chil-
growth by 2050. The growth rates of these nine dren per woman. If the fertility rate is slightly
706 Overpopulation

higher, the global population will reach 10.6 bil- are Iran (1.87), Qatar (1.93), Algeria (1.74), and
lion people by 2050 (a high variant prediction). Lebanon (1.76). Countries near zero population
These projections also assume that mortality rates growth are Macau (0.92) and Singapore (0.78).
will remain stable or unchanged. A TFR of around By 2050, over 50 countries will have populations
two children per woman is called “replacement” lower than they had in 2005. Some countries,
and is considered the “magic number” for popu- such as Australia, Canada, New Zealand, and the
lation growth, which will result in the total popu- United States, have been at or below replacement
lation stabilizing by 2050. Presently, the global for many years, but because of immigration, their
TFR is 2.47 children per woman, and the popula- populations are growing. Global population is
tion is growing. projected to stabilize at 9 billion people by 2075
Globally, fertility rates have been declining as a result of declining fertility rates.
since 1950. For example, from 1950 to 1955, the
global fertility rate was five children per woman, Effects of Overpopulation
and this dropped to 2.65 children per woman The effects of human overpopulation are consid-
during 2000–05. Presently, the lowest TFR is in erable. Once the population grows beyond the
Singapore, at 0.78, and the highest is in Niger, at carrying capacity of its location, the social system
7.52. The nine countries with the highest popula- can break down. When the population exceeds
tion growth are Uganda with a TFR of 6.65, Ethi- the resources, living conditions and environmen-
opia (5.97), Nigeria (5.38), Democratic Republic tal degradation become noticeable. The insuffi-
of the Congo (5.09), Pakistan (3.07), India (2.58), cient resources of a given population can be food,
Bangladesh (2.55), United States (2.06), and China water, shelter, and the ability to stay warm. Over-
(1.55). The fertility rate varies by geographical population results in the increased depletion of
region. For example, in North America, the TFR natural resources, such as fossil fuels, forests, ara-
ranges from 1.99 to 3.47. Other regions and their ble land, fisheries, and plant and animal species.
TFRs are Central America (2.66 to 6.38), South The depletion of resources increases problems of
America (2.49 to 5.75), Europe (1.41 to 2.66), living by increasing pollution in the air, land, and
sub-Saharan Africa (5.53 to 6.7), Middle East soil. Environmental degradation results in lower
and North Africa (3.37 to 6.99), Oceania (2.3 to quantities of drinkable water and food and can
3.87), and Asia (2.43 to 5.85). create unhygienic conditions in which new epi-
Current projections are that the TFR will reach demics can occur. Some other characteristics of
replacement by 2050, providing that the more overpopulation are increased poverty (especially
developed countries’ fertility rates remain stable. among children), higher fertility rates, reduced
The only regions estimated to have TFRs above overall health, decreased life expectancy, poor
replacement by 2050 are sub-Saharan Africa diet/malnutrition, and decreased literacy. These
(2.61) and the Middle East and North Africa conditions can result in social unrest, conflicts,
(2.09). Countries with the highest fertility rates and even war resulting from scarce resources, lack
are also the poorest, such as Afghanistan (5.64), of available land, overcrowding, and/or unsta-
Niger (7.52), Burundi (6.08), Mozambique ble governments. Some critics argue that pres-
(5.40), Burkina Faso (6.07), and Yemen (4.45). ently overpopulation is not a problem because
Afghanistan, Nigeria, and Yemen are expected to we have enough resources to feed everyone, and
triple in population by 2050. that instead we have a food distribution problem.
Globally, half of the countries are below Whether or not there are resources for an addi-
replacement levels, such as Russia (1.54), Japan tional three billion people is open for discussion.
(1.37), South Korea (1.23), western European
countries (e.g., Hungary [1.41], Italy [1.4], Spain Andrew Hund
[1.48]) and eastern European counties (e.g., Umea University
Bosnia and Herzegovina [1.28], Ukraine [1.29],
Lithuania [1.27]). Overall, these populations are See Also: Carrying Capacity; Epidemics; Food
expected to decline 20–30 percent by 2050. Some Security; Freshwater Demands and Shortages;
Middle Eastern countries just below replacement Poverty; Sustainability.
 Ozone Layer Depletion 707

Further Readings atoms bonds with another oxygen molecule (O2) to

Brown, L., G. Gardner, and B. Halweil. Beyond create ozone (O3). However, ozone is unstable and
Malthus: Nineteen Dimensions of the Population is easily broken up by trace elements. A synthetic
Challenge. New York: W. W. Norton, 1999. chemical invented in the 1920s, chlorofluorocar-
Farrell, C. World Population. Minneapolis, MN: bon (CFC), made its way into the stratosphere,
Abdo Publishing, 2011. where UV radiation broke its molecular bond. This
Livi-Bacci, A. A Concise History of World released chlorine atoms that then stole an oxygen
Population. 4th ed. Oxford: Wiley-Blackwell, atom away from ozone, a process that destroyed
2006. enough ozone to thin the layer and produce what
we now refer to as the hole in the ozone layer.
The hole in the ozone layer (actually a substan-
tial thinning of the layer) has occurred every spring
since the 1970s over Antarctica, as announced in
Ozone Layer Depletion May 1985 by the British Antarctic Survey. This
shocking announcement described that CFC was
The depletion of the ozone layer in the strato- the culprit as it accumulated and concentrated
sphere of Earth’s atmosphere was an alarming side in the atmosphere above Antarctica each winter,
effect produced by the use of new synthetic chem- when the circumpolar vortex prevented mixing of
icals in the late 20th century. Because the ozone air to dilute the concentration and very low tem-
layer absorbs incoming ultraviolet (UV) radiation peratures made sensitivity to inorganic chlorine
from the sun, there was great concern about the increase. Each Antarctic spring and early summer,
potential health effects of increased UV exposure. as the atmosphere above Antarctica was exposed
To address this crisis, the first universally rati- again to sunlight and UV radiation, the CFCs
fied global environmental treaty was established would break down and the free chlorine atoms
in 1987, the Montreal Protocol. Quick, global would break down ozone molecules, thinning the
action to reduce and eliminate ozone-depleting ozone layer by as much as 65 percent.
substances provided a successful crisis manage- The discovery of the thinning of the ozone
ment strategy to slow and eventually stop the layer was alarming to scientists and the public
depletion of Earth’s ozone layer. because it was not expected in the Antarctic, and
Ozone (O3) is an important gas in Earth’s it illustrated that humans can have a profound
atmosphere. Though considered a pollut- impact on Earth’s atmosphere in a relatively short
ant near the surface in the troposphere, ozone time span. This discovery led to a global agree-
found in the ozone layer between 9.3 and 18.6 ment, the Montreal Protocol of 1987, which was
miles (15 and 30 kilometers) above Earth’s sur- a remarkably rapid and successful global crisis
face in the stratosphere is considered beneficial management solution. The Montreal Protocol
because it absorbs large amounts of incoming established goals and timelines to phase out the
high-frequency ultraviolet radiation from the use of CFCs and other ozone-depleting chemi-
sun. Increased exposure to ultraviolet radiation cals such as halons, hydrochlorofluorocarbons
raises the incidence of skin cancer and cataracts (HCFCs), and methyl bromide and to restore the
in humans, and it produces damage to other ani- stratospheric ozone layer. It was the first United
mals and plants, including reduced crop yields. Nations treaty that every member country signed.
Over the past 30 years, the incidence of skin can- The Montreal Protocol has proven to be a suc-
cer has increased significantly, from 1 in 1,500 cessful agreement to phase out ozone-destroying
to 1 in 75. The risk to human health helped spur chemicals by substituting other, ozone-friendly
a crisis management approach to address this substances and chemicals, mainly in refrigerants,
important environmental issue. aerosol propellants, solvents, fire extinguishers,
Ozone occurs naturally in Earth’s atmosphere fumigants, and other industrial products. It is
when an oxygen molecule (O2) is broken down arguably the most successful global environmen-
into two free atoms of oxygen (O) by sunlight in tal agreement ever ratified. In the United States,
the high atmosphere, and then one of those free the Environmental Protection Agency developed
708 Ozone Layer Depletion

a flexible plan to phase out these chemicals by Many see the global crisis management strat-
substituting other, less harmful, chemicals, and egy, the Montreal Protocol, as a blueprint for a
the United States met its goals successfully. The possible way to address climate change concerns
Clean Air Act was amended in the United States and reduce the concentration of greenhouse gases
in 1990 and 1998 to protect the ozone layer. The in the atmosphere. However, the political lead-
success of this plan has been attributed to scien- ership, fossil fuel alternatives, and dire human
tific accuracy, effective public policy, and market- health consequences needed to spur action are
based, flexible, innovative solutions and alterna- not perceived as certain, severe, or imminent by
tives to ozone-depleting substances. many countries. Therefore, an effective global cri-
Although the thinning of the ozone has been sis management strategy to address global warm-
halted, the stratospheric ozone layer will not be ing has remained elusive.
fully repaired until approximately 2075 because
many of the halocarbons (such as CFCs) have a Jamie D. Mitchem
long residence time (50–100 years) in the atmo- Gainesville State College
sphere. In addition, notable thinning is now
observed over the Antarctic and the Arctic dur- See Also: Climate Change Adaptation; Environment
ing their respective springs until concentrations Programme, UN (UNEP); Environmental
of ozone-depleting substances have time to be Contamination; Global Warming; National Oceanic
removed from the atmosphere. Therefore, edu- and Atmospheric Administration (NOAA).
cating the public about the dangers of high UV
radiation exposure and techniques to reduce Further Readings
exposure such as staying indoors, using protec- Farman, J. C., B. G. Gardiner, and J. D. Shanklin.
tive clothing, and applying sunscreen will remain “Large Losses of Total Ozone in Antarctica Reveal
important for decades to come. Seasonal ClOx/NOx Interaction.” Nature, 315
Another recent concern is that CFCs and (1985).
HCFCs are also greenhouse gases, though not as Handwerk, Brian. “Whatever Happened to the Ozone
pervasive as others such as methane and carbon Hole?” National Geographic News (2010). http://
dioxide. In addition, the thickening of the ozone news.nationalgeographic.com/news/2010/05/100
layer as it recovers means less UV radiation will 505-science-environment-ozone-hole-25-years
reach the surface, which should slightly cool sur- (Accessed March 2012).
face temperatures. Although the main concern U.S. Environmental Protection Agency. “Ozone Layer
from ozone layer depletion is increased UV radia- Protection.” (2010). http://www.epa.gov/ozone/in
tion, there is a weak link to global warming. tpol (Accessed March 2012).
 P
Pandemics Preparing for Pandemics
A pandemic is by nature a transboundary crisis.
Preparations for global pandemics have been at Pandemics cross political boundaries. We usually
the forefront of concerns for health care work- think of these boundaries as international, but the
ers, governments, and individuals. As the world’s political boundaries can also be internal to a par-
population has increased and people live in more ticular country. Functional boundaries are also
densely packed urban neighborhoods, the possi- crossed in pandemics, because multiple policy
bility of worldwide epidemics, or pandemics, has areas are impacted. Health systems are among the
become more real. first policy areas we think of in a pandemic. How-
A pandemic is the spread of a disease among ever, financial, industrial, educational, and politi-
large numbers of the population in a widespread cal systems, among others, are deeply affected by
geographic area. This could take place in several widespread disease outbreaks. With all the parties
countries, or it could impact several continents or affected across the various boundaries, response
be global. to the crisis is made much more complex. Mutual
The ease and multiplicity of travel options, dependencies are created, and the need for coop-
along with the modern propensity to travel, have eration becomes acute. Without prior prepara-
made much more likely the possibility that an tion for such a crisis, the various parties may have
epidemic becomes a pandemic. As perhaps in few trust issues, not knowing if others can be trusted
other areas, crisis managers have a crucial role to in the middle of the crisis. The more serious the
play in limiting a pandemic, or in responding to crisis, the more necessary preparation, trust, and
one should it develop. cooperation become.
The Spanish influenza pandemic from 1918 to Crisis managers must plan for many eventuali-
1919 was an example of the impact of a global ties in preparing for pandemics. Preventive mea-
epidemic. An estimated 500 million people were sures must first be addressed. The medical com-
infected, and at least 10 percent of those infected munity, aided by a host of partners, must seek to
died. Europe during the Middle Ages suffered develop plans of action that will keep an epidemic
with various outbreaks of plague. As recently as from becoming a pandemic. These plans must
2009, the H1N1 (swine flu) influenza outbreak include medical as well as nonmedical actions.
reached pandemic levels and spurred much more Efforts to stop the spread of a pandemic must also
thinking and planning for such global outbreaks. address the transportation capabilities available.

709
710 Pandemics

Many airports have the capability to scan arriv- one hundred partner institutions from various
ing passengers with an infrared camera in order countries and organizations that can provide the
to detect those with fevers. Assessments must be technical expertise needed to address global disease
made of the medicines or vaccines that will be outbreaks. Partners assist with issues of alerts in
effective in addressing the disease, and plans must response to outbreaks. This network acts in some
include distribution systems for these medica- ways as a crisis manager. The purposes of the net-
tions. Of course, advance work must be done to work include preventing the intentional spread of
prepare for the surge of patients that will some- diseases that could lead to an outbreak, seeing that
times overwhelm health care facilities. Govern- technical help is made available quickly to those
ments and other actors will be tasked with mobi- countries in which outbreaks occur, and aiding in
lization of the vast resources that will be called preparation for epidemics that may occur. Mobili-
for. Preparations must even be made for identi- zation is one of the major tasks of GOARN. There
fication, storage, and burial of large numbers of are 20 diseases within the purview of GOARN,
bodies, which must include conducting funerals including anthrax, avian influenza, dengue, Ebola,
or observing other religious rituals when possible. plague, smallpox, and yellow fever. WHO has
implemented an event management system to
Global Response System collect, monitor, and disseminate information to
The World Health Organization (WHO) main- GOARN and other interested groups. The WHO
tains the Global Outbreak Alert and Response Web site makes available the latest information on
Network (GOARN). GOARN is made up of over outbreaks occurring throughout the world.

Train passengers in Mexico City, Mexico, wear masks as a precaution against the epidemic of swine flu that broke out in the city in April
2009. Schools, museums, libraries, and state-run theaters in the metropolitan area were closed and airline passengers were screened
in an attempt to control the spread, but by June, the World Health Organization (WHO) and the U.S. Centers for Disease Control and
Prevention declared the outbreak a worldwide pandemic. The death toll by January 2010 had reached 14,286.
 Panic, Nature and Conditions of 711

The International Health Regulations (2005) that, other than an effective vaccination program,
were put into effect in 2007 after having been the United States did not have a comprehensive
agreed to by almost 200 nations. These binding mitigation strategy in place. For a pandemic for
regulations were developed to provide a frame- which there is no effective vaccine, this could be
work for WHO to deal with international crises disastrous.
involving disease outbreaks. The regulations seek
the avoidance of all but the necessary interrup- Ken B. Taylor
tion of the movement of people and products New Orleans Baptist Theological Seminary
internationally.
Rapid discovery of outbreaks is of supreme See Also: Biological Weapons; Centers for Disease
importance for crisis managers. Health Canada Control and Prevention (CDC); Cholera; Drug
designed a system for WHO that provides early Resistance; Ebola Virus; Emergency Medicine;
detection of outbreaks in a substantial percent- Epidemics; Health and Medical Response Scenarios;
age of cases. The system mines the Internet for Infectious Disease; Influenza; Public Health
information that suggests the possibility of an Surveillance; Quarantine; Severe Acute Respiratory
outbreak. Google developed a similar tool to pre- Syndrome (SARS); Smallpox; Surge Capacity,
dict influenza outbreaks during 2008–09. Hospitals; Vaccinations.

Managing the H1N1 Pandemic Further Readings

The 2009 H1N1 pandemic was an opportunity Ansel, Chris, et al. “Managing Transboundary Crises:
for crisis managers of various levels to imple- Identifying the Building Blocks of an Effective
ment and test their preparations. In the United Response System.” Journal of Contingencies and
States, the Centers for Disease Control and Pre- Crisis Management, v.18/4 (2010).
vention (CDC) used many of the resources under Pan American Health Organization. “From Pandemic
its control to address the crisis. The CDC used H5N1 to (H1N1) 2009: Lessons for Disaster
its channels of communication to spread the Managers.” Disasters: Preparedness & Mitigation
word of the dangers of H1N1 and cooperated in the Americas, v.112 (2009).
with countless other national and international Scanlon, Joseph, et al. “Handling Mass Death by
partners in its response. Integrating the Management of Disasters and
These responses included warnings, safety pre- Pandemics: Lessons From the Indian Ocean
cautions, antiviral medication recommendations, Tsunami, the Spanish Flu, and Other Incidents.”
and vaccination advancement. WHO imple- Journal of Contingencies and Crisis Management,
mented its procedures as well, going through its v.15/2 (2007).
phases of response until, on June 11, 2009, in its Wolfe, Nathan. The Viral Storm: The Dawn of a New
sixth phase of response, it declared a global pan- Pandemic Age. New York: Times Books, 2011.
demic. Seventy countries had reported outbreaks
of this strain of influenza; this number later dou-
bled. Fortunately, the death rate from H1N1 did
not reach unusual proportions.
Issues with unified communication are demon- Panic, Nature and
strated by the fact that the White House warned
that there could be 90,000 deaths in the United Conditions of
States as a result of the outbreak. The CDC, how-
ever, predicted that up to 30,000 could die. In the The word panic comes from the Greek panikos,
end, fewer than 20,000 people in the United States of Pan, the goat-like shepherd god. In 490 b.c.e.,
died of H1N1. Confirmed cases of death from at the battle of Marathon, he is said to have
this outbreak were much smaller than the esti- shouted so loud that the echoes of his voice as
mated number of deaths. The outbreak did give it rebounded from the surrounding mountains
crisis managers a good exercise in preparing for convinced the Persians that the Athenian forces
a global pandemic. The experience demonstrated were much more numerous than was actually the
712 Panic, Nature and Conditions of

case, causing tumultuous dread to spread among Sociological Definition

the invaders. Panikon deima became synonymous Sociologists view panic as a spontaneous defen-
with a sudden accession of fear by travelers in sive reaction resulting in an asocial response to a
lonely places. threat that is perceived to be severe and immedi-
In modern times, it is quite possible that panic ate. Perception is the key term, as whether or not
has become the most misunderstood of all social the threat is material is rather less important than
reactions to crisis and disaster. In part this results what the panicking person thinks it is. Panic is the
from a very widespread tendency to misidentify response to a sudden, concrete accession of fear
its symptoms and manifestations, and in part it leading to an instinctive self-protective reaction.
is because social science research has been deeply It often ends in flight from the perceived source
equivocal about what panic actually is. of danger, although panic and flight are not syn-
Panic can be defined as an acute reaction onymous because, first, not all panic results in
involving terror and confusion. It is usually asso- the desire to flee, and second, not all flight is
ciated with irrational behavior, or more properly the result of panic. In fact, panic-induced flight
“arational” behavior, in which actions are spon- must be the result of withdrawal from rational,
taneous and unpremeditated rather than neces- organized, and adaptive social action. It is not a
sarily counterproductive. Despite this general regression to “primitive” behavior dominated by
definition, there is a distinct difference between violence and individualism, although in extremis
how panic is viewed by sociologists, psycholo- it can end with unregulated competitive actions
gists, and people who are not specialists in social such as physically struggling to be first to leave
science. the danger area.
In an extension of the panic concept, the term Sociologists have studied panic since the 1920s.
moral panic can be defined as an intense reaction One problem with their work is that most of it has
by a population to an issue that is perceived to involved post hoc reconstructions of situations
threaten the social order and discussion of which that may be incompletely or inadequately remem-
may be taboo, or at least highly controversial. bered by participants who acted during the cri-
Witch-hunts are an example of moral panic in sis under great duress. Nevertheless, regularities
the past, while in the present, it is more likely have been observed. The most important lesson
to apply to phenomena such as banking crises that the sociologists have provided is that panic
or pandemics. During moral panics, attitudes is a relatively rare, highly transient phenomenon.
are volatile and hostility is manifest toward the In crowd situations, the fear that it embodies can
originators of the perceived threat. Usually, the be contagious and lead to mass reaction, most of
societal reaction is disproportionate to the actual which is imitative. In this way, groups of people
size of any threat to the social order that may may run away from the perceived source of dan-
exist. Although moral panics can be engendered ger. However, rational thought and social interac-
by phenomena that are related to extreme events, tion tend to dispel the panic reaction in favor of
they are generally not the direct result of any more orderly behavior.
kind of disaster. Moreover, moral panic has been The classic situation in which panic occurs is
criticized as a concept that is weak and question- one in which people fear entrapment, leading to
able: it has been seen as little more than “fear of serious physical injury. For example, on February
fear,” an extension of mass anxiety. Nevertheless, 20, 2003, a fire broke out in a nightclub at West
the term has been extended to include elite panic, Warwick, Rhode Island, when indoor pyrotech-
which is said to occur in a crisis situation when nics ignited insulation material. The nightclub had
the people in charge are obsessed with the main- a licensed capacity of 350 people, but 462 were
tenance of order and fear that ordinary people present. The fire spread extremely rapidly, yet the
will run out of control and indulge in looting and first reaction of onlookers was curiosity, followed
other antisocial behavior. Elite panic was identi- by disbelief. Evacuation took place through the
fied in the botched official attempts to manage main entrance, as few people were aware of the
public reactions to Hurricane Katrina in New other exits. Initially, the egress was orderly and
Orleans in 2005. controlled. However, as the fire took hold, alarm
 Panic, Nature and Conditions of 713

sirens went off while individuals began to scream the situation of apprehension and anxiety that
and suffer injury, and the pressure of bodies on already existed on the eve of global war.
the exit led some people to stumble and fall. With Sociological researchers have noted that the
the exit blocked, panic and competitive behavior early studies of panic needed first to free the
ensued. The flames propagated in the nightclub concept from the stereotypes that had grown up
at 30 cm/sec., and the fire took hold in less than around it. By the 1970s, panic was seen as linked
two minutes, allowing little time for rational, pre- to the breakdown of social order, and as this
meditated action. Similar events have occurred tends to be very robust, it was obvious that panic
in many countries, and in the United States the was given little credence by investigators, some
worst such case, the Cocoanut Grove nightclub of whom went to far as to label it as a complete
fire (Boston, 1942), led to 492 deaths. In this, as myth. The breakdown of social order was seen
at West Warwick, many people attempted to leave in light of the rise of individualistic behavior, but
via the main exit, which is indicative of how in by the late 1990s, sociologists had begun to con-
panic situations people are unable to reason or sider panic more in relation to the abandonment
evaluate alternative strategies and hence do what of social norms. Once again, the most remarkable
is familiar to them. finding was how robust such norms were in the
Despite such cases, one of the most striking face of deeply threatening situations.
things about panic is its absence from many situa- Subsequent research has introduced the notion
tions in which it would be presumed to dominate. that situational factors can be more important in
Directly after bombs had been detonated on trains causing maladaptive behavior than social ones.
in the London Underground subway system, the Consider, for example, the case of the vehicle
people caught up in the disaster showed a remark- ferry MV Estonia, which sank in the Baltic Sea
able absence of panic despite scenes of physical during the night of September 27, 1994, while it
dismemberment, loss of blood, dust, smoke, and was en route from Tallinn to Stockholm. Only
fireballs, as well as underground entrapment in 136 of the 989 people on board lived to be res-
near total darkness. Moreover, the London case cued. Of these, four times as many men survived
added credence to the suggestion that women are as women. Although some panic was described
less susceptible to panic than men, as they appear in the accounts that survivors gave to the com-
to have less of a “fight or flight” mentality and mission of inquiry, social norms—and gender
possibly greater ability to appraise a situation norms—were widely observed as people tried,
rationally while under stress. This theory has yet often in vain, to extract themselves and nearby
to be fully confirmed by research. In addition, it people from the chaos that prevailed inside the
may be that panic has cultural connotations, but listing ferry. Post hoc analysis suggested that panic
sociologists have not been particularly active in and selfish actions were simply not factors in the
following this lead. high death toll, which would in any case have been
In cases where panic has not been entirely hard to avoid. Essentially, confronted with severe
absent, it has often been exaggerated in accounts and immediate danger, people tend to make an
recorded after the event. When H. G. Wells’s book initial interpretation of visual and audible cues,
The War of the Worlds was dramatized for radio formulate a survival strategy, and then give them-
by Orson Welles and broadcast from New York selves over to actions, such as attempts at evacua-
on Halloween night in 1938, it was widely stated tion. If panic occurs, it does so in extremis.
that many citizens believed that the Martians
had in fact landed and were attacking the United The Psychological Definition
States. Mass panic was said to have ensued. How- In 1917, Sigmund Freud diagnosed “anxiety
ever, subsequent analysis suggested that news- attacks” in some of his patients. These are now
papers, deeply in competition with radio at the labeled panic attacks and are distinguished from
time, had exaggerated the incidence of panic in the more constant panic disorder, which denotes a
order to show that radio is an unreliable, possibly general susceptibility to panic and is often associ-
dangerous, means of communication. One con- ated with agoraphobia. According to the Ameri-
tributory element to any panic that did occur was can Psychiatric Association’s Diagnostic and
714 Panic, Nature and Conditions of

Statistical Manual of Mental Disorders (DSM- latent condition that is present in everyone’s social
IV), panic disorder “is characterized by sudden makeup. Moreover, panic is treated as if it were
attacks of intense fear or anxiety, usually associ- symptomatic of the breakdown of social order
ated with numerous physical symptoms such as and reversion to primitive forms of asocial, com-
heart palpitations, rapid breathing or shortness petitive, and perhaps violent behavior. In reality
of breath, blurred vision, dizziness, and racing chaos and panic are far from synonymous, as the
thoughts.” former may be comprised of myriad attempts to
The association of panic with the nervous and behave rationally under difficult circumstances,
cardiovascular systems, and with psychosensory especially when there is insufficient information
functions, internalizes it in the patient and leads on which to base decisions about what best to
to a diagnosis that differs radically from that of do. Neither is flight diagnostic of panic. On Sep-
the sociologists. It follows that the prevalence tember 11, 2001, when one of the towers of the
rates of panic disorder in the general population World Trade Center in New York collapsed after
are relatively high—perhaps 2 percent, with con- a terrorist attack, people ran away. Far from being
centration of the disorder in the 30 to 44 years a spontaneous panic reaction, it was the only sen-
age group. Although there appears to be nothing sible thing to do. Nonetheless, quite a few of them
genetic about panic disorder, anxiety is sometimes paused in their flight to turn and photograph the
hereditary, and biological dysfunction can lower evolving spectacle, which was of course a calcu-
people’s resistance to nervous diseases. Although lated rather than instinctive response.
social conditions are often strongly implicated Thus, for the general population, panic is a
among the causes of panic disorder, crisis and stereotype that survives because it is never ques-
catastrophe are not. This is understandable, as tioned, a convenient form of shorthand for com-
there is little connection between disaster and plex circumstances. For the news media, it is often
mental illness, other than post-traumatic stress a substitute for rational analysis, something that is
disorder and cases of generalized depression. For assumed to occur without ever verifying whether
the psychologists, panic tends to occur when a that is actually the case. For emergency manag-
person’s systems of values, interrelationships, ers, panic can be an excuse: the assumption that
and support mechanisms are suddenly swept “people will panic,” again invariably untested and
away. This need not require a major emergency unquestioned, is used as a motivation for intro-
to happen. ducing measures that are restrictive, unpopular,
Clearly there is a net distinction between what and sometimes quite unjustified. Moreover, it may
psychiatrists regard as panic and what the soci- be used as a motivation for secrecy in the adop-
ologists describe. The former tend to concentrate tion of crisis measures, and secrecy is attractive
on the internal causes and manifestations of the because it divests decision makers of responsibil-
phenomenon, while the latter emphasize its social ity through accountability. In reality, people are
connotations. In effect, they are not discussing the probably more likely to panic if they are not given
same phenomenon. However, a third view is wor- information than if they are told about the reality
thy of examination, namely, how the public views of certain situations.
the idea of panic. Unfortunately, the persistence of the panic
myth or stereotype in popular culture also has a
Popular Definition negative impact on crisis decision makers. Sur-
Despite decades of attempts by social scientists to veys show that many professional crisis respond-
free the concept of panic from its stereotype, this ers believe wholeheartedly in the occurrence and
has proven remarkably resilient. We might denote importance of the phenomenon. In reality, it
it as the Hollywood view, for it is most exalted in should not be used as a factor in crisis planning
popular culture, especially disaster movies, few of and will have little impact on emergency response.
which make any attempt to reproduce the reality Moreover, the burgeoning counterterrorism liter-
of social behavior. ature shows that many experts on chemical, bio-
In the public’s eye, chaotic and ungovernable logical, radiological, and nuclear (CBRN) threats
situations are manifestations of panic, which is a (mainly physicists, chemists, toxicologists, and
 Panic, Nature and Conditions of 715

physicians) are not sufficiently informed of the information than when it is withheld from them.
sociological literature to put panic in its proper Hence, the old adage, “don’t tell them, they may
perspective when they devise their attack scenar- panic” is the wrong approach to emergency plan-
ios. Instead, they tend to assume that it is bound ning, as people who have the means to make
to occur at the slightest provocation. informed decisions are less likely to panic than
those who can only use their imaginations to
Conclusion envisage what is happening. In terms of crowd
Clearly, panic is a difficult concept that has not behavior, much can be done to avoid crushes and
generated a stable consensus on what it is and stampedes by ensuring that crowd volumes and
exactly how it occurs. Extreme views imply that flows are properly regulated, unrest is avoided,
it is either latent in all people or a myth of very and potential bottlenecks are not dangerous.
little importance during crises or at any other This requires careful design and construction of
time. More modulated approaches suggest that the host environments for mass gatherings (such
psychological panic attacks are quite common as stadia, entrance gates, ramps, and stairways),
and largely unrelated to major societal emergen- surveillance of potential troublemakers, and
cies, while panic in the social sense is a rare and rapid intervention by the forces of order if trou-
brief transient phenomenon that takes places only ble looks likely to break out.
under specific circumstances, such as impending
entrapment coupled with extreme danger. David Alexander
In one of the most comprehensive reviews of Global Risk Forum, Davos
the phenomenon, Christian Rogsch and his col-
leagues at several German universities looked at See Also: Decision Making Under Stress; Health and
127 cases of reported crowd crushes and stam- Medical Response Scenarios; Trauma.
pedes that occurred over the period from 1863
to 2007 and found that in nearly 40 percent of Further Readings
cases, the evidence for the occurrence of panic Alexander, David E. “Misconception as a Barrier
was ambiguous or lacking. They also noted that to Teaching About Disasters.” Prehospital and
the term is particularly difficult to define satis- Disaster Medicine, v.22 (2007).
factorily, and attempts to simulate panic with Clarke, Lee. “Panic: Myth or Reality?” Contexts, v.1
volunteer subjects have tended to produce medi- (2002).
ocre results. Cornwell, Benjamin, et al. “Panic or Situational
Collective panic may be contagious in a crowd Constraints? The Case of the MV Estonia.”
and may be more likely to occur when the cul- International Journal of Mass Emergencies and
tural characteristics of a particular social group Disasters, v.19 (2001).
favor it, perhaps through the prevalence of latent Dombrowsky, Wolf R. and F. G. Pajonk. “Panic as
collective anxiety or social instability. Although Mass Phenomenon.” Anaesthesist, v.3 (2005).
it is tempting to conclude that more research is Johnson, Norris R. “Fire in a Crowded Theatre:
required, this is perhaps not indiscriminately A Descriptive Investigation of the Emergence of
true: it would be more useful to start by connect- Panic.” International Journal of Mass Emergencies
ing existing research in a wide variety of fields, and Disasters, v.6 (1988).
including sociology, psychology, psychiatry, Johnson, Norris R. “Panic and the Breakdown
crowd dynamics, transportation safety, and emer- of Social Order: Popular Myth, Social Theory,
gency medicine. Empirical Evidence.” Sociological Focus, v.20
The question remains as to what can be done (1987).
to reduce the incidence of panic and make it less Quarantelli, Enrico L. “The Nature and Conditions
likely when threatening circumstances occur. of Panic.” American Journal of Sociology, v.60
Giving people training in safe evacuation pro- (1954).
cedures can help; so can acquainting them with Rachman, S. and Jack D. Maser, eds. Panic:
the realities of a threat. Generally, people react Psychological Perspectives. Hillsdale, NJ:
more calmly and rationally if supplied with Lawrence Erlbaum, 1988.
716 Paradigm Blindness

Paradigm Blindness into that culture. Although new insights may

generate additional knowledge, this does not
The concept of paradigm blindness implies always provide a fundamental challenge to the
that individuals, groups, and organizations are tradition itself. It is here that the relationships
unwilling or unable to accept any challenge to between what former U.S. Secretary of Defense
their core ways of making sense of the world and Donald Rumsfeld, in his 2011 autobiography,
determining how they interpret and make sense termed the knowns and unknowns (both known
of what goes on around them—in essence, their and unknown) are important elements in shaping
worldviews (or weltanschauung—according to behaviors around risk and uncertainty.
philosopher and psychologist William James in According to sociology professor Derek Phil-
1904). There have been attempts by numerous lips, in many respects, the notion of paradigm
scholars to describe this process, for example by has much in common with that of weltanschau-
Thomas Bates (1975), Peter Checkland (1981), ung—or worldview—particularly in terms of
and Thomas Kuhn (1996), and the terms hege- knowledge generation, and the latter term has
mony, weltanschauung, and paradigm have also been used within academic approaches to
all been used at various times to describe and dealing with systems. These systems perspectives
debate the various processes by which such a played an important role in the development of
dominant worldview is developed and sustained. early theories of crisis management and human
Against this wider background, and before con- error. The notion of weltanschauung is impor-
sidering the nature of paradigm blindness, it is tant in shaping the manner in which we receive,
first necessary to set out the nature of the term filter, and make sense of the problems that we
paradigm. face. This worldview is also a factor in shaping,
and is shaped by, the dominant organizational
Paradigm Defined paradigm in which we operate. Within the lit-
In his 1962 study, historian and philosopher of erature on intelligence and foreign policy crises,
science Thomas Kuhn established the notion of a this process has been termed “blindsiding.” In an
paradigm as an important element in shaping the early exposition of the term, James argued that
ways in which groups coalesced around a set of the relationship between the knower and what
ideals and worldviews. From Kuhn’s perspective, is known is an important one, thereby highlight-
a paradigm was seen as representing “the entire ing the importance of direct and indirect experi-
constellation of beliefs, values, techniques, and so ence in the construction of the “known.” Soci-
on shared by the members of a given community,” ologist Barry V. Johnston discusses this process
while at the same time it was also seen as denot- of knowledge construction, arguing that theory
ing “one sort of element in that constellation, the is often developed around an individual or a cor-
concrete puzzle-solutions which, employed as pus of work. It is then extended and disseminated
models or examples, can replace explicit rules as by “interpreters” and “converts,” thus ensuring
a basis for the solution of the remaining puzzles that the group shares the knowledge base with a
of normal science.” wider audience, thereby extending the power of
Paradigms can, therefore, be seen to develop the ideas and concepts. It is this process of knowl-
over time. They allow those people trained within edge construction, dissemination, and defense
the knowledge parameters established within that has important implications for the genera-
the paradigm to use those “puzzle solutions” as tion of, and response to, organizational crises by
a means for subsequent problem solutions. The generating the conditions for paradigm blindness
generation of paradigms creates a sense of con- that leads to crisis incubation.
sensus around the core elements of the tradition
that are difficult to challenge without a signifi- Paradigm Blindness Operating at Two Levels
cant “shift.” In organizational terms, paradigms According to Kuhn, it is possible to see a para-
become grounded in the history, culture, and digm functioning at two levels, both relevant
underpinning assumptions of the organization or to the processes of paradigm blindness and cri-
group that forms them. New staff are recruited sis management. The first of these occurs at the
 Paradigm Blindness 717

organizational level, where it is possible to see by the dominant paradigm and ultimately help
paradigms generating the potential for a form continually reinforce that dominant worldview.
of widespread blindness among organizational Thus, paradigm blindness can serve to generate
members through a resistance to competing views the potential for crisis at a number of levels, and
of the world. The organization’s culture—the way this dominant mind-set is often only overcome as
things are done within the organization—provides a consequence of the very crisis that it helps gen-
a powerful lens through which members see the erate—by shattering the belief systems underpin-
world and make sense of it. Thus, managers can ning the worldview. Therefore, is possible to see
refuse to see the validity of any challenges made to a process in which the dominant way of making
their decision making because they are convinced sense of the world allows for the nature of prob-
of the primacy of their own assumptions. This lems to be seen in a particular way until the orga-
can ultimately result in what sociologist Barry A. nization or community is faced with a sufficiently
Turner in 1978 called the “incubation” of failure powerful anomaly that shatters the underpinning
potential within the decisions made by the orga- assumptions of that worldview. Usually, this takes
nization. This process has also been conceptual- the form of a crisis.
ized by psychology scholar David Collingridge in
terms of the creation of “error cost,” in which the Emergence of the Paradigm Blindness Notion
strategies and operational processes of the orga- Within the academic literature, such as Carole
nization are not subjected to critical analysis by Edelsky’s work in 1990, the notion of paradigm
views from outside the dominant paradigm. As blindness initially emerged as a means of explain-
a consequence, the errors are not identified until ing the processes by which experts failed to see
such time that they generate failures. the logic of other perspectives and interpretations
The second level at which paradigm blindness of phenomena. In 1993, professor of education
can be generated is at the level of the individual or Jon Wagner made the distinction between “blank
subgroup within an organization. Here, other cul- spots” and “blind spots,” with the former being
tural influences may impact on the individual, and seen as a function of a lack of evidence and under-
these may be at odds with the dominant world- standing and the latter existing in an area in which
view within the organization. One manifestation we fail to consider alternative interpretations and
of this blindness can occur as a consequence of explanations of phenomena. Paradigm blindness
the accepted shortcuts that are taken in decision will invariably contribute to the development
making and problem solving and that are based of blank spots by serving to reject attempts at
on the underpinning philosophies, training, and knowledge construction that are at odds with the
knowledge base of the individual members of the dominant worldview, in what could be seen as a
group or profession. These shortcuts often arise self-reinforcing process. Here, a phenomena is not
as a function of the specific experiences of people adequately researched and understood because
within the organization who may have evolved its causal factors and characteristics cannot be
ways of working that deviate from the “planned- explained within the constraints of the dominant
for” procedures. More recent research in psychol- worldview; therefore, it is rejected. This relates to
ogy by Daniel Simons and Christopher Chabris Kuhn’s initial conceptualization of the term. In
has highlighted the role of “inattentional blind- 1996, Kuhn observed that as paradigms shape the
ness” in determining the responses made by indi- ways in which scientists (or managers) are trained,
viduals toward information, especially when they they will then find it difficult to challenge those
are performing under conditions of high cognitive paradigms, because they “are committed to the
load. Under conditions of an active or operational same rules and standards for scientific practice.
crisis, such “blindness” will be an important con- That commitment and the apparent consensus it
tributory factor within the performance of crisis produces are prerequisites for normal science, i.e.,
management teams that are operating under con- for the genesis and continuation of a particular
siderable pressure. research tradition.”
In addition, the manner in which people make Thus, the paradigm is an important integrat-
sense of the world around them will also be shaped ing element for organizations and professional
718 Paradigm Blindness

groupings. It helps shape those who are admitted See Also: Bankruptcy, Corporate; Crisis, Definition of;
into the community or organization (as they all Disruption of Organizations; Organizational Failure;
share the common views and values), and it also Political and Organizational Leadership; Training.
serves to provide boundaries regarding what is
seen as being the acceptable limits of those views Further Readings
and the ways in which the system operates. Like Bates, Thomas R. “Gramsci and the Theory of
the notion of hegemony, the paradigm serves to Hegemony.” Journal of the History of Ideas, v.36/2
reinforce the power of dominant groups within (1975).
society. Checkland, Peter B. Systems Thinking, Systems
Practice. Chichester, UK: Wiley, 1981.
Crisis Against the Dominant Paradigm Checkland, Peter B. and Jim Scholes. Soft Systems
Against this background, paradigm blindness can Methodology in Action. Chichester, UK: Wiley,
be seen to occur when challenges to that domi- 1990.
nant tradition are dismissed simply because they Collingridge, D. The Management of Scale: Big
do not fit the preconceived view of the world that Organizations, Big Decisions, Big Mistakes.
dominates within that organizational setting. London: Routledge, 1992.
Ultimately, a crisis is the main means of shifting Collingridge, D. Technology in the Policy Process:
the dominant view within a paradigm away from The Control of Nuclear Power. London: Francis
its normal state in such a way that the worldview Pinter, 1984.
changes. Kuhn argues in The Structure of Scien- Edelsky, Carole. “Whose Agenda Is This Anyway?
tific Revolutions (1996): A Response to McKenna, Robinson, and Miller.”
Educational Researcher, v.19/8 (1990).
Confronted with anomaly or with crisis, sci- James, William. “A World of Pure Experience.”
entists take a different attitude toward exist- Journal of Philosophy, Psychology and Scientific
ing paradigms, and the nature of their research Methods, v.1/20 (1904).
changes accordingly. The proliferation of com- Johnston, Barry V. “The Contemporary Crisis and the
peting articulations, the willingness to try any- Social Relations Department at Harvard: A Case
thing, the expression of explicit discontent, the Study in Hegemony and Disintegration.” American
recourse to philosophy and to debate over fun- Sociologist, v.29/3 (1998).
damentals, all these are symptoms of transition Kuhn, Thomas S. The Structure of Scientific
from normal to revolutionary research. Revolutions. 3rd ed. Chicago: University of
Chicago Press, 1996.
However, such dominant paradigms, especially Lears, T. J. J. “The Concept of Cultural Hegemony:
within organizations, may also serve to gener- Problems and Possibilities.” The American
ate a sense of blindness to new ways of framing Historical Review, v.90/3 (1985).
and making sense of complex problems and, ulti- Parker, Charles F. and Eric K. Stern. “Blindsided?
mately, may lead to the incubation of crisis poten- September 11 and the Origins of Strategic
tial. These systems perspectives played an impor- Surprise.” Political Psychology, v.23/3 (2002).
tant role in the development of early theories of Phillips, Derek L. “Paradigms, Falsification, and
crisis. The notion of weltanschauung is important Sociology.” Acta Sociologica, v.16/1 (1973).
in shaping the manner in which we receive, fil- Reason, J. T. Human Error. Oxford: Oxford
ter, and make sense of the problems that we face. University Press, 1990.
This worldview is also a factor in shaping, and is Reason, J. T. “An Interactionist’s View of System
shaped by, the dominant organizational paradigm Pathology.” In Information Systems: Failure
in which we operate. Within the literature on Analysis, J. A. Wise and A. Debons, eds. Berlin:
intelligence and foreign policy crises, this process Springer-Verlag, 1987.
has been termed blindsiding. Reason, J. T. Managing the Risks of Organizational
Accidents. Aldershot: Ashgate, 1997.
Denis Fischbacher-Smith Rumsfeld, Donald. Known and Unknown: A Memoir.
University of Glasgow New York: Sentinel, 2011.
 Paul G. Allen Foundation Emergency Relief Program 719

Simons, Daniel J. “Attentional Capture and particularly in the Pacific Northwest, including
Inattentional Blindness.” Trends in Cognitive the U.S. states of Alaska, Idaho, Montana, Ore-
Sciences, v.4/4 (2000). gon, and Washington, predominantly in Washing-
Simons, Daniel J. and Christopher F. Chabris. ton. Between 1990 and 2011, 60 percent of its
“Gorillas in Our Midst: Sustained Inattentional grant money was distributed in Washington. The
Blindness for Dynamic Events.” Perception, v.28/9 foundation also grants funding to other states and
(1999). internationally.
Strange, S. “The Persistent Myth of Lost Hegemony.” Five key areas are supported by the founda-
International Organization, v.41/04 (1987). tion’s grants: the arts, education, science and
Turner, Barry A. Man-Made Disasters. London: technology, social safety nets, and vulnerable
Wykeham, 1978. populations. Although its endeavors support a
Turner, Barry A. “The Organizational and variety of initiatives, those focused on strength-
Interorganizational Development of Disasters.” ening social safety nets and meeting the needs
Administrative Science Quarterly, v.21 (1976). of vulnerable populations fall largely under the
U.S. Department of Defense. “DoD News Briefing— Emergency Relief Program. Some of these efforts
Secretary Rumsfeld and Gen. Myers.” (February ultimately offer assistance for crisis and emer-
12, 2002). http://www.defense.gov/Transcripts gency relief, supporting the endeavors of crisis
/Transcript.aspx?TranscriptID=2636 (Accessed managers. These targeted efforts include assis-
August 2011). tance needed by individuals and communities
Wagner, Jon. “Ignorance in Educational Research: Or, during the ongoing economic recession in the
How Can You ‘Not’ Know That?” Educational United States and abroad.
Researcher, v.22/5 (1993).
Weick, K. E. Making Sense of the Organization. Vulnerable Populations
Oxford: Blackwell, 2001. Vulnerable populations are defined in a variety
Weick, K. E. Sensemaking in Organizations. of ways by many different experts and organi-
Thousand Oaks, CA: Sage, 1995. zations. Vulnerability includes characteristics
Willmott, H. “Breaking the Paradigm Mentality.” that put an individual or group at greater risk.
Organization Studies, v.14/5 (1993). These characteristics are based on different cir-
cumstances, such as social, environmental, or
economic influences. Vulnerable individuals are
often part of multiple vulnerable populations. For
example, children can also be poor and thus face
Paul G. Allen Foundation problems related to their status in both popula-
tions (the young and the poor).
Emergency Relief Program The foundation’s Emergency Relief Program
offers a series of grants to assist vulnerable pop-
The Paul G. Allen Foundation Emergency Relief ulations and to strengthen the social safety net
Program is a program designed to distribute fund- to further aid those groups. Many of the founda-
ing in the form of grants to various groups. The tion’s efforts in the Emergency Relief Program
Emergency Relief Program is specifically targeted focus most strongly on meeting the basic needs
at assisting vulnerable populations, especially to of vulnerable populations, especially the need
help people meet basic needs and to reinforce for food. Such efforts may be needed for any vul-
social safety nets. nerable group, but particularly for low-income
individuals and groups—vulnerable populations
Paul G. Allen Foundation who often cannot afford enough food or nutri-
The Paul G. Allen Foundation is an organization tional food.
founded by Microsoft cofounder and philanthro- The reduction of vulnerability is critical for
pist Paul G. Allen and Jo Lynn Allen in 1986. short- and long-term aid efforts for individuals,
The foundation is designed to help communi- both during and outside crises. It is also extremely
ties through grants that assist nonprofit groups, important for ongoing emergency, crisis, and
720 Paul G. Allen Foundation Emergency Relief Program

disaster preparedness, as vulnerable populations some grant monies from the Emergency Relief
often face more and higher levels of risk to vari- Program is more recent, beginning in 2012. These
ous crises. Since crisis management includes the grants are such high priorities that the Paul G.
identification and reduction of vulnerabilities, Allen Foundation does not accept unsolicited pro-
work by organizations like the Paul G. Allen posals, but instead only accepts applications from
Foundation’s Emergency Relief Program is useful and issues grants to invited organizations.
to help other groups not only identify vulnerable In 2012, it was announced that the foundation’s
populations but also find which efforts work best efforts to aid vulnerable populations in Washing-
to reduce their vulnerability. ton State would move from its Emergency Relief
Program to a new Basic Needs Program. The aid
Emergency Relief Program and transfer to a new program emerged from the
Examples of the foundation’s assistance through ongoing economic problems in the United States
the Emergency Relief Program in recent years as a whole (as well as other areas) and Washing-
include grants to the Cascade Land Conservancy ton State’s budget problems specifically. A large
in Tacoma, Washington, to increase the avail- part of this focus will be in King County (the Seat-
ability of fresh vegetables at local food banks; to tle area). As a result, the foundation worked to
the Yamhill Community Action Partnership in provide basic needs to vulnerable populations in
McMinnville, Oregon, to build a client services the area, including food and shelter. This shift is
center and a food bank; to YouthCare in Seattle, supposed to be a short-term transition, largely in
Washington, to support meals for homeless young response to the economic crisis. These grants are
people; to the Church of Mary Magdalene in set to fund programs through 2013.
Seattle, Washington, to support meals for home-
less women and children; and to Rotary First Jennifer Trivedi
Harvest in Seattle, Washington, to strengthen the University of Iowa
operating capacity and expansion of local food
banks. Between 1990 and 2011, the foundation See Also: Hazard Vulnerability Analysis;
gave away $5 million through the Emergency Nongovernmental Organizations; Vulnerability;
Relief Program, 1 percent over its overall grants. Vulnerable Populations.
How these funds are used specifically to help vul-
nerable populations varies among different orga- Further Readings
nizations. Thanks to a 2009 grant, for example, Graves, Rebecca, Fay Hanleybrown, and Veronica
Northwest Harvest, a group that distributes Borgonovi. “From Crisis to Opportunity: Learning
resources to food banks in Seattle, was able to From One Region’s Response to the Economic
purchase high-protein food for local food banks Downturn.” Boston: FSG Social Impact Advisors,
and meal programs. 2010.
The foundation’s efforts are focused on help- Paul G. Allen Foundation. “2012 Updates and New
ing vulnerable populations over time. However, it Initiatives.” http://www.pgafamilyfoundation.org
is important to remember that assistance offered /Content/Reports/2012_Updates_NewInitiatives
to vulnerable populations is a key component in .pdf (Accessed May 2012).
long-term crisis management because vulnerable Paul G. Allen Foundation. “Giving History.” http://
populations are often most affected by crises and www.pgafamilyfoundation.org/TemplateMain.aspx
least able to recover on their own. By offering aid ?contentId=22 (Accessed May 2012).
to vulnerable populations outside moments of cri- Paul G. Allen Foundation. “Grants Awarded in Fall
sis, organizations may be able to reduce their vul- 2011 (By Program Area).” http://www.pgafamily
nerability, potentially meaning that they will be foundation.org/Content/Reports/Fall2011_Grants
less at risk for emergencies, crises, and disasters. _ByProgramArea.pdf (Accessed May 2012).
Paul G. Allen Foundation. “Paul G. Allen Foundation
Basic Needs Program Awards $2.5 Million in Grants.” http://www.pga
Though the foundation’s Basic Needs Program foundations.com/NewsDetail.aspx?id=441
has been in operation since 2008, the shift of (Accessed May 2012).
 Peacekeeping 721

Peacekeeping between these activities is not always clear, and

strategies often overlap with one another as the
Peacekeeping is one tool used by the United situation changes. Although peacekeepers often
Nations (UN) to provide security and support to support a cease-fire, they may also play a role in
help countries in conflict to create a lasting peace. peacemaking and peace-building activities. An
Peacekeeping operations are usually deployed important difference between peacekeeping and
after a cease-fire has been reached. There are three peace enforcement is that a peacekeeping mission
basic principles to peacekeeping: consent of the may include the use of force at the tactical level,
parties involved, impartiality, and the lack of use while peace enforcement may involve the use of
of force except in self-defense or for the defense force at the strategic level.
of the mission. Peacekeeping operations also need
to be seen as legitimate and credible, especially Peacekeeping Reform
in the eyes of the local population, in order to In 2000, the UN analyzed how it engages in peace-
be successful. The two main forms of peacekeep- keeping as a result of increased demand for UN
ing mission are traditional and multidimensional peacekeepers. Not only were peacekeeping forces
peacekeeping. in higher demand, they were also being sent into
increasingly remote and volatile environments.
Traditional Peacekeeping The Brahimi Report, named after the chair of
Traditional peacekeeping missions are essentially the panel responsible for the report, assessed the
military in nature and are conducted with the shortfalls of the peacekeeping system as it existed
consent of the parties involved in the conflict only at that time and recommended some changes. The
after a cease-fire has been agreed upon. Nearly panel specifically noted that peacekeeping opera-
all of the UN missions between 1945 and 1988 tions need to have clear and achievable mandates
were traditional missions. Activities may involve and that missions must have proper resources and
monitoring and reporting on adherence to the equipment in order to be successful. The panel
cease-fire or other agreed-upon terms and inves- also called for increased financial support for mis-
tigating complaints of violations of those terms. sions and a renewed political commitment on the
Under this type of mission, military and diplo- part of UN member states.
matic efforts proceed separately. UN peacekeeping forces comprise personnel
from member nations, as the UN does not have
Multidimensional Peacekeeping its own military force.
The international environment changed near the As of January 2012, there were 16 UN peace-
end of the Cold War and saw a rise in the number keeping operations on four continents around
of internal armed conflicts, as opposed to conflicts the globe and one special political mission (in
between nations. With this change in environment Afghanistan), with more than 119,000 personnel
came a need for a different type of peacekeeping serving in these operations. More than 84,000
mission—one that involved multiple dimensions. are troops and military observers, 14,500 are
Multidimensional operations may incorporate mil- police, more than 5,500 are international civil-
itary, police, and civilian components. Such opera- ian personnel, 12,500 are local civilian person-
tions may be used to support a transition to a legit- nel, and 2,400 are UN volunteers—all from more
imate government, such as supervising elections or than 160 member nations.
transporting refugees to resettlement areas, among The following are the ongoing peacekeeping
other activities not undertaken in a traditional operations and the year the mission began:
peacekeeping mission. In addition, multidimen-
sional operations often play a direct role in diplo- • United Nations Supervision Mission in
matic or political efforts to resolve the conflict. Syria, April 2012
Peacekeeping is one of several interrelated • United Nations Mission in the Republic of
activities the UN can use to maintain peace. South Sudan, July 2011
Other activities include prevention, peacemaking, • United Nations Interim Security Force for
peace building, and peace enforcement. The line Abyei, Sudan, June 2011
722 Peacekeeping

A Brazilian United Nations (UN) peacekeeper walks with Haitian children during a patrol in Cite Soleil, a section of Port-au-Prince,
Haiti, March 16, 2010. Several U.S. and international military and nongovernmental agencies conducted humanitarian and disaster
relief operations as part of Operation Unified Response after a 7.0-magnitude earthquake caused severe damage in the area on
January 12. UN peacekeeping personnel come from member nations, as the UN does not have its own military force.

• UN Organization Stabilization Mission in • United Nations Disengagement Observer

the Democratic Republic of the Congo, July Force, June 1974
2010 • United Nations Peacekeeping Force in
• African Union–UN Hybrid Operation in Cyprus, March 1964
Darfur, Sudan, July 2007 • United Nations Military Observer Group in
• United Nations Integrated Mission in India and Pakistan, January 1949
Timor-Leste, August 2006 • United Nations Truce Supervision
• United Nations Stabilization Mission in Organization, May 1948
Haiti, June 2004
• UN Operation in Côte d’Ivoire, April 2004 Details on each of these missions, as well as
• UN Mission in Liberia, September 2003 completed missions, may be found on the United
• United Nations Interim Administration Nations Web site, www.un.org.
Mission in Kosovo, June 1999
• UN Mission for the Referendum in Western Creating a New Peacekeeping Operation
Sahara, April 1991 In order to form a new peacekeeping operation,
• United Nations Interim Force in Lebanon, there are several steps that need to take place.
March 1978 Initial consultations involving UN officials, the
 Perimeter Control 723

would-be host government of the operation,

member states, and any other relevant players are
Perimeter Control
held to discuss the type of response the interna- A perimeter control is normally a secure bound-
tional community might provide. A technical field ary protecting an area or a building on a perma-
assessment is then conducted in the area where nent basis through which only authorized people
the peacekeeping operation is needed. The goal are allowed to pass. However, temporary perim-
is to assess the situation on the ground, includ- eter controls, or cordons as they are often known,
ing security, political, military, and humanitar- are set up on a regular basis in response to actual
ian rights conditions. The UN Secretary-General or threatened crises, either to prevent something
uses the information from this assessment to cre- happening or to aid response and recovery when
ate a report to present to the UN Security Coun- something has occurred.
cil outlining various options the UN can take
in the region, as well as costs estimated for the To Prevent Something From Happening
operation. The UN Security Council then decides Premises that are considered dangerous or haz-
whether a UN peacekeeping operation is the best ardous, for example, nuclear and chemical plants
step to take. If the Security Council does decide and airports, have permanent physical perimeter
to go forward with a peacekeeping operation, it controls consisting of fences and other barri-
adopts a resolution that outlines the size and goals ers to prevent unauthorized people from gaining
of the operation. The Secretary-General appoints entry and either harming themselves or causing
a Head of Mission, Force Commander, Police mischief; so, too, do iconic buildings, govern-
Commissioner, and senior staff. The Head of Mis- ment offices, and military and law enforcement
sion, along with the Department of Peacekeeping premises. Electronic perimeter controls are set
Operations and the Department of Field Support, up to prevent cyber crime and cyber warfare or
then plans the military, political, and administra- the “mischief-making” hacker from entering
tive aspects of the mission. Deployment of the computers and ancillary programs, and organi-
operation may then begin as soon as possible. zations should seek advice from computer secu-
rity experts on the requirements for ensuring the
Christina Spoons safety of their information and programs.
Ashford University Hotels and places in which crowds gather—for
example, shopping centers—where acts of terror-
See Also: International Strategy for Disaster ism may be anticipated are likely to have one or
Reduction, UN (UNISDR); Office for the more perimeter controls on either a temporary or
Coordination of Humanitarian Affairs (OCHA), UN. permanent basis, to deter such attacks. The outer
perimeter control may be some distance from the
Further Readings target, where vehicles are checked, while the inner
Bellamy, A., P. Williams, and S. Griffin. control could well be at the entrance to the poten-
Understanding Peacekeeping. 2nd ed. Malden, tial target. In such cases, the outer control may
MA: Polity Press, 2010. be supported by physical barriers, such as fencing
United Nations Department of Peacekeeping and gates, and even immovable concrete blocks.
Operations. “United Nations Peacekeeping Both perimeter controls may be supported by
Background Note.” DPI/2429/Rev.14. New York: closed circuit television and other technical mea-
United Nations, 2012. sures such as intruder detection systems. Although
United Nations Department of Peacekeeping in some cases such controls may be manned by
Operations. “United Nations Peacekeeping law enforcement officers, generally, if the target is
Operations Principles and Guidelines.” New York: privately owned, they will be provided by private
United Nations, 2008. security companies.
United Nations Department of Public Information. Perimeter controls are often used to prevent
“Charter of the United Nations and Statute of the protesters from reaching the target of their pro-
International Court of Justice.” New York: United test. For instance, since the rise of the antiglo-
Nations, 1985. balization movement, fences, backed by law
724 Perimeter Control

enforcement officers, have been built around a will generally set up their forward control points
number of meeting places for the G8 and G20 at the edge of the inner cordon. The role of the
Groups, the World Trade Organization (WTO), outer cordon is to keep all people who are not
the International Monetary Fund (IMF), and the involved in the response completely away from the
World Bank. Similarly, in industrial disputes, par- scene. Between the inner and outer cordons, the
ticularly when the organization that is the subject emergency services and other relevant agencies are
of the dispute is still operating, law enforcement likely to set up their incident control points and
officers may implement a cordon to prevent those support facilities, for example, the survivor assem-
on strike from accessing the premises. bly point, casualty clearing station, the ambulance
When a counterprotest is mounted as part of loading point, temporary mortuary, and vehicle
a community’s response to a demonstration, for marshaling area. A rendezvous point and media
example, when antifascist groups meet in opposi- liaison point will be set up at different points close
tion to a meeting being held by extreme right-wing to the outer cordon. The area between the inner
groups, it may be necessary for law enforcement and outer cordons will be kept sterile.
agencies to place perimeter controls or cordons Both inner and outer cordons may be marked
around one or both groups in order to prevent by “do not cross” tape, supported by a suitable
clashes. These perimeter controls normally con- number of law enforcement or private security
sist of law enforcement officers and are sometimes personnel to ensure adherence to the message
controversial, depending on how long people are given by the tape. If the incident has occurred at
detained within the cordons. a particularly busy location, it may be necessary
to introduce a third perimeter control to divert
To Aid Recovery After a Crisis traffic away from the scene to allow emergency
In the event of many crises—for example, acts vehicles free passage. In such cases, law enforce-
of terrorism, outbreaks of infectious diseases, ment or security personnel are likely to be sup-
riots, industrial accidents, fires, earthquakes, and ported by temporary traffic signs indicating no
weather-related events such as hurricanes and tor- entry or diversions. On occasions when the inci-
nadoes—it is essential that one or more of the emer- dent is ongoing, for example, when a hazardous
gency services gain control of the affected area as substance is escaping from a chemical or nuclear
quickly as possible in order to bring the crisis under plant or a fire is spreading rapidly, the perimeter
control and aid recovery. An important aspect of controls will be moved in accordance with the
control is the introduction of perimeter controls. spread of the incident.
During the early stages, particularly if people have The use of perimeter controls or cordons is a
been killed or injured or are trapped, the initial regular feature of public order policing in that it
response is invariably provided by the community has an important role to play in bringing disorder
itself but, as soon as the emergency services are under control once people have gone on the ram-
present in sufficient numbers, the public may be page. Under such crowd control circumstances,
physically excluded because (1) they may hinder perimeter controls are likely to be implemented
the response and recovery and (2) additional people to (1) prevent more people from joining the riot
may become victims, particularly if the location of and (2) to assist in an orderly dispersal once the
the crisis is hazardous or the crisis is ongoing. disorder is brought under control.
Following a crisis that has a fixed site, the emer- Some crises, such as acts of terrorism, are
gency services will want at least two, if not three, crimes. Given this, one or more perimeter cordons
perimeter cordons to be implemented, generally will be introduced with protective tape or barriers
by the law enforcement agency responsible for to protect evidence and to allow law enforcement
the area. The inner cordon will surround the crisis officers to carry out their investigation without
site. No one except those who have a role to play interference from the public or the media.
in bringing the incident under control (e.g., fire
personnel and paramedics, and, in certain cases, Tony Moore
law enforcement officers) should be allowed to Institute of Civil Protection
enter the inner cordon. The emergency services and Emergency Management
 Petrochemical Risk 725

See Also: Cyber Crime; Cyber Security; Cyber handle petrochemicals should conduct emergency
Warfare; Evacuation; Fires; Floods; Incident response operations to mitigate the hazards.
Management; Incident Response; Infectious Disease;
National Incident Management System (NIMS); Mitigation of Hazards
Operational Plans; Protest; Riots; Terrorism. For each of type of petrochemical, local, state,
and federal agencies will coordinate with spill
Further Readings response contractors and consultants to pre-
Arata, Michael J. Perimeter Security. New York: vent or minimize any hazardous exposures. Spill
McGraw-Hill, 2006. response contractors will provide manpower and
Buecker, Axel, Per Andreas, and Scott Paisley. specialized equipment for repairs, recovery, and
Understanding IT Perimeter Security. New York: cleanup services. This equipment can include
IBM, 2009. booms, absorbents, vacuums, skimmers, and dis-
Fenn, D. Shawn, et al., eds. Jane’s Facility Security persant or gelling agents. During the response,
Handbook. 2nd ed. Alexandria, VA: Jane’s environmental consultants will monitor the air,
Information Group, 2006. water, and land surrounding the impacted area
to ensure appropriate use of personal protective
equipment (PPE) for the responders and protective
evacuations for any adversely affected worksite
or community. Testing will continue throughout
Petrochemical Risk the cleanup operations to ensure final compliance
with established environmental regulations.
The vast quantities of petrochemicals in use
throughout the world create a significant risk of Crude Oil
exposure following spills from pipelines, tank- Crude oil comprises of a complex mixture of
ers, and production facilities. Petrochemicals can hydrocarbons. These range from low-molecular-
be broadly classified into four groups: crude oil, weight volatile aliphatic hydrocarbons to high-
middle distillates, gasoline, and petroleum gases. molecular-weight compounds with little or no
Crude oils are naturally occurring compounds volatility (i.e., the tendency of a compound to
produced from the decomposition of plant and vaporize). Dissolved gases such as hydrogen sul-
animal matter after thousands of years under fide can be present, as well as metal complexes,
high pressure and temperature. Gasoline is dis- sulfur, and compounds of oxygen and nitrogen.
tilled from crude oil stocks and is the primary fuel Crude oils with low sulfur content are termed
for automobiles and small engines. The middle “sweet” because of the historical practice of tast-
distillates include diesel fuel, jet fuel, kerosene, ing a small amount of oil to determine its quality.
and heating oil. The most common petroleum In contrast, “sour” crudes are those with higher
gases include methane (natural gas) and liquefied sulfur content that have a more bitter taste and
petroleum gas (LPG). These products are for the unpleasant smell. The composition of crude and
most part complex mixtures of hydrocarbons, the accompanying health risks can change rap-
additives, and blending agents, and therefore, cri- idly following a release because of “weathering.”
sis management of petrochemical risk requires a Evaporation is a primary weathering process that
thorough understanding of the various hazards can result in a significant reduction of volume dur-
presented by the specific chemicals and environ- ing the first 24–48 hours after a release as com-
mental factors involved. Flammability and the ponents volatilize. The weathered crude oil does
potential for explosions are key hazards when- not contain many of the low-molecular-weight
ever dealing with petrochemicals. volatile chemicals of concern like benzene, tolu-
The primary health-based risks are from ene, ethylbenzene, and xylenes. Exposure to high
exposures to polycyclic aromatic hydrocar- levels of these compounds can cause irritation to
bons (PAHs), benzene, toluene, ethylbenzene, the eyes and upper respiratory tract, and in some
xylene, naphthalene, hexane, and hydrogen sul- cases cause central nervous system depression.
fide. Ultimately, individuals properly trained to Many of these components have odor thresholds
726 Policy Setting

at levels below which adverse health effects are gases. These chemicals can cause weak depressant
expected; therefore, the presence of a petrochemi- effects on the central nervous system when they
cal odor does not necessarily indicate hazardous are present in high concentration, but they have
exposures. Monitoring of the air quality in the practically no physiological effects under typical
area surrounding the release is necessary to deter- exposure conditions.
mine the presence or absence of any chemical Natural gas is composed primarily of meth-
hazard. Prolonged skin contact with liquid crude ane. It is a flammable gas that can act as a simple
oil can result in irritation. Overall, crude oil has asphyxiant when present in concentrations high
relatively low short-term toxicity. enough to create an oxygen-deficient atmosphere.
Some sources of natural gas contain extremely
Middle Distillates high levels of hydrogen sulfide. Hydrogen sulfide
The middle distillates include a wide variety of presents a significant risk because it is a toxic,
fuel oils, and their specific components, volatility, flammable, and corrosive gas that can be fatal
mobility, and toxicity will all vary to some degree. even in very low concentrations. Methane has
Responders should obtain safety data sheets for also been found dissolved in groundwater, but
the specific products to determine the exact for- it can be present at levels considered safe. Test-
mulation involved. Most of the middle distillates ing is necessary to confirm whether the levels are
have a relatively low volatility, and therefore the acceptable.
airborne concentrations do not typically reach sig-
nificantly hazardous levels in the absence of heat- David Cawthon
ing or aerosol formation. Fuel oils tend to have Center for Toxicology and Environmental Health
only trace levels of the volatile compounds ben-
zene, toluene, ethylbenzene, and xylene. Inhala- See Also: Chemical Risk; Hazardous Materials;
tion of sufficient fuel oil vapor can lead to various Transportation Security.
symptoms, including dizziness, headache, nausea,
and vomiting. These symptoms are expected to Further Readings
pass quickly once exposure has ceased. The main American Industrial Hygiene Association. Emergency
hazard with these fuels is chemical pneumonitis Response Planning Guidelines: Gasoline. Fairfax,
following inhalation of aerosols or aspiration of VA: AIHA, 2004.
vomit following ingestion. Prolonged skin contact Committee on Acute Exposure Guideline Levels,
with fuel oils can result in dermal irritation. Committee on Toxicology, and the National
Research Council. “Jet Propellant Fuels 5 and
Gasoline and Petroleum Gas 8 Acute Exposure Guideline Levels.” In Acute
Gasoline presents slightly higher health risks Exposure Guideline Levels for Selected Airborne
than do the middle distillate fuels. Gasoline can Chemicals. Vol. 10. Washington, DC: National
contain small amounts of benzene, toluene, and Academies Press, 2011.
xylene. Gasoline is volatile, and therefore gaso- Thayer, Evan C., et al. “Chemical Human Health
line vapors can present both a health hazard and Hazards Associated With Oil Spill Response.”
a flammability hazard. Gasoline odors are usually No. 4689. Washington, DC: American Petroleum
detected at a level that is not likely to cause any Institute, 2003.
adverse health effects other than dizziness, head-
ache, nausea, or vomiting. Eye, nose, and throat
irritation start to occur at higher concentrations,
and inhaling or swallowing large amounts of gas-
oline can cause death. Policy Setting
The primary hazards associated with petroleum
gases relate to flammability and explosiveness. Policy setting or policy formulation is the most
The principal components of LPG are propane, critical phase in crisis management because it
butane, and isobutane; however, it may also con- applies to all kinds of efforts of all stakehold-
tain small amounts of ethane, pentane, and other ers, including local, regional, national, and even
 Policy Setting 727

international public and private entities. Policy selection in cost-effectiveness analysis based on
setting includes not only planning and designing the statistical weights used.
rules and roles of those entities but also imple- Evaluating all alternatives with selected cri-
menting and sustaining the crisis management teria, the most logical alternative is picked and
system effectively. Therefore, technical compe- explained to decision makers and society. Deci-
tency of crisis management policies is as impor- sion may be a scientific exercise for policy ana-
tant as their political approval. lysts; however, the public consequences of the
The eightfold path of E. Bardach’s policy anal- suggested policy could create an unexpected resis-
ysis presents must-have steps in policy setting. tance that could end with a political failure. Policy
The technical part of policy formulation involves analysts should prepare the final submission of
creating efficient and implementable solutions to suggested policy for stakeholders, for politicians,
certainly and clearly addressed problems. Policy and for the public. Technical terms may not cre-
analysis steps should be fulfilled to complete ate expected political support, although they can
these technical details. Identifying and analyz- be very convincing statistically and scientifically.
ing the problem is the first step of policy set- Telling, therefore, is an important phase because
ting. Crisis management policies can face a wide the open face of the policy is viewed from the
perspective of problems, from administration to angle of tellers. This does not mean that the tell-
fiscal issues. Hence, evaluating them carefully ers of the suggested policy should tell lies or hide
requires a range of various professions. Multi- facts from the society. The policy makers should
stakeholder participation in the problem defini- clearly demonstrate all aspects of the new policy
tion phase will help in understanding assorted in a way understandable to all policy actors and
issues and suggesting solutions at the same time. to the public. Technology has made it easier for
Public–public and public–private partnerships policy makers to promote and explain suggested
involving federal government agencies are the policies. Internet and the media are policy mak-
best application of modern public administra- ers’ best friends against political failures if they
tion systems addressing the controversial topic are used carefully.
of grassroots participation. Once legislated, crisis management policies put
After defining problems, alternative solutions many public and private organizations and per-
should be produced to offer policy makers dif- sons into planning, implementing, and sustain-
ferent policy options. These options may include ing effective interactions during, after, and before
the status quo and other policy suggestions. Each extreme events. Guidance to those actors can be
suggestion must clearly define the players and possible with agreed-upon negotiations. Those
their roles in policy. Having alternatives will help agreements should address duties and compensa-
decision makers to explain new policy to the pub- tion of all actors.
lic, since the best alternative will be picked in the
end. Therefore, alternatives should be as realistic Political Aspect
as possible. The political aspect of policy setting is not less
The most technical part of policy analysis is the noteworthy than the analytical part. Public
criteria selection phase. A criterion is a scientific approval of a crisis management policy is vital
tool that reveals the quantified cost and benefit of to sustain it. Continuation of policies across all
a policy alternative. Although cost-benefit anal- phases of crisis management is as important as
ysis is the most used criteria selection method, their delivery in the response phase. The largest
newer policies also utilize cost-effectiveness anal- part of the crisis management cycle belongs to the
ysis. Effective costs mean weighted value analysis, preparation and mitigation phases. Crisis man-
which assumes that some criteria are more or less agement efforts are well spent during response
important than others. It makes sense since pub- and recovery, but a decrease in efforts in the other
lic policy issues are too complex to put in simple two, longer phases can cost numerous loss of lives
figures. However, policy makers should note that and great material damage in a future disaster.
a criterion selected as the most cost-beneficial one In order to provide continuation, policy makers
in cost-benefit analysis could be a worse/better need to form a politically appropriate policy.
728 Policy Setting

Many crisis management policies fail over time partners of decision makers. Democratic legiti-
not because of technical details but because of macy can primarily come to reality with elec-
political conditions. For example, crisis manage- tions; however, other legitimate authorities could
ment policies in the United States were considered be created in different forms such as charismatic,
well designed until Hurricane Katrina in 2005. traditional ones. Traditional authorities are the
Hurricane Katrina was not the first hurricane to most common decision-making mechanisms
hit the United States or its southern coasts; Loui- around the world because the systems include
siana, Florida, Texas, and other southern states membership of both elected and appointed offi-
have been targets of other extreme weather events cials. Appointed bureaucrats take their authority
for over a hundred years. Moreover, U.S. crisis from long-time customs.
management policies were reformed and strength- Charismatic leadership forms a different kind
ened both locally and nationally after the 9/11 of legitimacy when a single person or a group
attacks. The initial response to Hurricane Katrina possesses or is believed to possess supernatural
was also successful; the president declared a state personal attributes. Although almost no govern-
of emergency on August 27, two days before the ments run on this type of legitimacy any more,
hurricane made landfall. Despite the common some leaders can still influence public policies
belief that a dispute between federal and state with their charisma in traditional or legal author-
governments brought about failure in response ity systems. However, considering that crisis man-
efforts, the reality was that the infrastructure was agement policies take years to put into effect and
not designed well enough to protect New Orleans usually should last more than a life span, a policy
residents. Policy makers did not follow mitiga- promoted by a person’s charisma—no matter how
tion protocols carefully enough, which resulted in strong it is—will be unsuccessful in the long term.
deaths during the hurricane. Legitimacy of a specific crisis management
In other words, policy makers waited for policy thus should be continuous. Traditional
another crisis instead of preparing the community and legal legitimacy sources could provide this
for it. Crisis management policies created only kind of consistency for a long crisis manage-
after new crises are called “disaster-driven poli- ment process. Bringing all stakeholders into the
cies.” Underdeveloped countries generally apply decision-making process is a must for political
disaster-driven legislation because public opinion legitimacy and consistency of the policies in the
is generally not focused on specific issues, even long term. This is another problem, since stake-
though those issues are vitally important for holders may have different opinions about public
the community. However, events like Hurricane policies. Their individual roles and compensation
Katrina, the Tohoku earthquake and tsunami are other important issues that actually could tear
in 2011, and the Deepwater Horizon oil spill in down the whole network before even starting it.
the Gulf of Mexico in 2010 demonstrate that Negotiation with public- and private-sector orga-
problematic disaster-driven policies are not only nizations together is an art itself.
applied in underdeveloped countries. The politi- R. Fisher, W. Ury, and B. Patton (1991) pro-
cal side of policy setting is crucial for this exact vided valuable insight for this very subject in their
reason: crisis management policies are worthless influential book titled Getting to YES. Traditional
in any situation of discontinuation. The policy negotiation tactics may not work in the modern
could excel analytically in terms of improvising world because technology and communication
intra-training programs; real-time exercises; per- have forced private and public organizations to
sonnel; budget; and intraorganizational, inter- review all their interactions with the environment.
organizational, and even international roles and Crisis management policies, especially when they
duties; nonetheless, a pause or an interruption in are set up at a national or international level, are
policy process because of a lack of political sup- commonly steered by public organizations. They
port may end in total failure. tend to lead the whole network because of tra-
Political formulation of a policy begins with ditional understanding, where government is the
a democratic decision-making setting. Autho- sole source of authority and power. However, the
rization of the policy should include legitimate postmodern world of ours requires governance as
 Policy Setting 729

On January 28, 2008, President Barack Obama signs emergency declarations for the state of Arkansas and the commonwealth
of Kentucky after requests for aid from both state governors. Severe winter storms began pummeling the region on January 26.
Federal policy dictates that a presidential declaration is necessary to authorize the Department of Homeland Security and the Federal
Emergency Management Agency to coordinate all disaster relief efforts in a specified emergency.

a communication method among all public and agency could use a more directive language
private entities about almost any common policy, toward a local or regional governmental entity.
including crisis management. Therefore, policy It could be necessary to do so when an immedi-
makers should utilize the best negotiation tactics ate action is needed by the closest authority, par-
to reach participants. ticularly in response and recovery phases. None-
Crisis management policies are vastly differ- theless, a directive order could be unsuitable for
ent from some other public policies in context; nongovernmental agencies. For instance, many
they are generally mutual and can involve obli- crisis management systems throughout the world
gations for partners. A one-size-fits-all approach use an emergency communication plan where
is not enough for the partners, so the negotiator all cell phone users in a particular region except
agency should seek different settlement options first responders are blocked by mobile network
for different partners’ concerns. It is obvious operators immediately after a national emergency
that local, regional, and national governments; declaration. London police performed a similar
nongovernmental organizations (NGOs); private operation during the July 7, 2005, train bombings
companies; and civil society will have different in London. In observing lessons learned from the
roles during a crisis. The position of an entity in a bombings, K. Strom and J. Eyerman stated that
crisis management network entirely changes the the system was helpful for first responders, with a
duties executed. Coordinating agencies may set few ignorable and fixable flaws. The most impor-
up individual types of relationships with organi- tant part of this particular prevention system is the
zations in order to increase effectiveness of per- cellular network companies. It should be noted
formed activities. that the richest and most powerful companies will
Agencies in crisis management should be need more than a direct government command to
approached differently because of their individual provide political commitment to such kinds of
attributes. For example, a central government regulations. Negotiation and persuasion methods
730 Political and Organizational Leadership

instead of command-and-control techniques are Washington, DC: Congressional Research Service,

what the coordinator agencies of crisis manage- 2008.
ment will need, especially for private companies, O’Neil, H. Essentials of Comparative Politics. New
nonprofit organizations, and civilians. York: W. W. Norton, 2010.
Strom, K. J. and J. Eyerman. “Interagency
Conclusion Coordination: Lessons Learned From the 2005
Policy setting defines courses of action to achieve London Train Bombings.” National Institute of
the policy agenda, which is shaped by analyti- Justice Journal, v.261 (2008).
cal and political factors. The crisis management
agenda requires commitments of almost all public
and private organizational actors in the commu-
nity. Therefore, an effective policy should have a
well-judged analysis with rational alternatives. All Political and Organizational
stakeholders should clearly grasp their possible
roles and responsibilities. The wording of the pol- Leadership
icy legislation needs articulation in context. These
analytical details will help a policy maintain its Organizational leadership is defined as “the abil-
reliability during extreme events. Commitment of ity of an individual to influence, motivate, and
stakeholders also requires political feasibility of enable others to contribute toward the effective-
the policy suggested. Legitimacy of the legislation ness and success of the organizations of which
authority is a necessity for political convenience. they are members,” according to Robert House
Traditional and democratic authorities are bet- et al. Leadership, as a general concept, is defined
ter than other authorities, which take advantage by Dean Keith Simonton as “an attribute of a
of charisma or other supernatural sources in the group member whose influence on group atti-
long run. Crisis management policies include mit- tudes, performance, or decision making greatly
igation and preparation phases that could take exceeds that of the average member of the
more than several decades; therefore, a long-run- group.” Combining these two definitions, orga-
ning legitimacy is vital for political commitment nizational leadership could be described as the
of all stakeholders of the policy. To sum up, both influence of a leader on the organization and
analytical and political aspects of policy setting its employees to motivate for success and better
are equally critical for crisis management. performance.
Political and organizational leaders play their
Bahadir Sahin most crucial role in times of crisis. In the event of
Independent Scholar a crisis—political and economic crises, in partic-
ular—strong leadership is needed for big, trans-
See Also: Decision Making, Theories of; Political and formative, or substantive change. This change is
Organizational Leadership; Stakeholders. essential for the continuance, and even for the
survival, of organizations and countries. Evaluat-
Further Readings ing crisis conditions, predicting future changes,
Bardach, E. A Practical Guide for Policy Analysis: developing the right strategies, and implementing
The Eightfold Path to More Effective Problem the right course of action are of vital importance
Solving. New York: Seven Bridges Press, 2000. for organizations and countries.
Fisher, R., W. L. Ury, and B. Patton. Getting to YES.
Negotiating Agreement Without Giving In. 2nd ed. Essentials of Organizational Leadership
New York: Penguin, 1991. Stephen Zaccaro and Richard Klimoski summa-
Lindell, M. K., C. S. Prater, and R. W. Perry. rize the essentials of organizational leadership as
Introduction to Emergency Management. follows:
Hoboken, NJ: John Wiley & Sons, 2007.
Moore, L. K. An Emergency Communications • Organizational leadership influences
Safety Net: Integrating 911 and Other Services. employees and organizations and provides
 Political and Organizational Leadership 731

direction and strategy for attaining Regardless of the group, other skills also are
objectives. regarded as essentials of organizational leaders.
• Leadership is affected by organization First, complex information-processing and
types, organization characteristics, and problem-solving capacities are essential cognitive
environment. characteristics of organizational leaders. Factors
• Organizational leadership creates influence affecting organizations are interconnected and
on the organizational life, especially complex in today’s world. Advances in informa-
through use of nonroutine activities. tion technology, globalization, and speed of data
flow necessitate information-processing skills.
Personal characteristics of successful organiza- Interpreting available information and develop-
tional leaders have been much discussed among ing the right strategies requires problem-solving
scholars. The most common attributes of lead- abilities.
ers were grouped under three categories: power, Second, top executives need to coordinate and
affiliation, and achievement. oversee the activities of all of the units within the
Power motive is defined as a desire to obtain organization. Therefore, leaders need to have
status and have an impact on others, hence affect- social skills that will help balance conflicting
ing their behaviors and emotions. Actually, pos- demands and goals for the good of the organi-
sessing a certain amount of power is regarded as zation. This ability to collaborate with different
the most essential aspect of leadership. This power units is important to manage the outside environ-
is utilized to gain and use social and managerial ments of the organization.
influence on the workers to get things done. Lead- Third, for high-level organizational leaders,
ers use this power to motivate employees and to it is necessary to take into account the environ-
increase their commitment level. ment in which the organization operates. Orga-
On the other hand, leaders with a strong power nizations need to build and maintain coalitions
motive commonly have an authoritarian charac- and partnerships with others. To be able to create
ter. They favor people who will be devoted to them these coalitions, organization leaders may need
and easily managed. Moreover, they are assertive, to be more cooperative, because creating partner-
overbearing, and less cooperative, hardly show- ships requires more persuasion.
ing desire to gain favor of subordinates. Fourth, leaders and executives need to be
Another attribute of leaders is their personal aware of available technologies and to use them
characteristics and behavior as perceived by their effectively. Technological developments create
staffs. This is called “affiliation” of a leader. Affili- both advantages and disadvantages for organi-
ation is defined as “a desire to establish, maintain, zational leaders in today’s world. Available hard-
and restore personal and emotional relationships ware and software dramatically affect the man-
with others.” Leaders with a strong affiliation agement of organizations. However, during crisis,
motive seek participation of employees. Friend- being highly dependent on technology may pose
ship, integration, and participation are important threats, such as not being able to access avail-
for this kind of leader. On the other hand, leaders able resources because of the lack of operational
with a strong affiliation motive are likely to be less computer systems. Organizational leaders need to
assertive and more permissive. They may overvalue plan alternative methods in advance to prevent
the approval of others. Moreover, they may not the organization from possible harms of technol-
take necessary actions for the organization in order ogy, which is highly useful otherwise.
to maintain good relationships around themselves. All these attributes are associated with suc-
The achievement motive is defined as “a desire cess. Some other factors are regarded as rea-
to exceed some standard of excellence or do some- sons for failure. Organizational leaders may fail,
thing distinctive.” Leaders with a high achieve- and commonly, organizations fail (totally or to
ment motive are perfectionists. They actively take some extent) if their leaders fail. Lack of leader-
part in organizational activities. They have the ship skills such as establishing good teamwork,
capacity for innovation, proactivity, and an enter- inability to lead change, and lack of interpersonal
prising nature. skills such as creating good relationships and
732 Political and Organizational Leadership

Case Study: Apple, Inc., and Steve Jobs

Steve Jobs is one of the best successful leadership He put a special emphasize on the design of the
examples. His life involved almost every aspect of a products. According to him, design was not how it
successful organizational leader. When there was a looks but it was how it works. Therefore, he worked
big economic crisis in Apple in 1997, he managed with the best designers in the creation of new
to rescue the firm from bankruptcy and then created products.
the most valuable company in the following decade. He used empathy to find out what customers
Jobs founded Apple in 1976 with his friends. want. He said, “We figure out what we want.” He
He was forced to leave his own company in 1987. created good products that he himself would like to
In the following 10 years, until 1997, Apple use. He thought customers would like the products if
continually lost market share. The company had a he liked them first. Time showed that he was right.
three-year record-low stock price and huge financial Jobs valued innovation. He rewarded employees
losses. In order to recover from a total failure, the who showed experimentation, risk taking, and
company decided to bring back Steve Jobs as chief creativity. For example, when developing the
executive officer (CEO). iPhone, he became involved in a big debate within
After he was appointed Apple’s CEO for the Apple with others. He said this:
second time, in 1997, Steve Jobs made several
radical changes. George Beahm summarizes the It was a great challenge. Let’s make a great
philosophy of Jobs and defined the causes of crisis phone that we fall in love with. And we’ve got
that Apple faced as follows: the technology. We’ve got the miniaturization
from the iPod. We’ve got the sophisticated
You need a very product-oriented culture, operating system from Mac. Nobody had ever
even in a technology company. Lots of thought about putting operating systems as
companies have tons of great engineers and sophisticated as OS X inside a phone, so that
smart people. But ultimately, there needs to was a real question. We had a big debate
be some gravitational force that pulls it all inside the company whether we could do
together. Otherwise, you can get great pieces that or not. And that was one where I had to
of technology all floating around the universe. adjudicate it and just say, “We’re going to do
But it doesn’t add up to much. it. Let’s try.” The smartest software guys were
saying they can do it, so let’s give them a shot.
Realizing this situation, Jobs narrowed Apple’s And they did.
product portfolio down to a few, choosing simple
but useful products according to market needs. Steve Jobs was very demanding while recruiting
He changed the focus of Apple from easy-to-use new employees. Intelligence and dependence on
computers to a digital lifestyle line of products, the work and company was very important. He
including hardware, operating systems, and believed that recruiting the right people was the
software for computers, cellular phones, and MP3 magic rule for success.
players. Jobs describes his policy as follows: After recruitment, socialization of employees
around the Apple culture was a continual process.
People think focus means saying yes to the Employees were surrounded by others as qualified
thing you’ve got to focus on. But that’s not as themselves. This forced them to prove their
what it means at all. It means saying no to abilities. He defined his role for employees as
the hundreds of other good ideas that there follows:
are. You have to pick carefully. I’m actually
as proud of the things we haven’t done as the My job is to not to be easy on people. My
things I have done. Innovation is saying no to job is to make them better. My job is to pull
1,000 things. things together, clear the ways, get resources
 Political and Organizational Leadership 733

for key projects, and make these great people taking part in organizational activities, and seeking
even better. innovation. He created a good teamwork culture
in Apple. He analyzed the environment very well
Steve Jobs was known as an outspoken person. and developed his strategy based on the future
He was authoritarian, dominant, and assertive, environment.
like most powerful leaders. He is described by To sum up, leaders are supposed to find and fix
employees as temperamental, aggressive, tough, whatever part of the organization is not properly
intimidating, and very demanding. In case of failure, working. Leaders analyze the strengths, threats,
he admonished verbally. However, successful and weaknesses of organizations and find existing
personnel were rewarded generously. Even the gaps that prevent the organization from achieving
employees who feared him had great respect for its goals. Steve Jobs carried out this duty perfectly
him because of inspired loyalty, enthusiasm, and for Apple.
the high level of continuous innovation. Actually, As a result of all the efforts of Steve Jobs and
leaders with great power are associated with these his strong leadership skills, Apple survived after
kinds of attitudes. Steve Jobs benefited from these bankruptcy. Between early 2003 and 2006, the
attitudes to produce creative vision and led this price of Apple’s stock increased more than tenfold.
vision to innovation. Apple products have sold in the millions all over
He also showed almost every aspect of the world. Finally, Apple became the most valuable
achievement motive, such as being a perfectionist, company in 2012.

communication are among the major reasons for If the current structure of an organization is
leadership failure. regarded as the source of problems, leaders must
have a full understanding of redesigning that
Leadership Roles in Organizations organization. A constantly changing environ-
The most essential role of a leader is to improve ment forces organizations to change, even those
organizational and collective effectiveness. Practi- that operate in a very closed system. Tradition-
cal evidence shows that “top executives matter” ally, organizations have hierarchical structures.
in overall effectiveness of organizations. There are Considering today’s business environment and
several ways in which a leader affects organizations. complex problems, a major role of leaders is to
First, characteristics of leaders affect organi- create effective partnerships with other leaders
zations. Leaders define the path and direction in and organizations. This is the basic assumption
which the organization will operate. All members behind the strategic management approach. Stra-
try to reach organizational goals defined by lead- tegic management and leadership, along with the
ers. Leaders carry out this duty by defining the transformational leadership approach, provide
mission, vision, strategy, goals, plans, and tasks good insight for organizational leadership.
of organizations. In doing so, leaders provide a
sense of understanding and guidance for the over- Crisis Management
all activities of the organization. Organizational and political leadership is most
Second, leaders matter because they are sup- needed during times of crisis—leadership is not
posed to find and fix whatever part of the orga- needed or noticed deeply in the regular course of
nization is not working properly. This part could activities of organizations, according to Zaccaro
be a person, a division, or the organization as a and Klimoski. However, in a nonroutine activity
whole. Leaders analyze the strengths, threats, and or an unforeseen situation, leadership becomes
weaknesses of the organization; they find out and highly important. The essence of organizational
fix existing problems that prevent organizations leadership is to be influential over and above rou-
from attaining their goals. tine activities.
734 Post-Traumatic Stress Disorder

Nonroutine activity is defined “as any situation Making; Decision Making Under Stress; Emergency
that creates a potential or actual threat to orga- Management, Principles of; Emergency Management
nizational goal progress.” During these periods, Systems; Operational Plans; Organizational Failure;
organizational leaders actively use their problem- Policy Setting; Pre-Crisis Training and Planning; Pre-
solving skills. They analyze causes of organiza- Impact Planning Process; Public Relations; Resource
tional problems, determine potential solutions, Management; Risk Analysis; Risk Assessment;
develop and implement strategies to achieve solu- Risk Treatment; Strategic Plans; Threat Detection;
tions, and monitor implementation of developed Uncertainty.
strategies.
Despite the crucial role of organizational lead- Further Readings
ers in crisis, leaders’ main responsibility is to Beahm, George. “The ‘Vision Thing:’ Jobs Looked
anticipate and be prepared for such tough times. for the Next Big Thing.” Journal of Leadership
Crisis may stem from organizational internal fac- Excellence, v.28/11 (2011).
tors, environmental external factors, or a mixture House, Robert, et al. Culture, Leadership, and
of these two. In terms of organizational factors, Organizations: The GLOBE Study of 62 Societies.
organizational activities designed according to Thousand Oaks, CA: Sage, 2004.
detailed and specified rules commonly do not Isaacson, Walter. Steve Jobs. New York: Simon &
require leaders’ intervention. The role of leaders Schuster, 2011.
here is to evaluate these activities and to try to Margarita, Marti, et al. “Organizational Leadership:
find possible problematic gaps. In order to be able Motives and Behaviors of Leaders in Current
to predict future problems, leaders must criticize Organizations.” Spanish Journal of Psychology,
and evaluate routine activities of their organi- v.12/1 (2009).
zations. When dealing with known and noticed Simonton, Dean K. Greatness: Who Makes History
problems, leaders only need to practice their past and Why. New York: Guilford Press, 1994.
experience to solve these problems. However, Zaccaro, Stephen J. and Richard J. Klimoski.
defining unknown or still-not-emergent problems The Nature of Organizational Leadership:
needs more work and continuing system evalua- Understanding the Performance Imperatives
tion. During this evaluation process, leaders must Confronting Today’s Leaders. San Francisco:
construct the nature of the problem and potential Jossey-Bass, 2001.
solution strategies.
When it comes to selection among available
intervention strategies, leaders are supposed to
choose the appropriate strategy based on their
discretion and past experience. In terms of envi- Post-Traumatic
ronment, leaders must be aware of the changes in
the environment, have the ability to analyze these Stress Disorder
events and their possible effects on the organiza-
tion, and make necessary plans to confront these Stress is a state of mental or emotional strain.
threats. A leader can possess all of these skills; Eustress helps people remain alert and facilitates
however, assembling a group of experts and act- their reactions to demanding situations. Distress
ing together is always more reliable than personal involves psychological impairment, which is usu-
decision making. ally a temporary condition. Post-traumatic stress
disorder (PTSD) is a negative psychological reac-
Serdar Yildiz tion through which a person tries to come to terms
Independent Scholar with a recent event that has severely affected him
Bahadir Kucukuysal or her. A subset of PTSD is critical incident stress
Independent Scholar (CIS), which occurs in frontline emergency work-
ers who experience frightening, horrifying, or oth-
See Also: Collaboration; Command and Control; erwise dramatic conditions. CIS is not limited to
Coordination; Criticality Assessment; Decision emergency workers; indeed, some of them escape its
 Post-Traumatic Stress Disorder 735

consequences by being able to concentrate wholly Behavioral symptoms include drug or alcohol
on their work. In this context, a critical incident abuse, excessive checking and securing, being
or traumatic event is an occurrence that is outside extremely protective of (or fearful for) the safety
the range of usual human experience and has a of loved ones, angry outbursts, crying spells,
strong potential to overwhelm a person’s normal withdrawal from social contact, suspiciousness,
ability to cope with stress. If the impact is abrupt, increased or decreased food intake, propensity to
the first reaction may be shock, a sudden and often be easily startled, and avoidance or fear of stimuli
intense disturbance of a person’s emotional state that resemble the one that created the stress.
that leaves the subject feeling stunned or dazed.
Shock may be followed by stress disturbance that Emotional symptoms include anxiety, fear, guilt,
lasts for weeks, months, or even years. In some of depression, sadness, grief, despair, resentment,
the worst cases, an early reaction is denial, which irritability, anger, sense of abandonment, numb-
can be manifest as failure to acknowledge that ness, shock, intense distress at seeing anything
something very stressful has happened or failure that is judged symbolic of the traumatic event
to experience the full intensity of the event. Denial (including anniversaries), inability to experience
is a psychological self-protective mechanism but loving feelings (emotional flatness), viewing the
not a very healthy one, given that it can retard the future as foreshortened, and violent mood swings.
mental process of recovery from a critical incident.
As it arises from many different situations, Clearly, there is overlap between the catego-
PTSD is a common phenomenon. In Western ries, and symptoms tend to be multiple, not sin-
countries, it may be prevalent in about 1 percent of gle. Moreover, virtually all the symptoms listed
the general population, and about 10 percent will are associated with other forms of disturbance,
have had some experience of it during their life- not exclusively with PTSD. Diagnosis therefore
times to date. Studies of emergency workers have requires a clear understanding of the cause-effect
revealed rates that vary between 3 and 40 percent, relationship and how the symptoms combine to
while soldiers returning from the battlefield and reveal the disorder in a patient’s personality. The
prisoners of war have shown prevalence rates of symptoms of PTSD may occur immediately, soon
up to 65 percent. Studies of the military causes of after the incident, or be delayed up to a year. If
PTSD during and after World War I revealed how they start more than six months after the event,
disorientating, profound, and persistent it can be. this is called “delayed-onset PTSD.” Patients who
Battlefield causes apart, PTSD is chronic or recur- are suffering from latent or manifest stress disor-
rent in a high proportion of people who develop it. der are more susceptible than normal to accidents
and physical illnesses.
Symptoms of PTSD PTSD is most likely to occur when a person is
PTSD has many contributory symptoms. They subject to a negative experience that he or she is
can be classified into four groups, as follows: not trained or otherwise prepared to cope with.
The sight of much death and destruction, the
Physical symptoms include nausea, trembling, experience of violence, the injury of colleagues or
chills or profuse sweating, chest pains, racing family members, hazardous living or working con-
heartbeat, high blood pressure, muscle aches, ditions, the combination of threat and uncertainty,
sleep disturbances, and lassitude. and excessive physical or emotional demands on
a person can all trigger PTSD, especially when
Intellectual symptoms include confusion or dis- such problems occur together, rather than singly.
orientation, loss of memory (psychogenic amne- Among emergency workers, both the demands of
sia), difficulty making decisions or solving prob- the job and any psychological and practical train-
lems, difficulty concentrating and calculating, ing received can help inoculate the subject against
reliving the event over and over again (a symptom stress disorder. However, some events are so over-
known as “intrusion”), distressing and recurrent whelming that there is little a person can do to
dreams about the causative event, hallucinations ward off the psychological impact. Nevertheless,
or illusions, and reduced attention span. people who receive serious physical injuries may
736 Post-Traumatic Stress Disorder

escape PTSD by lapsing into a coma or being oth- Psychologists have a choice of several scales on
erwise unaware of the psychological implications which to measure traumatic stress. The Davidson
of the event. trauma scale (DTS) is designed to evaluate PTSD
Strong emotional or stress reactions are com- in people who have experienced extreme events. It
mon after a critical incident, although their sever- uses 17 measures of the frequency and seriousness
ity and duration may vary considerably from one of symptoms. It can record changes over time, for
person to another. Psychologically healthy people example, when comparing different methods of
survive such troubles through their self-healing treatment. The psychological general well-being
mechanisms and the fact that their relationship index (PGWBI) is a bipolar scale that uses 22 mea-
with the physical, social, and emotional milieu sures to assess both negative and positive psycho-
in which they live can survive the impact of the logical states, including well-being resulting from
negative event. However, the support of loved lack of stress. It has six dimensions: anxiety, depres-
ones, close friends, or professional counselors sion, positive attitudes and well-being, self-control,
may be needed in order to create the conditions general well-being, and vitality. Finally, the disposi-
for recovery and prevent disorders from becom- tional resilience scale (DRS) measures the capacity
ing chronic. of a person to resist stressful events. It takes into

A U.S. Army soldier gives a young Pakistani girl a drink of water as they are airlifted aboard a helicopter from Muzaffarabad to Islamabad,
Pakistan, after a devastating earthquake, October 19, 2005. A victim of this crisis might experience post-traumatic stress disorder (PTSD),
a negative psychological reaction brought on by trying to come to terms with a disturbing recent event. A subset of PTSD is critical
incident stress, which occurs in frontline emergency workers; however, some escape it by concentrating fully on the work at hand.
 Post-Traumatic Stress Disorder 737

account hardiness, the ability to transform adverse these may help relieve symptoms (especially intru-
events into opportunities, understanding their sig- sive ones) and may enable a patient to participate
nificance, and regaining control. It utilizes 18 psy- more effectively in psychotherapy.
chological categories and various social ones. When a PTSD sufferer seeks professional help,
there may be several options. Behavior therapy
Recovery From PTSD aims to correct harmful patterns of behavior and
When a person is affected by PTSD, the length thought by teaching relaxation and the ability to
of time required to recover depends on several challenge negative mental processes. Psychody-
factors. The first of these is the intensity of the namic psychotherapy helps the patient to examine
event, as conceptualized in terms of its duration, his or her values and experience of the traumatic
the intensity of the experience, and the number of event. Family therapy is useful when a person’s
casualties or amount of destruction observed. Pre- spouse and children are affected by his or her
vious experience of similar situations can prepare symptoms and behavior. Finally, discussion groups
a person for the trauma and reduce its impact. and peer-counseling groups can help the survivors
However, sequences of stressful events may of traumatic events to share their experiences and
increase the psychological burden and therefore reactions. They can create a sense of solidarity
the recovery time. For example, people who live and support. However, uncontrolled situations
in alpine valleys may have a well-developed fear and ill-advised choices in therapy can open a Pan-
of snow and ice avalanches. A series of seasons in dora’s box of harmful reactions that can worsen a
which the incidence of avalanches is higher than patient’s condition rather than heal it.
normal may exacerbate stress disorders.
A person who suffers from PTSD or CIS will The Mitchell Method of Debriefing
probably need a support mechanism. Studies of Group therapy is mostly used to help emergency
the psychological impact of terrorist outrages responders after they have been involved in critical
suggest that people overwhelmingly prefer to seek incidents. Critical incident defusing is conducted
support from friends and family, not professional directly after an incident by a trained counselor
carers such as psychiatrists and trained counsel- or psychiatrist. Critical incident debriefing should
ors. However, the remediation of PTSD can be follow within 72 hours. Psychological debrief-
a very delicate matter, and misguided attempts ing (which is not to be confused with debrief-
may worsen the problem. Nevertheless, a patient ing for technical and operational reasons) has
should be encouraged and helped to overcome several justifications. It helps review the impact
PTSD, and to express his or her feelings in ther- of the critical event on a person’s life. Emotions
apeutic rather than damaging ways. This will can be vented and reassurance and support pro-
probably require helping the patient to revisit the vided. Participants learn about trauma reactions
event in order to come to terms with it. The sup- and how to manage symptoms. The sessions can
port of family members and carers will doubtless help people to return to normal, create a sense of
be vitally important, and the patient should be group solidarity, and identify any individuals who
encouraged to maintain a healthy diet, get enough are so badly affected that they need additional
rest, and drive or operate machinery carefully. counseling. Above all, participants are encour-
Psychiatric help or counseling is needed when aged to realize that deep emotional and psycho-
feelings or physical symptoms are unbearably logical reactions to critical incidents are normal
intense, or when the symptoms continue for too and that a healing process can be started by shar-
long. It is especially necessary when the patient has ing reactions with colleagues.
no one with whom to share his or her emotions, or The best-known among several methods of
when there is a negative impact on relationships at critical incident stress debriefing is that devised by
work and at home. Help is needed if the individ- Jeffrey T. Mitchell and his colleagues. It has seven
ual turns to substance abuse, if his or her behavior stages. The first of these is introductory, in which
causes concern, or if he or she suffers a mental or the structure of the debriefing process is explained
emotional breakdown. The problem cannot usu- to participants and agreements on confidentiality
ally be solved with antidepressant medicines, but and other matters are established. When a team
738 Post-Traumatic Stress Disorder

is debriefed, all its members need to be present may undergo group therapy debriefing sessions.
at the sittings and there must be a professional These have been found to be useful in legitimizing
debriefer, who will probably be a psychiatrist or reactions to abnormal situations. However, not
trained counselor. all emergency services agree with such methods,
The second phase involves using narratives especially as debriefing that goes wrong can exac-
from group members to establish exactly what erbate tensions and symptoms and increase the
happened during the critical incident. Each par- effects of PTSD.
ticipant must contribute to the discussion, and
participants are encouraged to develop a sense David Alexander
of bonding. In third place comes the thought (or Global Risk Forum, Davos
thought reaction) phase, in which participants
discuss their personal views of the incident. This See Also: Debriefing; Disruption of Organizations;
is followed by the reaction (or emotional reac- Emergency Responders; Groupthink; Incident
tion) phase, in which the facilitator seeks to bring Response; Mental Illness; Mental Models;
people’s feelings about the incident to the surface. Normalization of Deviance; Panic, Nature and
Reactions must be legitimized and not made to Conditions of; Trauma.
seem abnormal. In the fifth phase, participants
are encouraged to discuss their physical symp- Further Readings
toms and to realize that these are normal—in Armagan, Erol, et al. “Frequency of Post-Traumatic
fact, they are predictable reactions to an abnor- Stress Disorder Among Relief Force Workers
mal situation. After the Tsunami in Asia: Do Rescuers Become
The sixth phase is one in which practicalities Victims?” Prehospital and Disaster Medicine, v.21
are discussed. Information on common or likely (2006).
stress reactions is shared with the participants, Foa, Edna B., et al. Effective Treatments for PTSD:
and practical guidance is offered on how to deal Practice Guidelines From the International Society
with them. Finally, the reentry phase is used to for Traumatic Stress Studies. New York: Guilford
summarize the results of the debriefing, distrib- Press, 2010.
ute informational material, and, where necessary, Fullerton, Carol S. and Robert J. Ursano. Post
schedule a follow-up debriefing session. After- Traumatic Stress Disorder: Acute and Long-Term
ward, the debriefer should remain available to Responses to Trauma and Disaster. Washington,
discuss issues privately with any member of the DC: American Psychiatric Press, 1997.
group who requires further help. In the case of Heath, Robert. “Unwinding the Mind: Re-Positioning
multiple debriefings, their facilitators should con- Management of Critical Incident Stress, Post-
fer, of course without breaching confidentiality Traumatic Stress, and Prolonged Duress Stress.”
agreements. International Journal of Emergency Management,
v.1 (2002).
Conclusion Horowitz, Mardi J., et al. “Signs and Symptoms
Post-traumatic stress disorder and its subset criti- of Post-Traumatic Stress Disorder.” Archives of
cal incident stress are common conditions that General Psychiatry, v.37 (1980).
may affect anyone who is involved in a sudden, Lansky, Melvin R. Posttraumatic Nightmares,
traumatic event. The stress reactions may mani- Psychodynamic Explorations. London: Routledge,
fest themselves immediately or with a delay of 1995.
up to one year. A range of physical, intellectual, Meichenbaum, Donald. On Treating Post-Traumatic
behavioral, and emotional symptoms may indi- Stress Disorder: A Handbook and Practice Manual
cate that victims of PTSD need counseling and for Therapy. Hoboken, NJ: Wiley, 1996.
support. Although in many countries professional Mitchell, Jeffrey T. and George S. Everly, Jr. Critical
psychological help is readily available, most Incident Stress Debriefing: An Operations Manual
individual sufferers prefer to seek support from for the Prevention of Traumatic Stress Among
friends and family. Groups of emergency respond- Emergency Services and Disaster Workers. 2nd ed.
ers who have experienced critical incident stress Ellicott City, MD: Chevron Publishing, 1996.
 Poverty 739

Shannon, Mitsuko P., et al. “Children Exposed Because of this, some experts have suggested that
to a Disaster: Epidemiology of Post-Traumatic the best approach to vulnerability reduction and,
Symptoms and Symptom Profiles.” Journal of ultimately, crisis management is the elimination
the American Academy of Child and Adolescent of poverty through long-term projects aimed at
Psychiatry, v.33 (1994). increasing incomes and standards of living, as
well as improving access to critical resources.
People who live at or below the poverty mark in
a society (and some who live above it, but still at
lower income levels) often lack resources to pre-
Poverty pare for or respond to a crisis on their own and
are at greater risk from threats and hazards. They
Despite the widespread public use of the term likely lack the financial resources to suitably pre-
poverty, many experts disagree about a clear pare for a disaster, recover from an emergency, or
and specific definition of the term. For the pur- respond to a crisis. Such vulnerable populations
poses of this article, poverty is a subjective mea- are especially susceptible where social safety nets
sure by which an individual’s or group’s income are absent. Moreover, this problem of vulnerabil-
level, standard of living, or access to resources ity is further complicated for people living in pov-
are measured against those of other individuals erty because they often exist in multiple vulner-
or groups and found lacking, causing problems able populations. Internationally, many elderly
in daily life and long-term survival. It is a situa- and children, women, and disabled individuals
tion of need or lacking where affected individu- live in poverty, each characteristic (age, gender,
als need more or better resources or are lacking sex, disability, and poverty) potentially placing
in certain resources that would make their lives them in an even more vulnerable situation than
safer, healthier, easier, or better. Because income, they would be otherwise.
standard of living, and resources (and access to Data collected in times outside moments of
them) vary widely from location to location, crisis can help prepare individuals and people
poverty levels must be considered relative to the involved with crisis management to support
specific area they occur in, whether at a group, populations that live in poverty. Identifying areas
local, state, regional, or national level. Although of and groups that live in high poverty can help
considering poverty within these specific contexts identify potentially vulnerable populations. With
can create complications for crisis management, this identification, crisis management plans can
it is important that crisis managers consider it account for particular needs that may be greater in
in these terms to provide more effective disaster, poverty-ridden populations than they are among
emergency, and crisis response. the general population. In addition to fewer finan-
Poverty creates specific problems for people cial resources, poverty is often correlated with a
that need to be dealt with by crisis management wide range of issues that can themselves cause
in times of disasters, emergencies, and crises, as it problems in terms of crisis management. Although
often puts people at greater risk and makes them poverty often correlates with these problems, it is
especially vulnerable to such events. This need important to note that they are not all necessarily
is complicated by the fact that poverty does not present in the same way in the same areas, so man-
have the same effects on all populations, even in aging crises can be made more difficult without
crises, making responses inclusive of needs related knowledge of the area affected.
to poverty more complicated. Crisis management People in poverty often live with less access
must account for and accommodate poverty and to medical care and more health problems. They
related needs when responding to disasters, emer- have less access to education and job training and
gencies, and crises but cannot apply the same set face less stable and financially secure employ-
of parameters to each population or event. ment. They struggle with inadequate food and
Although poverty typically predates a moment water sources. Many live in substandard con-
of crisis, its presence changes the effects of crises ditions or lack shelter. Areas with high poverty
and the crises, in turn, often exacerbate poverty. rates also often deal with higher crime rates. All
740 Practical Drift

of these factors themselves typically predate a cri- See Also: Income Inequality and Labor Unrest;
sis and are often made worse by the conditions Losses, Quantitative Versus Qualitative; Resiliency;
that can exist on the ground after a crisis, emer- Vulnerability; Vulnerable Populations.
gency, or disaster, as demonstrated by many cri-
ses, emergencies, and disasters such as how health Further Readings
problems faced by the poor in New Orleans, Lou- Chen, John-ren and David Sapsford, eds. Global
isiana, were exacerbated after Hurricane Katrina Development and Poverty Reduction: The
with even less available medical care. Because Challenge for International Institutions.
of these factors, crisis management efforts must Cheltenham, UK: Edward Elgar, 2005.
contend with a population that is potentially not Das Gupta, Monica, Christiaan Grootaert, Ravi
only affected by the crisis but also unprepared to Kanbur, Victoria Kwakwa, Nora Lustig,
deal with or recover from it, even compared to Christina Malmberg Calvo, Kevin Morrison,
other members of the population who may also Alice Sindzingre, and Zainal Aznam Yusof.
be struggling. World Development Report (WDR) 2000/2001:
Crisis management that does not account for Attacking Poverty. New York: Oxford University
the circumstances in which poorer populations Press, 2001.
live can exacerbate poverty and other related Gunewardena, Nandini. “Peddling Paradise,
problems. After the 2004 tsunami in India and Rebuilding Serendib: The 100-Meter Refugees
Sri Lanka, lower-income residents who had lived Versus the Tourism Industry in Post-Tsunami
near the water found themselves resettled farther Sri Lanka.” In Capitalizing on Catastrophe:
inland. Despite the often newly built homes, resi- Neoliberal Strategies in Disaster Reconstruction,
dents found themselves farther from the water Nandini Gunewardena and Mark Schuller, eds.
they relied on for their livelihood. As Nandini Lanham, MD: AltaMira Press, 2008.
Gunewardena has written, these residents lacked Harvie, Charles. “Indonesia: Managing Economic
financial and business resources that would have and Social Collapse.” In Economic Crisis
helped them recover from the disaster. As he and Management: Policy, Practice, Outcomes and
others have studied, this was made worse by dis- Prospects, Van Hoa Tran, ed. Northhampton, MA:
cussion of and the dislocation of residents from Edward Elgar, 2002.
their livelihoods and the associated social con- Klein, Naomi. The Shock Doctrine: The Rise of
flicts that arose from new homes and differing Disaster Capitalism. New York: Metropolitan
resources. Books, 2007.
Economic and financial crises in particular can Townsend, Peter. Poverty in the United Kingdom: A
cause poverty. Some also consider poverty itself Survey of Household Resources and Standards of
to be a crisis, one that needs to be managed like Living. Berkeley: University of California Press,
other crises, disasters, and emergencies are man- 1979.
aged. Discussions of these situations often over-
lap with consideration of other crises, especially
economic and financial crises. In such situations,
people already living below the poverty level may
find themselves with even lower income levels and Practical Drift
people who were previously better off financially
may find themselves falling below the poverty The combined knowledge gained by both emer-
line. The economic crisis in Russia in the mid-to- gency planners and emergency responders is criti-
late 1990s (reaching a critical point in 1998), for cal to the successful management of emergencies.
example, caused massive job loss from closed fac- Each group cannot operate to its full capacity with-
tories and farms and pushed millions of Russians out the other group’s knowledge and experience.
into poverty. However, a disconnection often develops between
formal emergency plans and local implementa-
Jennifer Trivedi tion. The theory of practical drift was developed
University of Iowa to explain this phenomenon. Crisis situations and
 Practical Drift 741

poor emergency response are in part attributable encourage or reinforce the emergence of practical
to systemic problems such as practical drift. The drift. In a loosely coupled organization, practi-
challenging environment of emergency situations cal drift that has set in over time may go unno-
will exacerbate the knowledge gap between safety ticed until a crisis emerges. Response to the cri-
planners and workers or emergency planners and sis requires tighter coupling, as units must work
responders if steps are not taken to reduce prac- together. Each unit will expect the other to operate
tical drift. Practical drift must be avoided if the according to the formal crisis management plan
victims of emergencies are to best benefit from or safety guidelines, even if they themselves have
the shared knowledge of emergency planners and been using localized practices. Practical drift in
responders. routine operations thus silently sets the stage over
time for poor response in times of crisis. Organiza-
Corporate Safety and Crisis Management tions with more stringent, less flexible procedures
Colonel Scott Snook coined the term practical are more vulnerable to practical drift caused by
drift in 2000 in his book Friendly Fire, an analy- adaptation to localized conditions over time.
sis of the causes of an incident that occurred dur-
ing the Iraq War in 1994. Two U.S. Army Black Practical Drift in Emergency Management
Hawk helicopters were accidentally shot down by One of the root causes of practical drift in cri-
friendly fire from two U.S. Air Force F-15C Eagle sis management is the existing knowledge gap
fighter jets in the no-fly zone over northern Iraq, between the emergency planners who develop
killing 26 members of an international peace- written emergency response procedures and the
keeping mission. Snook developed the theory emergency responders who implement them.
of practical drift to explain how local practices Emergencies often occur without warning, are
tend to slowly drift away from established writ- unpredictable, and create dangerous situations.
ten standard procedures when those standards do It is in these challenging conditions that emer-
not seem to practically fit the situation at hand, gency responders must apply both their long-
whether it be a routine task or an emergency sit- term knowledge of formal emergency procedures
uation. Practical drift can be found in a variety and their ongoing knowledge of local conditions.
of companies and fields, including that of crisis The larger the emergency, the more intensive the
management. required response, especially when multiagency
Snook’s theory identifies situational coupling, response must be coordinated. Finally, plan-
logics of action, and time as critical factors influ- ners must account for an emergency situation’s
encing practical drift. First, practical drift can be potential to escalate and overwhelm local or state
affected by whether an organization is loosely or resources, creating contingencies for larger emer-
tightly coupled, meaning whether an organiza- gency response as a crisis unfolds.
tion’s different units have a higher or lower degree Practical drift encompasses the changeable,
of local autonomy in decision making. The sec- localized conditions present in most emergen-
ond critical factor, logics of action, incorporates cies that can disrupt even the most elaborate and
the opposing practices of operating based on for- well-crafted response plans. These conditions can
mal guidelines, usually handed down from the change during the course of an emergency as well
top of the organizational hierarchy, and operat- as between different emergencies, even if they are
ing based on local decisions based on the task and of the same nature. These localized conditions
situation at hand. Such informal localized prac- can make it impossible or impractical for emer-
tices are more likely to develop when workers gency responders to adhere to preexisting emer-
feel the formal corporate guidelines do not match gency response plans, forcing adaptations that
their situational reality or needs, such as safety may evolve into informal practices over time.
or productivity requirements. Local workers and Emergency planners conduct extensive
units can shift between the two forms of opera- research, analysis, testing, and reflection over
tion over time. time to develop emergency response plans. Plan-
Finally, an organization’s stability can change ners must consider the types of emergencies likely
because of the critical factor of time, which can to occur and make educated guesses as to likely
742 Practical Drift

primary and secondary impacts. Planners must making emergency situations more dangerous.
work collectively to incorporate a variety of Practical drift is both more likely and potentially
expertise in a variety of fields. Sources consulted more dangerous in emergencies involving multia-
can include manuals, simulations and field exer- gency response. In these situations, each agency
cises, meetings and conferences, focus groups and must not only abandon localized practices but
task forces, design reviews, examination of past also abandon its agency-based emergency plan
incident responses, and personal experiences. for a new, global plan.
Emergency planners must also evaluate the Practical drift affects emergency response in
level and capabilities of the resources available to the long term as these adaptive localized prac-
emergency responders as well as any constraints tices evolve, becoming ingrained into informal
and plan for larger emergencies that require mul- local procedures. Emergency planners are gener-
tiagency responses and the establishment of chains ally unaware of these local procedures, as most
of command and control. For example, local- go unrecorded. Thus, local changes fail to become
ized emergencies may require less resources, and incorporated into formal plans, widening the gap
rural, volunteer responders will generally have between planning and response. Information and
less resources, finances, and equipment at their knowledge management is a core component of
disposal than their urban or professional counter- effective emergency response, but practical drift
parts. Emergency planners thus need to be famil- seriously limits this ability when crises or emer-
iar with localized experiences and conditions. gencies occur.
Although emergency planners have time to Snook’s theory advocates a close interconnec-
develop their plans, emergency responders must tion between planning and practice as the best
quickly put them into action in complex and chal- defense against practical drift. Knowledge shar-
lenging situations to minimize damage and loss ing between emergency planners at the organi-
of life. Emergency responders rely not just on zational level and responders at the local level is
emergency plans but also on personal experience vital to overcoming practical drift, as is develop-
and knowledge of local conditions. Resources ing emergency plans that recognize the value of
needed for effective response include personnel, situational adaptation. Closer coupling between
equipment, supplies, and procedures. Emergency emergency planning and response will also save
responders must coordinate their knowledge of time, a critical component of successful crisis
emergency plans with their knowledge of local management, and allow emergency responders to
situations and practices to operate most effec- more correctly anticipate and mitigate an emer-
tively. They must also do so in a timely and effi- gency’s secondary impacts.
cient manner. Emergency planners and responders need more
Emergency responders have exposure to formal interaction, allowing emergency planners to
plans and procedures through meetings, hand- develop plans more in tune with situational reali-
books, and field exercises but are rarely involved ties and allowing emergency responders greater
in the development, evaluation, and evolution of access to the planners’ theories and expertise. The
such plans. The fraternal nature and strong trust knowledge gained from situational implementa-
between police and firefighters can strengthen the tion is vital to maintaining the relevancy of emer-
already present tendency toward localization of gency plans. Relevant, flexible plans that adapt
practices. Practical drift furthers this disconnec- to local situations will be much less vulnerable
tion between the two groups, preventing emer- to practical drift, resulting in better emergency
gency responders from gaining the full benefits response and impact mitigation.
of collective planning-based knowledge. It also
prevents planners from fully benefiting from the Marcella Bush Trevino
up-to-date knowledge responders gain during the Barry University
actual implementation of emergency procedures.
The poor communication and lack of knowl- See Also: Collaboration; Command and Control;
edge sharing that foster practical drift hinders Coordination; Crisis Communications; Emergency
interagency cooperation and increases inefficiency, Management Systems; Interoperability.
 Pre-Crisis Training and Planning 743

Further Readings needs to be considered to ensure CMT personnel

Canton, Lucien G. Emergency Management: receive sufficient training in their roles to enable
Concepts and Strategies for Effective Programs. them to calmly respond to crises and disasters?
Hoboken, NJ: Wiley-Interscience, 2007.
Gilpin, Dawn R. and Priscilla J. Murphy. Crisis Involvement and Active Participation
Management in a Complex World. New York: Often, plans and processes are created and docu-
Oxford University Press, 2008. mented by knowledgeable, well-intentioned indi-
Haynes, Steven R., Wendy A. Schafer, and John M. viduals or teams and then provided to others for
Carroll. “Leveraging and Limiting Practical Drift use during times of crisis.
in Emergency Response Planning.” In Proceedings The plans may follow specific standards and
of the 40th Hawaii International Conference on methodologies, yet they aren’t tailored to the
System Sciences. http://www.hicss.hawaii.edu/hicss nuances of the community, corporation, or
_40/decisionbp/08_06_01.pdf (Accessed May 2012). individual. Because of this, some plans are not
Perrow, Charles. The Next Catastrophe: Reducing “bought into” by teams, most notably the crisis
Our Vulnerabilities to Natural, Industrial, and management team. Following this method means
Terrorist Disasters. Princeton, NJ: Princeton that many teams are told what they are respon-
University Press, 2007. sible for, which sometimes includes roles and
Snook, Scott A. Friendly Fire: The Accidental responsibilities that aren’t normally part of their
Shootdown of U.S. Black Hawks Over Northern everyday operation.
Iraq. Princeton, NJ: Princeton University Press, For a documented plan to be effective, it must
2000. receive input from the team members themselves
Wallace, Michael and Larry Webber. The Disaster and be validated. They are the subject matter
Recovery Handbook: A Step-by-Step Plan to experts (SME), after all, so who better to know
Ensure Business Continuity and Protect Vital what their roles should be? Without SME input,
Operations, Facilities, and Assets. New York: the plans and processes may not be correct, as the
American Management Association, 2004. SMEs validate the content and the process flow
to ensure that small nuances—that may not be
known to others—are captured. In this way, they
are also validating the plan, or at least the docu-
mented components. Validation is also performed
Pre-Crisis Training when the plan is tested.
Tests—either tabletop walk-throughs, simu-
and Planning lations, or functional component testing—will
help identify gaps in the plans and processes that
To attain great skill and knowledge on a subject, may not have been considered when being docu-
one must either go to school to obtain informa- mented. Based on the test situation and scenario,
tion through formal education channels or simply the plan is being challenged as the teams walk
practice, practice, and practice some more. Only through their roles and responsibilities, finding
then can specific goals and objectives be reached. and correcting the course of action presented by
This is also true for managing crises and disasters the tests. This is how the validation works and
if reputation, property, and lives are to be saved how the CMT members are able to familiar-
during drastic situations. Trying to respond effec- ize themselves with their roles and the expecta-
tively to a disaster when it has already occurred tions of other teams. It provides a way for teams
can create even greater negative impacts to com- to work together and interact in a way that they
munities, corporations, and people. When a situ- may not have the opportunity to do during nor-
ation occurs, it must become instinct—second mal operations.
nature—for a crisis management team (CMT) to
know which activities need to be implemented. Test the Plan, Don’t Plan the Test
This is only attained if CMTs receive pre-crisis There is an old expression: “Can’t see the forest
training; on-the-spot training won’t work. What for the trees.” It means that sometimes people
744 Pre-Crisis Training and Planning

Case Study: Montreal Human Resources Firm Crisis Management Training

In August 2007, one of Canada’s largest human own issues and risks. At predetermined scheduled
resource service providers found itself in a intervals, the leaders of each CMT team would
dilemma; its downtown Montreal location was in meet to address their status and progress and
the middle of an evacuation zone because subway/ jointly address risks and issues that needed to be
transit workers discovered cracks in an underground addressed to ensure the exercise fulfilled its scope.
subway passage. The fear was that the tunnel could Any issue identified was assigned to the team
collapse and bring down several buildings with it, that actually owned the issue rather than it
including the one that housed the service provider. being forwarded to the exercise coordinator for
The company had a newly implemented “incident further investigation. This simulated what would
management” protocol, which was utilized to happen in a real crisis/disaster. For example,
address the situation. However, because it was so if an issue was identified that had to do with
new, not everyone understood what the process travel or accommodation, it was forwarded to the
entailed or who was in charge. Since most of the Human Resources team, as that was the team that
previous incidents had been information technology addressed these kinds of things during normal
(IT) occurrences, those in Montreal thought IT was operations, not just during times of disaster or crisis.
the leader in this incident as well, but it was not an Even during the exercise itself, CMT leads
IT issue; it was a facilities concern. Eventually, the and members set their own schedules to ensure
situation was resolved and operations went back appropriate coverage and skills levels were available
to normal, but it did create a concern that existing at all times should an issue arise for their team
crisis/incident management teams weren’t clear on to address or identify. This approach enabled the
what their roles and responsibilities were because team to work together and build their roles and
confusion was caused during the Montreal crisis. As responsibilities to suit what they would actually do in
a result, a change was needed in the training and a crisis/disaster, rather than follow a predetermined
awareness activities related to the crisis/incident script they were not part of building. The original
management teams. This is what they did. CMT plan was used as a base, and teams built on it.
On an annual basis, the company performed Using the documented CMT plan, which
a very large IT restoration and recovery exercise contained roles and responsibilities, the team was
at an off-site location and usually included end now able to proactively identify gaps in the plan
users. A central coordinator—usually the Business and help validate its roles—as well as others—as
Continuity representative—managed the planning, part of the CMT.
execution, and subsequent follow-up activities. In the end, there were 170 people involved
However, the next exercise—after the Montreal in five facilities spread over three countries. The
incident—would be managed differently. process helped uncover inconsistencies and
The various components that made up the assumptions that were made by all team leads and
crisis management team (CMT) structure would team members. It also helped dramatically increase
be involved with the next exercise and would emergency management/crisis management team/
be responsible for communications within their IT Disaster Planning awareness, knowledge, and
respective teams and to report statuses, plan effectiveness—as well as teamwork—that was
activities, execute activities, and manage their utilized to address future incidents.

can’t see what they are looking for even though details within the plan to ensure positive test results
it is right in front of them. They waste effort on and forget about the overall plan. Focusing on the
activities that aren’t initially required. CMT plan- minutiae of the plans at the outset interferes with
ners and members often concentrate on the minute the development of the plan. It’s as if a builder is
 Pre-Crisis Training and Planning 745

more worried about the color of the walls in the CMT roles are assigned to specific individuals,
third bedroom than whether the structure of the but this assumes they will be available when the
house meets the needs; once that is done, then one crisis or disaster occurs, which may not always
can begin to delve into the details. be the case; an individual could be hurt in the
When it comes to tests, there is a lot of plan- disaster or away at another location and unable
ning that goes into them, yet often the planning to perform his or her activities. The roles that are
effort is for activities that wouldn’t normally be documented have to be communicated and vali-
performed if it were a real crisis or disaster situa- dated by others so that there can be an identified
tion. When this occurs, it negates the plan because alternate in case a primary person is not available.
the focus has been on the planning effort rather During normal operations, there are accepted
than on a real-world result. There may be some and expected communication strategies and chan-
activities that require planning—booking hotels, nels that are used to convey information to keep
travel arrangements—though if these are part of communities involved, individuals connected,
a CMT plan, then that particular section of the and corporations producing their products and
plan should be tested as it would be performed services. However, in a disaster or crisis situation,
and coordinated in a real situation, not “watered the demand for information increases and the time
down” for a test. frame for that information to be disseminated
CMT plans and processes contain specific roles decreases. During CMT tests, these communica-
and responsibilities for teams and team members; tion channels and strategies must be validated, as
these are what should be tested. Sometimes the they may not work under stressful situations.
The disaster may demand specific communica-
tions and presentation not normally dealt with
during times of calm and peace. For instance, if
the crisis has created casualties, then those on the
CMT team may not be familiar with how to com-
municate this to the media or the public, or to
provide information to families and friends who
have lost a loved one. In a situation like this, it’s
beneficial for CMT members to receive training
in public relations (PR) because if the public isn’t
satisfied with the information being conveyed—
or employees, if it’s a localized situation in a cor-
poration—public perceptions can turn against the
CMT, resulting in rumor and conjecture.
Not being fully trained can also lead to a
career-ending move, such as with the former chief
executive officer of British Petroleum (BP) after
the massive oil disaster in the Gulf of Mexico
when he stated that he “wanted his life back.”
This comment put the public fully against any
goodwill and compassion BP was trying to con-
vey. This is the type of PR blunder that CMT
members must be fully versed in.
Risk and issue management is something that
must be validated prior to a crisis or disaster.
Though the issues and risks associated with each
A Federal Emergency Management Agency’s Urban Search and situation will be different and defined by the situ-
Rescue team official (right) trains a Massachusetts Army National ation itself, the communication channels and the
Guard member on using the Jaws of Life during training exercises management associated with them must be vali-
in Niagara Falls, New York, on November 5, 2009. dated. If there are assumptions that specific issues
746 Pre-Crisis Training and Planning

will be dealt with by specific teams, those crisis that what has been documented meets the stan-
management teams must know what is expected dards provided by fire departments. The fire mar-
of them to manage and communicate the issue, shal can offer many suggestions to enhance evacu-
from identification through to resolution. This ation processes and provide input on seemingly
includes ensuring that the latest issue/risk updates good assembly locations, that, after observation,
are provided to those responsible for communi- could actually hamper a firefighter’s ability to reach
cating the issues externally—the PR representa- the impacted zone because the assembly location
tives and media spokespersons. is too close to an entranceway or driveway.
It may be discovered through training provided The same can be done with partners and ven-
prior to any crisis or disaster that the team(s) dors, where each may have specific expecta-
responsible for specific tasks aren’t the best fit for tions that must be met when a disaster strikes.
managing the tasks. It could be discovered that Company A may expect Company B to perform
another team is required or a restructuring of specific activities or notify it through a specific
an existing team is needed if expectations are to channel when a disaster strikes, but if this is
be met and addressed effectively when the “real not known prior to the disaster and not proac-
thing” occurs. tively identified and incorporated into the CMT
This is the value of participation and involve- plan, it could damage relations between the two
ment by CMTs and team members. Being a part partners.
of the team and having the ability to validate roles These pre-planning activities can help solidify
and responsibilities lessens the chances of things activities for community organizations and busi-
going astray during a crisis or disaster. It doesn’t ness organizations when they encounter disasters.
ensure that the risk for mistakes is gone, but it They build relationships and provides opportuni-
does ensure that any potential risks and issues are ties for learning to help each other when needed.
proactively identified and mitigated before they
occur, which in a real situation can save lives, Continuous Improvement
property, and reputations. “The only constant is change,” as an old phrase
states. This is true for technologies, communities,
Involve the Outside plans and processes; this also holds true for any
Not all crises and disasters are localized to a crisis management team.
specific organization, individual, or small com- As organizational structure changes, so too
munity. Often, they are widespread and require must the associated roles and responsibilities of
the participation of many groups to enable them the CMT. In some instances, a member of the
to provide a sufficient and effective response. In CMT may no longer be responsible for a specific
many instances, there is a need to ensure that activity in his or her daily business/operational
these numerous groups coordinate their efforts role but then can be expected to return to it when
and don’t get in the way of what is important: the a crisis or disaster occurs. The problem here is
effective response to a disaster or crisis. that the role now belongs to another, which
For example, the CMT members must interact causes confusion and miscommunication between
with first responders (i.e., police, fire marshal, the “new” owner of the role and the “old” owner
medical staff, etc.) and understand what infor- of the role, and there is the possibility that both
mation they require to perform their role upon have differing views on how to execute the role.
arriving at the disaster scene. If a crisis manage- Prior to any crisis, the CMT must be aligned
ment team has not been made aware of what the with the organization to ensure that each mem-
first responders require and how they themselves ber is current with expectations. If the CMT isn’t
fit into the activities, it could place lives in danger. aligned, there is the possibility of assumptions
What can community CMTs and organization being introduced that may only cause more prob-
CMTs do to learn from the first responders and lems; for example, such things as a CMT believing
build their plans? that another team is performing an action when
When fire drills are performed, show the fire in fact, because of an organizational change, it is
marshal the plans and processes in place to ensure no longer performing.
 Pre-Impact Planning Process 747

The CMT can also learn from smaller cri- Further Readings
ses and incidents within its areas of expertise. A Barton, Laurence. Crisis Leadership Now. New York:
major disaster does not have to occur to enable McGraw-Hill, 2008.
the CMT to learn lessons from other occurrences. Cardoza, Barry. Building a Business Impact Analysis
The findings from tests can be incorporated into (BIA) Process: A Hands-On Blueprint. Tulsa, OK:
the CMT structure to ensure that it is improved K & M Publishers, 2007.
and kept current. If the CMT plan—and indi- Elliott, Dominic, Ethne Swartz, and Brahim Herbane.
viduals assigned to the team—aren’t reviewed, Business Continuity Management: New York:
challenged, and amended on a regular basis, the Routledge, 2010.
plans that contain critical information needed at Fullick, A. Alex. Heads in the Sand: What Stops
the time of a disaster just collect dust. They then Corporations From Seeing Business Continuity as
only represent the CMT at a single point of time, a Social Responsibility. Guelph, ON: StoneRoad,
a time that could be years in the past and of no 2009.
benefit to a community or organization when a Fullick, A. Alex. Made Again, Vol. 1: Practical Advice
disaster strikes. for Business Continuity Programs. Guelph, ON:
Like many industries, the crisis management, IT StoneRoad, 2010.
(Information Technology) disaster planning, and Fullick, A. Alex. Made Again, Vol. 2: Practical Advice
business continuity management (BCM) indus- for Business Continuity Programs. Guelph, ON:
tries continue to grow and uncover new oppor- StoneRoad, 2011.
tunities for enhancement. For crisis management Mitroff, Ian I. Why Some Companies Emerge
teams, members should be provided the oppor- Stronger and Better From a Crisis. New York:
tunity to network with other professionals and AMACOM, 2005.
practitioners to discuss strategic methods, which Schmidt, Klaus. High Availability and Disaster
can challenge existing methods. These new ideas Recovery: Frankfurt, Germany: Springer, 2006.
can be taken back to a CMT and incorporated to
strengthen tactics.
Continuous improvement of the CMT pre-crisis
opportunities fortifies plans, processes, and skill
levels so that those responsible for responding to Pre-Impact
disasters are better prepared and have a greater
level of knowledge to address the situation. Planning Process
Preparing crisis management team members
for disasters is directly attributed to the level of Disasters and crises become defining events in
preparedness and response applied to disasters a hazard cycle that is marked by four temporal
and crises. The more team members know and stages: mitigation, preparedness, response, and
the more they are challenged through various recovery. As such, according to Kathleen Tierney
tests and exercises, the more they are in control et al., primary agencies (law enforcement, medi-
of what is required and the more they understand cal, armed forces, city planners, governmental,
their role in that disaster. It lessens the confusion contractors, etc.) are those that strive to “decrease
that can dominate disaster situations, and it can vulnerability to major disaster by taking measures
ensure that community responsiveness and orga- to reduce casualties and exposure to damage and
nizational responsiveness reduce the severity and disruption or that provide passive protection dur-
impact of a disaster through saving lives. ing disaster impact.” In this way, mitigation strat-
egies aim toward reducing hazard exposures and
A. Alex Fullick developing emergency response plans in the event
Independent Scholar of major disaster or crisis. For emergency agency
response to be effective, therefore, individual
See Also: Contingency Planning; Incident social units must be well versed in different forms
Management; Incident Response; Preparedness; of proactive response that is sensitive to the com-
Prevention; Scenario Planning; Training. munity in which the emergency plan is developed.
748 Pre-Impact Planning Process

Simply put, Tierney maintains that organizational crisis has passed, emergency response agencies
preparedness includes developing “emergency work to repair, rebuild, and reconstruct (if pos-
response plans, training employees to proactively sible) damaged property, in an attempt to remove
and response personnel on what to do in an emer- populations displaced by crisis and disaster from
gency situation, acquiring needed equipment, temporary shelters back to their permanent resi-
supplies, and materials, and conducting drills and dences as quickly and as efficiently as possible.
exercises.” Further, it is imperative that members Returning to the issue of organizational effec-
of emergency response agencies participate in tiveness, it is clear that local, state, and federal
“drills” that enable them to keep their rescue and agencies must have a plan in place that governs
recovery skills as honed as possible. As such, in the ways in which individual agencies will coor-
the event that a natural or technological disaster dinate with other entities to ensure the safety of
occurs, emergency plans and agencies need to be communities at risk. More specifically, it is impor-
mobilized smoothly and effectively, so as to bring tant for emergency plans to be drawn so that the
the greatest aid to the largest number of people degree of emergency/crisis is recognized and req-
within the shortest amount of time. For that rea- uisite response teams are able to jump into action
son, emergency response plans are put into place when presented with specific critical issues and
to mitigate the direct effects of whatever the emer- problems. Therefore, local, state, and federal
gency may entail by responding to the immediate governments have been charged by the Federal
needs of the disaster victims. Emergency Management Agency (FEMA) under
Because of the possibility of the occurrence of the governance of the United States Department
disasters of unprecedented size and destructive- of Homeland Security (DHS) with developing
ness, it is necessary that each state create an emer- specific levels of response, including which teams
gency management agency that is charged with will respond to specific types of threats, as well
authorizing emergency management programs, to as the types of action deemed to be appropriate
give the governor the power to declare a state of responses given the threat at hand.
emergency should the need arise, and to coordi- Local, state, and federal emergency planners
nate varying offices during a state of emergency to have identified four levels of response for emer-
charter appropriate aid to the areas most in need. gency entities:
The state emergency management agency is also
charged with coordinating volunteer efforts (e.g., Level 1 indicates routine operations. Occurring
Red Cross, humanitarian aid, etc.) and remains and forecasted events present little, if any, threat.
effectively the “go to” arena for entities wishing Events are monitored and managed successfully
to assist in the event of disaster after the state gov- by the appropriate agency, but additional emer-
ernor has declared a state of emergency. gency agencies are not required to respond.
When emergency agencies (police, fire, EMS,
National Guard, armed forces, etc.) are mobi- Level 2 indicates a “heightened sense of aware-
lized, the primary emphasis of their actions must ness. Occurring or forecasted events include a
be to work to “reduce casualties, damage and dis- potential or present threat. [Examples: weather
ruption, and to respond to the immediate needs or river watch/warning, volcano status changes,
of disaster victims,” says Tierney. Mobilizing multiple wildfires, extended search and rescue,
response agencies at the local, state, and govern- or a law enforcement action.] Events exceed rou-
mental levels requires an ability to evaluate and tine, but responsible offices are able to manage
neutralize potential threats, sending out necessary with additional support from commonly used
warnings to vulnerable populations regarding sources,” as described by Ready Alaska. At this
specific hazards in and around the disaster zone, level, the Department of Homeland Security and
evacuating populations requiring such, conduct- emergency managers may develop search-and-res-
ing search and rescue operations for victims of cue teams and may also call upon local emergency
disasters, administering medical care, and provid- planners to “mobilize additional staff, as well as
ing emergency shelter and food until the situation to continue to evaluate” the critical issues at play
is neutralized. Further, once the immediacy of the during the incident. It is important to note, here,
 Pre-Impact Planning Process 749

that at this level, local, state, and federal emer- file a request for a Presidential Disaster Declara-
gency managers, acting under the rubric of the tion. In so doing, and if the president does declare
Department of Homeland Security, maintain the a specific area as a disaster zone, this action mobi-
primary responsibility for managing the integrity lizes federal aid resources and funds to be admin-
of the disaster zone, together with the manage- istered by FEMA.
ment of the situation.
At the local and state levels, therefore, specific
Level 3 indicates that an “actual event has criteria are referenced in such a way as to deter-
occurred or may be imminent. [Examples: river mine the level of preparedness and potential for
flooding disrupts public transportation, extended crisis in a given region. This analysis includes
search and rescue requires interagency support, but is not limited to the following issues affect-
a wild land fire requires evacuation and shel- ing entities that may find themselves in a disaster
ter planning, or raised State Homeland Security zone, as described by Ready Alaska:
Threat Level.]” At this level, a local emergency
operations center is opened, and elected leader- • “Actual or forecasted weather events that
ship (state governors, the president of the United may cause significant impacts” on citizens
States, etc.) may declare a disaster area, so as and their property
to unleash federal funds (administered through • “Occurring or predicted geologic events
the Federal Emergency Management Agency that can cause impacts to people, property
[FEMA]) in such a way as to assist with the imme- and transportation systems [Normally
diacy of displacement following major emergency. these will be volcanic eruptions or increases
When mobilized at this level, local, state, and fed- in seismicity. Earthquakes could change
eral agencies work together to manage the local preparedness levels, however that will
crisis. At the mobilization of a Level 3 crisis, the normally occur after the event]”
Department of Homeland Security maintains the • “Wild fire activity throughout the State
primary jurisdiction over the crisis, but may seek which impacts how other agencies can
assistance from other agencies to assist with crisis respond”
recovery. • “Availability of emergency response and
recovery resources statewide”
Level 4 is invoked in response to the most extreme • “Significant events occurring in
life-threatening and/or property-damaging event. communities that may impact their response
“[Examples: a river flood, sea storm surge or capabilities [Could be power system
tsunami displaces residents and damages struc- failures, water and sewer system problems,
tures, a woodland fire requires evacuation and large fires, etc.]”
sheltering of residents, or a damaging earthquake
occurs].” At this level, the situation is so dire that In sum, agency notification and mobiliza-
it cannot be handled exclusively at the local level. tion remain linked to the type of crisis being
Instead, Level 4 crises require significant “mobi- experienced, the breadth of resources needed to
lization of emergency resources from agencies combat the crisis, and how widespread and far-
in multiple levels of government.” During these reaching the critical issues are vis-à-vis the types
sorts of extreme emergency events, significant of resources available to combat them on a local,
interagency cooperation is a must and is achieved state, and/or federal level. Further, one additional
through a statewide disaster declaration by the component must be considered when evaluating
state governor. issues of agency notification and mobilization,
Once again, at this level, primary crisis response namely, the role of social media (g.e., Facebook,
is developed, coordinated, and mitigated by the Twitter, Foursquare, or Google Plus) not only in
Department of Homeland Security and FEMA. creating fast and easy to access victim/missing
However, in the event that the crisis at hand persons lists but also in serving as a central point
exceeds what the state and local governments can through which volunteer agencies and groups can
provide, the governor of the affected state may mobilize their resources and network with others
750 Preparedness

in a quick and easy-to-use platform. Further, Further Readings

social media works to bring communities together Illinois General Assembly. “Illinois Compiled
quickly and enables an important volunteer plat- Statutes.” http://www.ilga.gov/legislation/ilcs/ilcs3
form for the mobilization of resources in addition .asp?ActID=368&ChapterID=5 (Accessed June
to those resources that are brought in by local, 2012.)
state, and federal government. This is especially State of Alaska Division of Homeland Security and
important when conventional forms of commu- Emergency Management. “Ready Alaska.” http://
nication break down (as was the case with the ready.alaska.gov/community_services/secclevel
two-way radios during the 9/11 terrorist attacks s.htm (Accessed June 2012).
and during Hurricane Katrina, when volunteers Tierney, Kathleen J., Michael K. Lindell, and Ronald
formed the “Cajun army,” a group of volunteer W. Perry. Facing the Unexpected: Disaster
boat owners who organized themselves and then Preparedness and Response in the United States.
braved the waters in the Lower Ninth Ward of Washington, DC: John Henry Press, 2001.
New Orleans to rescue people from their roof-
tops and from the toxic floodwaters). As such,
while the conventional forms of networking and
drawing upon local, state, and federal resources
are important, indeed, these efforts are often aug- Preparedness
mented by the mobilization of the masses, who, if
they have resources available to them, often jump Preparedness, in the context of crisis manage-
into the fray to assist conventional aid workers, ment, relates to various activities and precaution-
often with extremely positive results. ary measures to protect a group, an organiza-
Issues relating to agency notification and mobi- tion, or a society as a whole against a possible
lization are complex, as communication among crisis. They include, among others, goal setting,
and between local, state, and federal agencies can plans preparation, simulations and exercises per-
often be mired in red tape. However, recognizing formance by all the relevant stakeholders, target
that significant changes have been made since the audience training, and evaluation of the whole
well-documented debacle immediately follow- process. Appropriate preparedness should mini-
ing Hurricane Katrina involving the breakdown mize the damage that may be caused by crises;
in getting aid to those who were trapped in the improve the community, organizational, and
Lower Ninth Ward of New Orleans and in the interorganizational response to crises; and reduce
shelters of last resort (the Superdome and Con- negative consequences.
vention Center), social media sources (Facebook There is an important dialectic of the two terms
and Twitter) have also taken hold as key social preparedness and vulnerability. While the for-
institutions available to mobilize resources in the mer describes the degree of readiness in the face
event of significant disaster or crisis. As the cri- of a certain kind of crisis and the measures taken
sis emanating from Hurricane Katrina has made before it happens, the latter relates to the degree of
exceptionally clear, not only do local, state, and nonreadiness for this kind of situation, which may
federal entities play a role in the mobilization of be aggravated by the failures of the relevant pro-
resources (and only do so when notified by offi- tective systems, socioeconomic factors, and weak-
cial state personnel), but social media also play ness or dysfunction of emergency management
a pivotal role in bringing aid to victims of crisis authorities. Preparedness and vulnerability thus
and disaster. constitute the two sides of the same coin: when pre-
paredness increases, vulnerability decreases, and
Dana M. Greene vice versa. Appropriate preparedness should deal
Institute for the Environment with the changing patterns of vulnerability in the
organization, community, or a society as a whole
See Also: Disaster Risk Reduction; Operational in order to minimize the negative consequences on
Readiness; Preparedness; Prevention; Risk individuals’ health and safety as well as damage to
Assessment. community and organizational structures.
 Preparedness 751

Case Study: Crisis Management Preparedness at the Israel Crisis Management Center

The Israel Crisis Management Center (SELAH) is a learned from each crisis intervention carried out by
nonprofit association that assists new immigrants SELAH, and more.
who experience severe crisis or tragedy situations. One of the special characteristics of SELAH’s
While a native Israeli may turn to family and preparedness relates to the recruitment of
friends during an emergency, new immigrants volunteers and professionals who can fluently
to Israel are often left vulnerable, isolated, and communicate in the mother tongues of immigrants
without essential resources at the most difficult (such as Russian, Amharic [one of the main
and painful of times. Many find themselves languages in Ethiopia], Spanish, English, and Farsi
faced with new surroundings, lacking the basic [the main language in Iran]). These language skills
familiarities of language, cultural know-how, are important for establishing comprehensive,
community ties, or extended family. Responsive sincere, and trusting contact with the individuals
to the varied cultures and mores within Israel’s hit by crisis and aid the organization in effectively
immigrant population, in times of crisis SELAH providing the required assistance. In addition, most
reaches out to immigrants from all countries, of SELAH’s volunteers are fluent in Hebrew and
including the bereaved; survivors of war and terror so bridge effectively between the immigrants and
attacks and their families; victims of road or work the relevant authorities. The organization provides
accidents; people displaced following a disaster assistance for immigrants hit by crisis including
such as fire, storm, or flood; and those suffering emergency grants in acute crisis situations, provision
from sudden, serious illness. of burial and tombstone costs and food for the
SELAH’s crisis professionals and trained mourning period, psychological support and grief
volunteers, responding throughout the country, go counseling, local transportation costs for hospital
to homes, hospitals, and other scenes of crisis to and rehabilitation programs, a plane ticket for the
identify immediate emergency needs. This requires next of kin from abroad needed for the care of the
acute listening skills, sensitivity, compassion, and victim or family, assistance with children’s day care
the practical know-how to determine how best to or elderly care, legal support, and recipient advocacy.
effectively deliver emotional support and essential This variety of activities carried out following the
practical aid. Crisis preparedness at SELAH thus crisis, and the sudden nature of many kinds of
centers on sensitivity training and instruction on crises, require a constant process of learning and a
accessing agencies, services, professionals, and high level of readiness of the organization as a whole
emergency supplies. and of each of its members to address effectively
and rapidly the emerging needs.
Process of Preparedness Immediate response is also facilitated through
The process of preparedness includes both internal the hotline that is available 24/7. Naturally, this
and external dimensions. The external dimension hotline is extremely busy in times of nationwide or
includes establishment and maintenance of regional crises, when immigrants require specific
working relationships with all the relevant assistance and there is a great need for reliable
governmental agencies (such as the Ministry of information in their native language. In addition,
Absorption, Ministry of Health, Ministry of Welfare, during large-scale crises SELAH immediately
hospitals, municipalities, etc.) and various social establishes emergency headquarters that coordinate
organizations that deal with crisis-related issues. all the assistance activities through constant
The internal dimension of preparedness refers to telephone and electronic communication, contact
the ongoing process of peer learning, supervision with the representatives in the field, and timely
and instruction, common sharing of best practices meetings for update and guidance.
across the organization, fund-raising methods One of the key characteristics of SELAH’s
to be able to address crisis-related needs of assistance model is its cultural sensitivity and
the target populations, identification of lessons (Continued)
752 Preparedness

(Continued) issues in various countries. The need to respond

unique approach to each case of crisis. This to a wide range of unexpected crises on a daily
enables SELAH’s caregivers to closely connect basis and working with an outreach model
to people from different backgrounds in times of developed through years of experience are key
crisis and to provide effective help. SELAH shares factors that may explain SELAH’s high level
its approach with professionals and organizations of preparedness in the context of crisis
dealing with crisis management and preparedness management.

Cooperation of Stakeholders participate and contribute to crisis preparedness.

The process of preparedness, in the context of These stakeholders may include informal commu-
crisis management, may involve a wide range nity groups and active individuals.
of stakeholders, which may interact in different It should be stressed that not all of the above
ways, such as roundtables, task forces, multi- stakeholders will be actually present in each cri-
lateral projects, joint planning, common drills, sis, on every national or local arena. The above
electronic communication (e-mails), and inter- list only describes the variety of possible stake-
action through digital social media. The list of holders. However, every country, region, orga-
stakeholders may include governmental agen- nization, and community is characterized by a
cies, nongovernmental associations, business unique combination of legislation, administra-
companies, nonformal civil society groups, and tive requirements, economic and political condi-
residents. Regarding severe crises on a national tions, and cultural and social norms. The above
or a local level as a result of human-induced or features and the specific nature and characteris-
natural disasters, the main governmental agencies tics of the crisis will influence the actual involve-
that are usually involved in preparedness are the ment of potential stakeholders in the prepared-
emergency management authority (which may ness process. Two additional factors will also
have another equivalent title); police, fire and determine whether a certain stakeholder will be
rescue departments; relevant military represen- involved in interactive preparedness activities:
tatives; emergency departments of governmental (1) the relative importance that crisis-related
ministries; and elected officials (whose extent of issues have in the stakeholder’s set of priorities
interest in crises-related issues may greatly vary and (2) the extent of the stakeholder’s willing-
according to their political choices and priorities). ness to cooperate with other partners on the
Depending on the nature and the specific char- issue of crisis preparedness.
acteristics of a crisis, the involvement of addi- The combination of all of the above factors
tional relevant governmental structures may be will create the unique “mosaic” of the involved
required. Each of the stakeholders has its own stakeholders in each case of crisis prepared-
specializations and, accordingly, the extent of its ness. Generally speaking, it may be said that the
desired involvement will vary across the areas of more stakeholders from various sectors that take
preparedness activities. Regarding the nongov- part in the process of crisis preparedness, the
ernmental stakeholders, they may include local more needs of various groups will be effectively
and national social organizations and volunteer addressed. In this context, the issue of represen-
groups, community centers, neighborhood com- tation of various groups with special needs (such
mittees, professional unions, health care orga- as the poor, new immigrants, homeless, people
nizations, and advocacy activists. The business with disabilities, children, elderly, and more) is
sector may also be involved in crisis management important. In various crises in the past, the above
along with other stakeholders. Besides the above groups were found to be more vulnerable dur-
formal stakeholders from various sectors, there ing crises, and they may need a special or greater
are also informal groups that may also desire to degree of assistance.
 Prevention 753

Those stakeholders who are closely familiar be made. An expanded version of the evaluation
with the unique characteristics and specific needs process may include also an important component
of these groups may propose more comprehen- of learning the lessons of other similar organiza-
sive and appropriate plans and actual activities, tions. In general, the combination of comprehen-
as well as raise the general awareness regarding sive intraorganizational and interorganizational
the underprivileged groups in the context of pre- preparedness processes should enable a high abil-
paredness for various crises. ity to confront the crisis. Preparedness is based on
The quality and the extent of the cooperation the general principles described above, although a
between the involved stakeholders highly influence high preparedness for a specific crisis in any given
the actual level of crisis preparedness. Moreover, location and context requires a careful adaptation
the more that effective cooperation mechanisms— and assimilation of these general guidelines to the
on the national, regional, and local levels—are specific reality. In addition, because of the com-
established and developed during the preparedness plex nature of crisis emergence, the achievement
stage, the higher level of crisis response may be of a high level of preparedness should be based
achieved. These general conclusions were derived on a constant process of learning and increased
from a variety of crises all over the world. The awareness to the changing reality.
joint efforts of the stakeholders create integrative
and comprehensive crisis plans and thereby multi- Alex Altshuler
ply the ability to cope rapidly and effectively with Ben-Gurion University of the Negev
possible negative consequences. In addition to the
clear “technical” advantages of the involvement of See Also: Civil Protection; Contingency Planning;
stakeholders from various sectors to accomplish Coordination; National Preparedness Goal;
complex crisis-related missions, the cooperation Nongovernmental Organizations; Operational
also promotes the sense of collective efficacy in a Readiness.
community in the context of its preparedness to
cope with a crisis. This means that the more insti- Further Readings
tutions are involved in the crisis-related processes Farazmand, Ali, ed. Handbook of Crisis and
and the more effectively they interact among Emergency Management. New York: Marcel
themselves, the stronger is a mutual belief in the Dekker, 2001.
community that it is capable to confront the crisis. Fink, Steven. Crisis Management: Planning for the
In addition to interorganizational cooperation, Inevitable. Lincoln, NE: iUniverse, 2000.
it is very important that each organization by itself Israel Crisis Management Center. http://selah.org.il
be well prepared. To achieve that goal, there is a (Accessed August 2012).
need to conduct an ongoing process inside the Perry, Ronald W. and Michael K. Lindell.
organization that includes the stages of (1) goal “Preparedness for Emergency Response: Guidelines
setting, (2) detailed planning, (3) performance of for the Emergency Planning Process.” Disasters,
preparedness activities, and (4) evaluation. The v.27/4 (2003).
stage of goal setting should identify the main crises Quarantelli, Enrico L. and Russell R. Dynes, ed.
that may be relevant for the specific organization Handbook of Disaster Research. New York:
and derive main areas of required preparedness. Springer, 2007.
The next stage of detailed planning should deter-
mine which various specific measures should be
taken to achieve a high level of preparedness for
the relevant crises. The further process of perfor-
mance of preparedness activities should be ongo- Prevention
ing and ensure that a high level of preparedness
is achieved and constantly maintained. The stage Prevention is a critical part of the crisis manage-
of evaluation should include a detailed examina- ment process. Prevention in this article is defined as
tion of the previous three stages and, in case of a means to keep something from happening. Pre-
need, the recommendations for changes should vention refers to those intervention and mitigation
754 Prevention

measures that have been put in place prior to the objectives can also lead to identifying how pre-
onset of an event. These intervention and mitiga- vention is to be developed and implemented.
tion measures to prevent a crisis can include, for It is important to note that objectives may not
instance, those to detect, contain, notify, and delay be the same everywhere or for everyone and will
an event that otherwise, if it were left unmitigated, need to be developed and tailored to each individ-
may result in a crisis or disaster. ual situation. For example, objectives that have
Developing prevention plans can be broken been established for a single building may vary
down into the following tasks: from those of other buildings on the site because
of its criticality to overall operations, vulnerabil-
• Data harvesting ity to specific hazards, degree of redundancy, and
• Establishing objectives other related criteria. There may be times that
• Establishing performance criteria objectives established for a given situation com-
• Identifying hazards pete with each other. These should be appropri-
• Developing prevention options ately assessed. This, for instance, occurs at times
• Evaluating/selecting prevention options with life safety–related matters with regard to fire
• Documentation when one needs to try to contain the heat and
• Implementation and updating smoke while at the same time allowing occupants
to exit and emergency responders to enter various
Task 1: Data Harvesting compartments and stairways in a building.
Developing prevention plans starts with gathering When developing objectives related to preven-
data and information related to the assessment. tion, one needs to comprehend the vulnerabilities
Pertinent information to assist in establishing the of a given situation. This assists in identifying the
context of the assessment may include the follow- risk and in determining whether it is acceptable or
ing items: whether additional prevention measures or other
mitigation measures may need to be provided to
• Stakeholders manage a hazard. These assessments and under-
• Regulatory environment standings need to occur, as they will feed into the
• Financial situation development of the next step in identifying specific
• Culture/social environment performance criteria for the specific hazard(s).
• Vulnerabilities The objectives are next transformed into quan-
• Resources (e.g., personnel, capital) titative performance criteria.
• Occupant/emergency responder
characteristics Task 3: Establishing Performance Criteria
• Operational/functional characteristics Metrics then need to be developed so as to be
• Timeline able to more quantitatively assess the objectives
against the hazards. Performance criteria are
Task 2: Establishing Objectives therefore defined in terms that can be directly
Objectives then need to be established. Objectives measured or calculated. For instance, in business
typically reflect a common aim of the stakehold- or industry, this may be stated in terms of maxi-
ers involved. Objectives can be measured quali- mum downtime, or in disaster management, per-
tatively rather than quantitatively. Objectives formance criteria may be quantified in terms of
typically are stated in different forms. These are an earthquake’s magnitude and location, or the
dependent on the intention of assessment and highest potential flood level.
what the prevention measures are intended to do.
With respect to crisis management, prevention Task 4: Identifying Hazards
can assist to further understand impacts on such A significant quantity of potential hazards or
areas as people (general populations, emergency events may exist that could lead to a crisis for
responders), property (contents, structures, etc.), which prevention is desired. Hazard identification
continuity of business operations, cultural heri- techniques are often used to assist in condensing
tage, and the overall environment. Stakeholders’ the universe of scenarios that are “possible” to
 Prevention 755

“credible” scenarios representing more of a pri- • Appropriate use of portable heaters

mary concern and higher probability. Following • Reducing electrical hazards
the identification of hazards, possible scenarios • Reducing chimney hazards (cleaning, etc.)
then need to be developed. The scenarios describe • Appropriate handling, use, and storage of
further details of the specific hazards and provide flammable/combustible liquids
further quantification. For instance, fire scenarios
may include characterizing ignition, growth, peak Task 6: Prevention Evaluation and Selection
heat release rate, steady burning period, decay, The next task is evaluating prevention options as
and extinguishment. to whether they address previously established
performance criteria and objectives. The assess-
Task 5: Developing Prevention Options ment may incorporate qualitative and/or quanti-
Following the development of hazard scenar- tative evaluations as to the event’s probabilities
ios, prevention options should be examined to as well as analyses of the potential losses and/or
address these. Prevention options may include damage that may occur. During the assessment
physical protection measures as well as legis- process, all of the data that stakeholders may need
lative measures, for instance, for the control of may not be available, and one should be prepared
land use and codes of construction. These pre- to make appropriate informed assumptions and
vention options may reduce the physical vulner- carry out appropriate variability analyses to test
ability and/or exposure to risks such as through these and their implications on the outcome and
infrastructure (e.g., dams, flood dykes, etc.) and ability to achieve the objectives.
through improving existing infrastructures and Several types of tools/methods are available to
sustainable development practices. assess these. These methods can range from sim-
Although there may be a significant number of ple “back-of-the-envelope” correlations to more
options available, it is important to be familiar complex computational modeling to assessing
with one’s objectives and undertake various risk historical events to detailed probabilistic studies,
assessments to assist the stakeholders to make including fault trees, event trees, HAZOPS, and
informed decisions regarding the prevention others.
options to achieve these objectives. Stakeholders When the prevention options are assessed and
may also have to assess the mitigation measures shown to be able to meet the determined perfor-
against the impact they bring regarding mitigat- mance criteria, they can be chosen as suitable for
ing the event, their costs, and resources to deter- implementation. Note that the evaluation is itera-
mine what needs to be done and the path for- tive and there may be several mitigation options
ward. A cost-benefit analysis could be quite useful to be evaluated against the various events and
in accomplishing this. hazards. Once the analyses have been done, then
With regard to fire, the following may be stakeholders can make appropriate and further
included in a fire prevention plan to help reduce risk-informed decisions.
the ignition of a fire, as well as the impact that
this could have: Task 7: Documentation
It is important to document the process and the
• Limiting ignition sources (e.g., old wiring or results of each task, what led to the selection of
exposed light bulbs) the chosen prevention options, and how they are
• Reducing the quantity of combustible to be implemented. This helps promote under-
materials (rubbish removal, remote storage, standing among the stakeholders as to the basis
etc.) of the assessment and saves time and effort for
• No smoking future inquiries and development as, again, this
• Inspection, testing, and maintenance of is an iterative process. The various assumptions
systems and processes should be clearly stated along with
• Control of hot works (cutting, welding) and objectives, vulnerabilities, and hazards. Uncer-
a permitting process tainties and variability of these assumptions
• Protecting cooking/kitchens should be clearly documented.
756 Product Defects and Recalls

Task 8: Implementation and Updating Marrion, C. “Prevention and Disaster Management.”

A detailed description of the implementation of http://www.marrionconsulting.com (Accessed May
the prevention measures and chosen prevention 2012).
strategy should be developed. This should include Marrion, Christopher and R. L. P. Custer. “Fire
details of the prevention measure, costs, schedule, Events.” In Extreme Event Mitigation in Buildings:
and priorities. The basic concepts of prevention Analysis and Design, Brian J. Meacham and
strategy may include the following: Matthew A. Johann, eds. Quincy, MA: National
Fire Protection Association, 2006.
• Raising awareness of the hazards and Marrion, Christopher E. and Dave Jacoby.
potential disastrous impact an event may “Evacuation Planning and Crowd Management.”
have and the value and benefit of prevention In Egress Design Solutions. Washington, DC:
and mitigation efforts to help keep it from International Code Council, 2007.
happening or to reduce its impact Society of Fire Protection Engineers and National
• Provide teaching and skill building to Fire Protection Association. The SFPE Engineering
enable appropriate personnel to continue to Guide to Performance-Based Fire Protection
develop and maintain prevention measures Analysis and Design of Buildings. 2nd ed. Quincy,
that are needed MA: SFPE/NFPA, 2007.
• Mobilize communities, regions, and
countries to establish environments
enhancing prevention measures
• Strengthen and support regulatory policies
that promote prevention of disasters to as Product Defects and Recalls
great a degree as possible
Consumers rely upon safe, consistent, and reli-
As discussed above, prevention is an ongoing able products that are available in a convenient
process. It is important to continually raise aware- and cost-effective manner. When safety or other
ness, train, and conduct ongoing assessments to concerns exist regarding a batch or production
ensure that new hazards are not being introduced run of a product, the manufacturer often makes
or created and that appropriate prevention mea- a request to return to the maker or distributor the
sures are in place. It is also important to ensure goods over which concerns exist.
that, if appropriate, these are continually main- Such a request is called a “product recall” and
tained, inspected, and tested so that they are in is designed to avoid harm to the public, avoid
place and function as needed. negative publicity, and reduce or limit liability
for corporate negligence. Product defects and
Christopher E Marrion recalls are of great concern to consumers, govern-
Independent Scholar ment agencies, manufacturers, and retailers, as
an orderly response to the discovery of product
See Also: Disaster Risk Reduction; Emergency defects both protects the public and safeguards
Responders; Hazard Mitigation; Hazard Vulnerability corporate value. Although product defects have
Analysis; Protection; Risk Analysis; Risk Assessment; always existed, it is only over the past 50 years
Training. that product recalls have become common, this
growth driven by increased concern about public
Further Readings safety, liability issues, and media coverage.
Custer, R. L. P. and Christopher E. Marrion. “Design
to Manage Fire and Its Impact.” In Extreme Event Process
Mitigation in Buildings: Analysis and Design, Brian Though product recalls are often controlled by
J. Meacham and Matthew A. Johann, eds. Quincy, state or local laws, the general process is fairly
MA: National Fire Protection Association, 2006. established and consistent from jurisdiction to
Marrion, C. “Disaster Management Planning.” http:// jurisdiction. First, the manufacturer becomes
www.marrionconsulting.com (Accessed May 2012). aware of a defect in a product it makes. This
 Product Defects and Recalls 757

awareness may come as a result of consumer com- MODEL DATA LABEL

plaints, internal quality-control mechanisms, or NUMBER with date code
other channels. Second, the manufacturer or its
distributor notifies the authorities in a particular
jurisdiction of the product defect and its inten-
tion to recall a product. In anticipation of this,
communication channels are established, often
including consumer hotlines or other sources
of information. At this point, the scope of the
recall, such as which serial or batch numbers
are to be recalled, is established. Third, product
recall announcements are released by the manu-
facturer, distributor, or appropriate government
agency. These releases may take place through
a news conference, via a Web site, through paid
advertisements, or some combination thereof. If
the product defect is sufficiently significant, the
resulting product recall may also generate con-
siderable television, radio, and newspaper cover-
age. Fourth, consumer groups and retailers who
learn of the recall notify the public by various
means, including advertisements, announce-
ments, and in-store notices. Such notifications
ask consumers to return the goods, regardless The Consumer Product Safety Commission can impose a recall
of condition, to a retailer for a full refund or in the interest of public safety or cooperate with a company in a
no-cost repair or replacement. Finally, possible voluntary recall, such as DeVilbiss’s voluntary recall of its Porter-
additional consumer compensation will be made Cable Portable Generator in May 2005 because of a fire hazard.
available, often depending upon the specific
regulations governing consumer protection, the
cause of the recall, and the possibility of lawsuits.
resulted in the recall of Cadillac automobiles
Types of Product Defects made during this period so that their steering
Product defects may result from some error that linkage could be replaced. Such product defects
has occurred during the manufacturing process, and recalls are not uncommon in the automotive
an unforeseen use of the product that makes it industry, and consumers who have purchased a
dangerous to consumers, or the consequence of car that is later found to be defective are provided
third-party tampering. For example, one of the notice of the defect and asked to bring the car to
earliest product recalls involved Cadillac auto- a dealership where it can be repaired at no cost to
mobiles manufactured during 1959 and 1960. the consumer.
When drivers attempted a 90-degree turn at 10 to Another type of product defect occurs when,
15 miles per hour, the steering linkage (a pitman because of an error in the manufacturing process,
arm) failed on many of the cars. An investiga- a product is made in such a way that it is harmful
tion by General Motors Corporation discovered to some or all potential consumers. During 1999,
that it had sold six times as many pitman arm for example, the popular restaurant chain Burger
replacement units during 1959 and 1960 than it King provided children for whom a meal had been
had sold during the preceding two-year period, purchased with a toy Pokémon character, which
the result of the use of metal that was softer than came in a Poké Ball, which opened into two parts.
that usually used. The softer metal used during In December 1999, a 13-month-old child suffo-
1959 and 1960 made the pitman arms less able cated while playing with the Poké Ball, causing one
to withstand the stresses of low-speed turns and of the largest and most expensive product recalls
758 Product Tampering

ever seen. After Burger King initially resisted the Further Readings
recall, the Consumer Product Safety Commission Cantor, Robin Ann. Product Liability. Chicago:
convinced the company’s management to institute American Bar Association, 2012.
a massive recall of the over 20 million Poké Balls Cheah, E. T., et al. “The Corporate Social
that had been distributed. Recall efforts included Responsibility of Pharmaceutical Product Recalls:
television advertisements, in-store posters, and An Empirical Examination of U.S. and UK
prizes provided to those parents who returned the Markets.” Journal of Business Ethics, v.76 (2007).
containers. Although over half of the Poké Balls Rayner, Jenny. Managing Reputational Risk: Curbing
were never turned in, research indicated that over Threats, Leveraging Opportunities. Hoboken, NJ:
60 percent of these were thrown away by parents, John Wiley & Sons, 2003.
which is considered an effective recall.
Occasionally, third-party actions can cause a
manufacturer to recall a product. In one of the
most famous examples of product tampering, in
1982 seven people living in or near Chicago, Illi- Product Tampering
nois, died after taking extra-strength Tylenol cap-
sules that had been laced with potassium cyanide Product tampering is the deliberate contamina-
after their manufacture. Because the adulterated tion of a good after it has been marketed, often
capsules had been manufactured at different fac- occurring at the point of sale or, in the case of
tories, yet all were found in the Chicago area, it a hoax, after the point of sale. Examples of for-
was determined that the production process was eign substances that have been used in product
not at fault. Police and other investigators sur- tampering include bugs, cyanide, illegal drugs,
mised the Tylenol capsules had been tampered needles, mice, liquid mercury, glass, and syringes;
with and then left on the shelves of supermarkets these, and even a human finger, have all turned up
and drug stores, where they were purchased by in a wide range of products.
unsuspecting consumers. Johnson & Johnson The act of product tampering can be used by
recalled over 30 million bottles of Tylenol, worth an individual who is looking to cause harm indis-
over $100 million, and reengineered its packaging criminately to the public or in an attempt to extort
to make future tampering less likely. an organization. However, the act can also be tar-
In the United States, the Consumer Prod- geted. Publications and Web sites exist that advo-
uct Safety Commission (CPSC), an independent cate product tampering as a technique for obtain-
agency of the federal government, works to pro- ing revenge against a corporation or a specific
tect the public by regulating the sale and manu- individual. Such promotion of this action has been
facture of many consumer products. The CPSC cited in criminal product tampering cases. Product
can impose product recalls if it feels this is in tampering can also be used as a means of terrorism.
the best interests of the public. The Consumer Product tampering monitoring is the study of
Product Safety Act of 2008 improved funding the manufacturing process and casing for vulner-
for the CPSC and allowed it to create a database ability to product tampering. Monitoring of cor-
that enables the public to report details related porate and product activity has the potential to
to safety problems with consumer goods. Many reduce the probability of product tampering. Loss
states have similar agencies that assist with prod- of trust, goodwill, and sales are all consequences
uct regulation and recalls. an organization faces when product tampering
occurs. Although product tampering monitoring
Stephen T. Schroth has direct costs in time, resources, and money, the
Knox College activity has a payoff in reputation and customer
retention.
See Also: Chemical Risk; Civil Protection; Legal
Liability; Policy Setting; Spokesperson, Designating The Johnson & Johnson Tylenol Recall
and Utilizing. One of the most publicized cases of product
tampering occurred in October 1982. Bottles of
 Product Tampering 759

Tylenol-brand acetaminophen painkiller tablets Once Johnson & Johnson, the parent com-
were contaminated in the Chicago area of Illinois pany of Tylenol, found out that the deaths could
with potassium cyanide at levels that proved fatal be traced to their product, the company imme-
to humans when consumed. The first to die was diately ceased all advertisements for the product
Mary Kellerman, a young child suffering with a and recalled all of the Tylenol Extra Strength pills
cold. Subsequent victims varied in age and other in the country. The company came to the decision
factors, leaving the only link between the victims to react in this manner because of its commitment
the fact that they had all taken Tylenol Extra to its credo, which in the first sentence outlines
Strength capsules before their deaths. In total, the corporation’s belief that its first responsibil-
seven people died from ingesting the tainted cap- ity is to the doctors, nurses, patients, mothers,
sules. After an investigation, it was assumed that fathers, and all others who use its products and
the tampering happened at the store level, meaning services. The recalled product included more
a still-unidentified individual placed cyanide into than 31 million bottles of Tylenol Extra Strength
the pill capsules after the bottles had been placed pills at a cost of over $100 million to Johnson
on the store shelf. The pill bottles that had been & Johnson. Afterward, Johnson & Johnson rein-
tampered with were returned to the shelf and were troduced the product to the market in a safer
subsequently purchased by the victims. The now- triple-seal package that complied with the Food
deadly pills had come from different production and Drug Administration’s (FDA) mandate on
plants and different stores in the Chicago area. tamper-resistant packaging. It was the first com-
The police believe that a man named James L. pany to comply with the FDA’s tamper-resistant
Lewis was the culprit behind the product tamper- packaging mandate. After this crisis, the company
ing, but no evidence was ever found to incriminate began using the caplet form of the drug, which it
him. He is suspect because of a ransom note he claimed was more resistant to tampering than the
sent to Johnson & Johnson demanding $1 million capsule design.
in order for the killings to end. He was charged The act of product tampering causes a repu-
with criminal extortion for the note and served tational risk to an organization and a potential
13 years in prison for it. He claims innocence in physical risk to the public. An organization must
the Tylenol case, so the case remains unsolved to act fast once a claim of product tampering has
this day. been made. The organization needs to determine
Concerned citizens overwhelmed hospitals and the validity of the claim, the scope of the threat,
poison control hotlines in order to receive care and the subsequent actions to be taken.
before they, too, could possibly die from cyanide
poisoning. Police officers in Chicago went around Ashley Tremble
the city with loudspeakers warning residents of Western Michigan University
the contamination. The public was instructed Patric R. Spence
that they should not use Tylenol in case it had University of Kentucky
been tampered with. Stores throughout the nation
removed their Tylenol supplies from the shelves See Also: Damage Containment; Disruption of
as they waited for more information on the cause Organizations; Food Security; Hazard Vulnerability
and the risks to their own stock. In the months Analysis; Legal Liability; Manufacturing Risks; Public
to follow the outbreak of the Tylenol tampering, Relations; Reputational Risk; Sabotage; Terrorism;
many cases of copycat tampering were reported Threat Detection.
throughout the United States, with varied meth-
ods and varied products, including rat poison Further Readings
and pins in Halloween candy. A positive tangi- Dietz, P. E. “Dangerous Information: Product
ble response to the Tylenol poisoning case and Tampering and Poisoning Advice in Revenge and
the copycat attempts was that of the other food Murder Manuals.” Journal of Forensic Sciences,
and drug companies in the United States who v.33 (1988).
improved their packaging to deter further tam- Dowdell, T. D., S. Govindaraj, and P. C. Jain. “The
pering attempts. Tylenol Incident, Ensuing Regulation, and Stock
760 Protection

Prices.” Journal of Financial and Quantitative that were pursued by some nations and groups in
Analysis, v.27 (1992). the first half of the 20th century often had major
Kim, J. and C. J. Choi. “Reputation and Product shortcomings.
Tampering in Service Industries.” Service Industries During the period between 1921 and the 1950s,
Journal, v.23 (2003). when the first serious consideration of refugees
Logan, B. “Product Tampering Crime: A Review.” occurred, the policy was characterized by reac-
Journal of Forensic Sciences, v.38 (1993). tive rather than proactive approaches to refugee
Mitchell, M. L. “The Impact of External Parties on crisis and problems worldwide. During the three
Brand-Name Capital: The 1982 Tylenol Poisonings decades following World War I, ineffective mech-
and Subsequent Cases.” Economic Inquiry, v.27 anisms and lack of readily accessible guidance
(1989). and relevant skills for dealing with issues relating
to protection were commonplace.
The 1951 Convention relating to the Status of
Refugees constitutes the key legal document in
regard to the legal obligations of states and the
Protection basic rights of refugees. Being signatories to and
compliant with the 1951 Refugee Convention
The concept of protection at the most basic level and, in some cases, the Organization of African
relates to issues around dignity, safety, human Unity (OAU) 1967 protocol, had initially been
rights, and the international humanitarian legal an attractive course of action for states to pursue
framework for addressing the survival needs of during the few decades up to the end of the 20th
refugees, asylum seekers, children, and other century. A combination of factors, including con-
such “persons of concern.” “Person of concern” flicts, wars, globalization, improved air and land
refers to an individual who for other reasons has communication, and in certain cases a search for
approximately similar situation and experiences improved economic conditions by working-age
to those of asylum seekers, for example, stateless sections of populations, particularly from devel-
people and internally displaced persons. oping countries, seemed to present new crises in
The nature of contemporary crises and disas- relation to migration.
ters necessitates that a range of actors meet Toward the end of the 20th century and most
their international legal obligations and accept certainly at the beginning of the 21st century,
accountability for their actions with regard to there has been a notable shift in the position of
vulnerable people under their jurisdiction or con- states as they face asylum crisis. As a reaction,
trol. Trends at the beginning of the 21st century there have been, for example, controversial inter-
seem to indicate a slight decline in the number of ceptions of would-be asylum claimants in inter-
refugees internationally. However, there has been national waters offshore Australia, and the Euro-
a notable rise in the number of displaced people pean Union (EU) states of Spain and Malta, and
at a global level, and chronic problems relating to also in the United States. Instruments such as the
protection of refugees and other people of con- 1951 Refugee Convention, which was designed
cern have become more complex than would have to address this situation, are consistently coming
been envisaged only half a century ago. under question as hosting states attempt to deal
quickly with sudden surges in migration.
History of Protection and Crisis In a “shrinking world” characterized by
Problems relating to refugee protection have a improved communication and transport infrastruc-
long history. Prior to the formation of the United ture, wars breaking out in one part of the world
Nations and its agencies, refugees and other peo- can suddenly result in a potential crisis because of
ple of concern encountered suppression of their a surge in asylum seekers in another part of the
basic human rights in some host countries where world. In contrast to this, over a thousand years
they had fled to claim asylum, or they experienced ago, wars in Asia, for example, would have been
generally less favorable treatment than citizens of unlikely to translate into an influx of refugees in
those countries. Arbitrary and disparate initiatives western Europe, North America, or Australia.
 Protection 761

Thus, where and when there is threat of a crisis or unprepared for crisis may fail to make effective
crises, determined by internal or external factors, decisions.
it has become increasingly difficult to predict the Since the 1990s, humanitarian agencies and
results, and questions remain as to how protection in particular nongovernmental organizations
principles will be safeguarded in relation to asy- (NGOs) have developed standards for operations
lum seekers entering host-country border systems, they undertake to avoid haphazard actions dur-
particularly when receiving countries are operating ing a crisis. These include such tools as the Sphere
under considerable strain. standards and Humanitarian Accountability Part-
Whether or not the protection is for refugees, nership (HAP). These standards offer the frame-
other persons of concern, or children threatened work for operating in a crisis in a protection-sen-
or in a crisis situation, success in crisis manage- sitive way.
ment will relate not only to the direction of the
crisis but also to the vertical or horizontal rela- Information
tionships of the crisis management structure in Another level for strengthening protection relates
place. Thus, in summary, the main issues that to the acquisition of relevant information and
govern an effective crisis management team safe- technical support, which are crucial to managing
guarding protection will have certain characteris- protection issues within refugee crisis. Whether
tics. These are further discussed below. this applies to states in dealing with asylum seek-
ers at border posts or temporary shelters and
Compliance refugee-camp scenarios, having the right type of
To ensure protection issues are addressed in a crisis information processes and communication sys-
situation, compliance to the 1951 United Nations tems is crucial to planning and appropriately
Refugee Convention, International Humanitarian managing protection issues during a crisis. This
Law, the Convention on the Rights of the Child, process must include decision-making systems
and the Convention on the Elimination of Dis- that are constantly kept up to date by the orga-
crimination against Women (CEDAW), among nization’s crisis management team. As an exam-
other instruments, is critical. ple, when the Refugee Convention was adopted
Although the 1951 convention and the 1967 in 1951, states did not consider xenophobia as a
OAU protocol, the international legal frame- human rights issue. Indeed, female genital mutila-
works for dealing with refugees, have been widely tion (FGM), which some cultures practiced, would
criticized by some states, they remain perhaps not have been regarded as an issue to feature in
the only available instruments for dealing with the convention to form a basis for claiming asy-
such crisis, considering the increasing numbers lum. Yet, in contemporary times both FGM and
of asylum seekers, refugees, and internally dis- threats based on xenophobic behavior in some
placed people; the pressures this brings on host cases can constitute a valid reason for claiming
governments can overwhelm border systems. The asylum. Thus, having the up-to-date information
Refugee Convention is based on the principle of for decision making, through such tools as the
refoulement, which gives states the responsibility United Nations High Commissioner for Refugees’
not to forcibly return people fleeing persecution (UNHCR) Refworld, a leading source of informa-
back to their home countries if they are in fear tion for enabling effective decision making and
of persecution. Arbitrary efforts to circumvent refugee determination for border systems, may
international legal instruments and standards be critical in supporting protection principles for
by border systems of host countries during crisis vulnerable persons.
have proven ineffective and are likely to under-
mine protection principles during determination Partnerships and Cooperation
of refugee status or in other matters that relate In order to ensure protection is accorded to vulner-
to this. As sudden surges in asylum-seeker num- able people such as refugees, particularly in times
bers and people of concern occur and amid pres- of crisis, forging partnerships with key stakehold-
sure arising from sensitivities associated with ers in planning and implementation is critical. The
this issue among host citizens, structures that are sudden influx of refugees, for example, can be very
762 Protest

overwhelming to fragile entry systems and refugee actors. Thus, while the first responsibility of a
camps, for example; thus, protection can be the state is to protect its citizens and those under its
first casualty under such a strain. The UNHCR jurisdiction, this may not be the case in failed
and the European Union have, for example, made states. In contexts of failed states, vigilance to
an arrangement, Frontex–UNHCR cooperation, create mechanisms at the community level by the
with regard to the external border members of the international community to implement protec-
EU. Under this arrangement, the UNHCR contrib- tion, check compliance, and identify violations of
utes to the effective border management system, human rights, including gathering valuable evi-
which is fully compliant with international and dence, becomes extremely critical.
EU international protection obligations. Effec- Ultimately, protection in crisis situations
tive planning can assist in achieving an effective demands cooperation from a range of stakehold-
refugee status determination system, even under ers, whether they are institutional or community
extreme strain. Due consideration and regard for based, local, regional, national, or international.
the various interactions in a system, both horizon- Building the capacity for implementing protec-
tal and vertical systems, including enhanced coop- tion even during crisis requires preparations at the
eration among or with NGOs, can provide very international, regional, national, community, and
effective mechanisms for effective protection in crisis team levels, often with other relevant stake-
crisis situations. holders. Effectiveness in managing protection
principles in a crisis situation demands good and
Training and Human Resource Development proactive processes that can deal with disruptions.
Ensuring protection is seriously considered even
in crisis situations, when it requires crisis man- Martin Nthakomwa
agement teams to plan for such disruptions in the Coventry University
normal functioning of the humanitarian system
through preparedness. The UNHCR, which has See Also: Interstate War; Refugees and Forced
the refugee mandate, has its Protection Learning Migration; Vulnerable Populations.
Programme (PLP) for its staff. This preparation
enhances the quality of decision making during Further Readings
crisis. This is particularly important given the Jenkins, Rob. Peacebuilding: From Concept to
often sudden disruptions and shifts in the reasons Commission. New York: Routledge, 2012.
for claiming asylum. In addition to this, previ- United Nations High Commissioner for Refugees.
ously known grounds for claiming asylum are http://www.unhcr.org/cgi-bin/texis/vtx/home
becoming more complex. (Accessed July 2012).
New actors such as armed groups present United Nations High Commissioner for Refugees
new challenges to victims and would-be victims, “Refworld Legal Collection.” http://www.unhcr
including children and single women, for example. .org/refworld/category,COI,,,,,0.html (Accessed
Crisis may be triggered by nonstate actors such July 2012).
as armed groups, which also can have a degree
of unpredictability with regard to the resulting
nature and time of emergency crisis. Thus, mecha-
nisms for protection in crisis situations, processes
for information gathering for capturing human Protest
rights violations, and decision making will need
constant updating. Peaceful protest has been part of life in liberal
Understandably, protection implementation is democracies for a long time. It is an essential
more likely to have some degree of success in a safety valve for those who have strong views
functioning state. Implementing protection safe- about something they feel is wrong. The right to
guards within fragile and failed states is likely protest in public is at the root of two basic free-
to be challenging, considering the low level of doms: assembly and speech. These basic freedoms
accountability, if any at all, characteristic of the are enshrined in Articles 19 and 20 of the United
 Protest 763

Nations Universal Declaration of Human Rights Although protest has a long history, the anti-
(1948), in the First Amendment of the U.S. Con- globalization movement has recently given it a
stitution, and in Articles 10 and 11 of the Euro- higher profile, commencing with the events in
pean Convention on Human Rights (ECHR). Seattle in 1999, when a large number of protest-
Thus, under human rights law, there is an obliga- ers took control of all the major junctions around
tion to facilitate peaceful protest. The purpose of the Convention Center, thus preventing delegates’
a protest is to attempt to influence public opinion reaching it for the opening ceremony of a meeting
or the policies of governments or organizations of the World Trade Organization. Over 600 pro-
such as those associated with economic globaliza- testers were arrested, dozens were injured, and
tion, for example, the World Trade Organization there was extensive damage to shops as the pro-
(WTO), the International Monitory Fund (IMF), tests continued for the duration of the meeting.
or the World Bank. The city was put under the municipal equivalent
of martial law as the mayor of Seattle declared
Rights of Protest and Security a curfew and oversaw the deployment of the
The maturity of a liberal democracy is often mea- National Guard to support the police.
sured by the ease with which peaceful protests are Prior to the 27th G8 meeting in Genoa, Italy,
allowed; however, it is also measured by the secu- in 2001, an umbrella group, the Genoa Social
rity in which people are able to go about their Forum, trained activists in self-defense. The Ital-
lawful business without interference from pro- ian government suspended the Schengen agree-
testers. Balancing the rights of those who wish ment, which allows members of the European
to protest with the rights of those who wish to Union freedom of movement, for the duration of
go about their lawful business and with a duty to the summit to enable the movement of protest-
protect people and property from harm or injury ers to be better monitored. It also made the city
defines the policing dilemma in relation to public center an exclusion zone, displacing the protest-
protest. Generally, protests take place at locations ers—numbering as many as 100,000, many of
where they are likely to attract the most publicity. whom wore protective padding in anticipation
Thus, they tend to occur in large cities, where, of clashes with the police—to the suburbs, where
unless they are confined to controlled areas such they attacked banks, cars, petrol stations, public
as parks, it is inevitable they will cause some buildings, and shops, causing an estimated £15
level of disruption. In liberal democracies, pub- million damage.
lic authorities and law enforcement agencies must In 2003, thousands of police and military units
show a degree of tolerance and discretion toward from France, Germany, and Switzerland were
peaceful protests even if they do cause some dis- deployed on both sides of the French-Swiss bor-
ruption or obstruction. der when the 29th meeting of G8 was held in the
However, this does not mean that governments French town of Evian-les-Bains. Thousands of
and law enforcement agencies cannot place any demonstrators descended on the French-Swiss
restrictions on protesters. Indeed, they do so, border close to Geneva in a bid to disrupt the
implementing a host of measures designed to summit. Denied access to the venue by an exclu-
reduce the impact of protest such as, in the United sion zone, the protesters went over the border into
States, the use of permits under which the dura- Switzerland, where they caused criminal damage
tion, location, and time of protests can be “nego- to the value of approximately 3 million Swiss
tiated” and the introduction of temporary regu- francs. Police and military units from France,
lations relating to objects that cannot be carried Germany, and Switzerland were deployed.
by those participating, and by strictly interpreting For the 33rd meeting of G8 in Heiligendamm,
existent building codes, fire and insurance codes, Germany, in 2007, 16,000 police and 1,000 mili-
and regulations about the handling of food. In the tary personnel were deployed, and a 12-kilometer
United Kingdom, sections 12 and 14 of the Public fence was built around the town at a cost of $16.6
Order Act, 1986, give law enforcement agencies million. Some 5,000 protesters effectively set up
the power to impose some conditions on public a number of roadblocks, cutting off the venue to
processions and assemblies. vehicular traffic for three days. Police resources
764 Protest

Members of the Socialists and Democrats in the European Parliament protest austerity measures at the Parc du Cinquantenaire
in Brussels, Belgium, on September 29, 2010. These anti-austerity demonstrations against high unemployment and European
government spending cuts were still taking place as of late 2012, generally in the form of large street protests and strikes.

were deployed by helicopter, and water cannons or indirect target of protest, the organization
were used to maintain distance. should not rely on the forces of law and order to
As a result of these and other similar protests, adequately protect its premises. Instead, it should
some countries—for example, Canada (Kananas- take steps to ensure that the buildings are secure
kis, Alberta) in 2002 for the 28th G8 meeting, by installing physical protection against unlaw-
and the United States (Sea Island, Georgia) in ful entry and employ sufficient security personnel
2004 for the 30th G8 meeting—selected isolated to ensure the safety of the contents of the build-
locations in order to more easily control protest ing and its workforce. Alternatively, work should
or even to dissuade protests from being made. be transferred to another venue away from any
More recently, the manner of protest has changed likely area of protest. A lengthy protest well away
in that organizations like the Occupy Wall Street from an organization’s operating premises, even
movement in the United States and Occupy Lon- in another country, could disrupt supplies of
don in England, both of which are broadly pro- raw materials, and alternative sources of supply
testing economic and social inequality, greed and should be identified at an early stage.
corruption, and high unemployment, have taken
to occupying ground close to symbolic locations Tony Moore
for lengthy periods of time. Institute of Civil Protection
and Emergency Management
Crisis Management Perspective
Protest can seriously disrupt the normal every- See Also: Command and Control; Operational Plans;
day work of an organization, particularly if it has Operational Readiness; Peacekeeping; Perimeter
premises within an area in which protesters may Control; Religious Violence; Revolution; Riots;
assemble. Whether it is likely to be either a direct Strikes.
 Public Awareness and Education 765

Further Readings stakeholders, including emergency managers and

Bourne, Kylie. “Commanding and Controlling Protest certain policy makers. A discussion of different
Crowds.” Critical Horizons, v.12/2 (2011). modes and tools of education and approaches to
Fernandez, Luis A. Policing Dissent: Social Control ensuring quality of educational material and tools
and the Anti-Globalization Movement. New is presented in this article.
Brunswick, NJ: Rutgers University Press, 2008.
Furst, David. “Neve Dekalim, Gaza Strip.” The Public Communication Approaches
Digital Journalist (July 29, 2005). http://digital Formal education is the conventional way of
journalist.org/issue0508/dis-furst.html (Accessed increasing public awareness about different top-
August 2012). ics. It has been found that this mode of education
Porta, Donatella Della and Herbert Reiter, does not accomplish community participation in
eds. Policing Protest: The Control of Mass the case of emergency management and mitiga-
Demonstrations in Western Democracies. tion. One of the reasons for this is that people
Minneapolis: University of Minnesota Press, 1998. are reluctant to implement or follow guidelines if
they did not participate in the process of formu-
lating those guidelines and mitigation measures.
The other problem with such formal education is
that very often it does not target the majority of
Public Awareness the public unless they are part of an educational
system. The Red Cross has suggested using the
and Education following modes of education to increase public
awareness and subsequent participation in pre-
The Hyogo Framework for Action has identified paredness, mitigation, and resilience.
using knowledge, education, and innovation to
build a resilient community and promote disas- Formal education: This includes development of
ter risk reduction. The Red Cross has also recog- curriculum in a school system dealing with differ-
nized that response and recovery are not enough ent components of hazards, from the origin and
to make a community resilient. Because a hazard attributes of a hazard to consequences and causes
occurs at a local level, increasing participation of of its adverse impacts on society and the envi-
the impacted population in the preparedness and ronment, and including emergency management.
mitigation phases of emergency management will Curriculum development and its implementation
aid in increasing the local community’s ability to are controlled by the education authorities, who
cope with devastating consequences of any haz- are responsible for the long-term sustainability of
ard. Therefore, community-based disaster man- such courses and are accountable for providing
agement, a bottom-up approach more focused at accurate and updated information. The advan-
the community level that requires integration and tage of this approach is that courses can be tai-
participation of polices and stakeholders at other lored to different age groups.
scales (state level, country level) and agencies,
has been identified as the best option for increas- Informal education: Unlike formal education,
ing community resilience. informal education can be provided by any author-
One way of increasing community participa- ity/agency, even by a person with experience in
tion in emergency management is to increase pub- disasters and emergency management. Informal
lic awareness through education about the prob- education is also attractive to most people because
lems, possible solutions, and proactive actions. (1) it is not influenced by a specific time frame and
Educational programs should be targeted at the the required amount of course material to be cov-
at-risk populations of all demographic/cultural/ ered within a specific time, (2) it does not require
ethnic groups and the population surrounding the students to be of a certain age group or part of
at-risk population, and should include the partici- a certain discipline or have certain prerequisites,
pation of community leaders, neighborhood asso- (3) it is comparatively inexpensive, (4) it can be
ciations, organizational leaders, and other key presented using different tools and techniques,
766 Public Awareness and Education

(5) it can cover a large target audience, and (6) it approaches to mitigate societal and environmen-
accounts for the needs and concerns of the local tal impacts of hazards on communities. Though
audience. Some of the popular modes of informal each tool can be used effectively, each community
education are e-learning, games, and World Wide comprises demographically/ethnically/culturally
Web resources. diverse people. Using a combination of the fol-
lowing tools, depending upon the needs of a com-
Campaign: A campaign enables providing stan- munity, will be more effective in increasing public
dard information to a large audience at one time. awareness about causes and consequences of haz-
It also provides the opportunity to present a wide ards and increasing community resilience.
range of information in formal or informal gath-
erings of publics of varying age groups, experi- Publications: Publications have always been an
ence, and ethnicity. Some of the traditional meth- accepted form of disseminating information and
ods of a campaign include workshops, seminars/ increasing public awareness. Although publica-
webinars, face-to-face presentations, presenta- tion in the form of print materials has been widely
tions through mass media, publications in maga- used, technological advancements have made it
zines/mass media/the Internet, billboards, flyers, possible to publish information in digital format
and brochures. for a larger audience. Depending upon the type
and amount of information and the target audi-
Participatory learning: This approach encourages ence, different types of published materials can
participation of people in the problem resolution be used, which include magazines, brochures/fly-
process, thereby leading to their acceptance of ers, booklets, bookmarks, guideline books, activ-
possible guidelines and solutions. Because of the ity books, posters, banners/billboards, comic/
involvement of the public, solutions devised to coloring/story books, DVDs/CDs, and Web sites
problems through this process often include local with information pages. Irrespective of the type
knowledge, which otherwise is not possible. Given of publication, the material should be informa-
that community-based emergency management has tive and interactive to make it memorable and to
been recognized as a more acceptable method of induce behavioral and activity changes to increase
increasing community preparedness and resilience, preparedness and resilience.
this technique increases community empowerment.
Some of the techniques used to accomplish par- Presentations: Traditionally, curriculum, educa-
ticipatory learning are participatory action-ori- tional, and training modules; academic/profes-
ented research (communities are involved in the sional presentations; workshops; Webinars and
research stage to determine solutions), evaluating seminars; and focus group meetings are used to
mitigation plans through drills and simulations, provide a large amount of information in a struc-
and training community leaders and stakeholders tured format to a large audience in a face-to-face
in risk reduction and response measures. Because meeting at one time. The target audience for these
hazards occurs at the local level, this type of learn- methods can comprise teachers, students of dif-
ing works best if applied at the local level (indi- ferent age groups, community members, emer-
vidual or community level), but other levels that gency managers, and other stakeholders. Because
should be part of the learning process to increase these methods of dissemination enable interac-
interaction and build trust are county/state-level tion between information provider and recipient,
emergency management agencies and other orga- recipients tend to learn through exercises, and
nizations that are part of the emergency manage- providers can test the learning outcomes of the
ment team: fire departments, law enforcement approaches to increase effectiveness of future such
agencies, schools/churches, and businesses. meetings. For any of these methods to succeed, it
is imperative to know the prior knowledge, skill
Tools and Techniques set, and competency of the recipients.
A number of tools and techniques are currently
used to educate people about hazards, their Electronic learning: Electronic learning, or
different components and consequences, and e-learning, unlike the traditional classroom style
 Public Awareness and Education 767

of teaching, uses computers, the Internet, and mimics a hurricane and allows children to learn
DVDs/CDs to provide information to a larger about hurricanes, causes of their origin, and their
audience. Game-based educational modules are consequences on society and the environment. As
also good examples of e-learning techniques. games can be designed to target any age group,
The advantages of using this technique are these are a good way to increase public awareness
(1) learning materials can be accessed at any and participation in emergency management.
time, (2) instructors can share knowledge and
be available to provide information at any time, Audio and video: Learning materials in audio
(3) students learn the information at their own and video formats can be mass produced and
pace, (4) students can interact with the modules used by a large group irrespective of ethnic/cul-
to understand a problem and devise their own tural/linguistic diversity. These materials can be
solutions and find out the impacts of the solu- produced either professionally or informally by
tions, (5) it is less expensive, and (6) because an experienced person. Professionally produced
learning materials can be available in textual/ materials can be expensive and would be useful
audio/video/game format, students can learn the in public relations work. Because professional
material using any of the available options as materials tend to be more generic, they provide
they prefer. The dependence of this technique on a broad-based coverage of a problem, avail-
information technology is its major drawback. able concepts, and possible solutions and hence
People who lack access to a computer or the implement a problem-based learning technique.
Internet cannot use the tool for learning. Informal and locally produced materials can be
inexpensive, comprising personal experience, and
Arts: Events and locations supporting mass therefore are a good platform to share informa-
gatherings—for instance, an exhibition, public tion. Informal materials can also build on local
parks, school and community events, recreational knowledge, which tends to be lacking in profes-
centers, or fairs—can be used to increase pub- sionally produced materials. Because informal
lic awareness about hazards and their adverse materials account for the characteristics of a com-
impacts. Some of the artistic outlets that can be munity and aid people to use their knowledge in
used to reach a broader audience and encourage conjunction with generic information to resolve
participants of all age groups to participate are a problem, they are more place-based. Further-
dramas, skits and plays, puppet shows, murals, more, informal materials can also be published
large-scale paintings, and posters. One major using radio and local television networks and the
advantage is that these methods of dissemination Internet (podcast/YouTube/social media sites).
can be conducted formally and informally.
World Wide Web: Growth and increasing usage
Games: Game-based learning has been found to of the World Wide Web has made it possible to
be effective in increasing (1) student participation disseminate information to a large audience and
in a problem-solving task, (2) a student’s knowl- promote public awareness and education. Using
edge-receiving capacity, (3) student motivation Web resources requires developing a site that
to learn, (4) student perception of the problem, is simple, provides a lot of information with-
and (5) learning outcomes. Being innovative and out being bulky in its implementation, and can
interactive, games enable students to understand provide the same information in different lan-
a problem and learn about fundamentals of deal- guages. Decision support tools can also be pub-
ing with the problem, to use their skill set to solve lished using the Internet to aid users in solving a
the problem, and to evaluate the consequences of problem based on information provided through
each solution. these tools. In order for the site to be acceptable
Examples of different games that can be used to to users, it has to be transparent, be consistent,
increase public awareness include board games, provide updated information, maintain privacy
puzzles, video games (2D or 3D), and interactive and confidence of the users, and be account-
educational games that have an exam compo- able to provide accurate information. E-learning
nent. Disneyland in Orlando has a 3D game that modules and games can also be disseminated
768 Public Awareness and Education

through the Web. The successful use of Web- successful and will be long-lasting. This requires
based resources is dependent on the availability evaluating the quality of information and of
of the Internet. required steps to increase sustainability of dissemi-
nation methods. The following sections present a
Social media: Social media have become the discussion of the principles to be followed to main-
forefront of communication. Though e-mail is tain quality of information and steps to evaluate
still in use, social media sites allow instantaneous success of education modes.
access to information. For instance, Ujahidi and
Twitter were used during the Haiti earthquake Consistency: Extensive studies have been con-
to share information among stakeholders. These ducted in hazard research about crafting messages
sites also allowed users to translate information and information. In order to attract the attention
into English so that response and rescue teams of the public and increase its acceptance of infor-
on-site could use the local knowledge to respond mation, it is pertinent that the information pre-
to problem areas and aid in recovery. These sites sented to the public is clear and consistent. The
enable people to build a broad network and to public should be informed of the causes of risk,
share information without any organizational who is at risk, the social/financial/environmental
involvement. They also work as a source of social consequences of risk, and the actions to be taken
capital for communities so that people can reach during different phases of emergency manage-
out to others and build trust to share informa- ment to address the adverse impacts. Presenting
tion. These sites can also be used for collabora- scenarios and real-life examples of the results of
tion, knowledge sharing, and broadcasting of not taking any mitigation measures will also help
information to a larger group following a snow- people understand the significance of the infor-
ball approach. mation presented to them.

Telecommunication: The use of cellular technol- Scalability: Hazards and risks occur at the local
ogy has made it possible to provide information scale. Therefore, community-based education and
to the public irrespective of their location. The intervention have been recognized as the most suc-
same technology can be used to provide informa- cessful approach to increasing public awareness.
tion about a disaster at any stage of emergency With rapid population growth and constantly
management. In the United States, the Federal changing dynamics of communities, it is crucial
Emergency Management Agency (FEMA) uses to develop activities and educational modules
this technology to warn the public of an impend- that can be applied to a large group of people to
ing disaster. E911, another such telephone-based save cost and time of preparing materials. In this
service in the United States, allows locating a call- context, scalability comes into the picture, which
er’s position to send a response. New program- means replicating the same activities on a larger
ming technologies have been developed to design scale or for a larger audience. One approach to
resources using the Internet that can be accessed developing cost-effective and sustainable solu-
from a phone instead of a computer. Thus, the tions that can be replicated easily is to develop
games and Web-based resources that provide modules of generic information about a specific
information about a disaster can be designed to problem and potential solutions, then change the
be accessed by a phone. As cell phones are more modules to adapt to a community’s need. This
prevalent than computers in developing coun- will help address the changing dynamics of the
tries, it is a much better option for contacting a same community over a period of time as well as
large audience using a mode of communication integrate local knowledge.
to increase public awareness.
Sustainability: Even if education intervention
Quality and Sustainability Assurance is effective and public awareness has increased,
Irrespective of the different modes of education communities are increasingly at risk. One major
and tools to deliver information, it is essential to reason is that each community undergoes popu-
evaluate whether the methods of dissemination are lation growth and subsequent changes in social
 Public Awareness and Education 769

and physical environments, as well as in- and out- one-third probability of rain.” People use “per-
migration, thereby leading to a constant change in cent” in day-to-day life as opposed to “probabil-
the community’s dynamics. Other changes that a ity,” so using “percent” in the information will be
community might undergo are (1) formulation of more understandable.
new policies/guidelines that require developing a Instead of using only textual information,
new solution different from previous solutions, (2) visual information should also be presented. Pic-
changes in technologies that might provide a bet- tures (e.g., photos, maps, figures, etc.) attract
ter solution, (3) technological changes that might more attention and can be interactive. In case of
intensify a current problem, (4) inclusion of new the presence of a linguistically diverse audience,
indigenous knowledge, and (5) lack of evaluation pictures can be used to inform them of a prob-
of previous education approaches. Therefore, lem and potential solutions. Pictures of adverse
public awareness education needs to be sustain- impacts of hazards as well as positive outcomes
able, that is, it will be useful and less expensive to of proactive action should be presented to moti-
identify activities that can be replicated without vate the audience to take action to mitigate future
significant changes, to identify agencies that can hazard impacts. Geospatial technology has made
provide these education sessions, and to conduct it possible to visualize the spatial distribution of
predictive models to identify people and locations hazards, at-risk populations, and adverse impacts
at risk to develop appropriate solutions. of hazards. Therefore, maps depicting this infor-
mation should be used, but it is essential to use
Legitimacy and credibility: Legitimacy and cred- a color scheme that works best. Maps should
ibility are two important facets of public aware- include landmarks for easy interpretation.
ness education, that influence both acceptability Educational material should include local
of educational material and public awareness and knowledge. Prior experience of the public, espe-
resilience. Legitimacy ensures providing regulated cially community leaders and key stakeholders, in
and quality information. Credibility means build- dealing with hazards should be addressed in the
ing trust with the public to make them believe material. Adapting the information to a commu-
in the information as well as in the information nity not only will increase public interest but will
provider. By increasing the involvement of local also provide the advantage of using local knowl-
stakeholders, credibility of information can be edge along with generic information in dealing
achieved. Likewise, legitimacy can be injected with different situations.
into the material by asking national-level staff Rather than just presenting information or lec-
and volunteers to be part of the material devel- turing on the information, it is essential to present
opment and dissemination. For instance, FEMA it in an interactive manner. In addition to the pre-
providing education on emergency management senter, community leaders and key stakeholders in
will be legitimate, but including local leaders will the community and emergency managers should
increase credibility and acceptance of material at be present during presentations. This will build
the local level. the trust of the public and lead them to believe in
the material. Engaging their attention and asking
Information content, design, and delivery: The their participation in understanding the problem
goal of any mode of education is to increase pub- and potential solutions is another way to increase
lic awareness and reach a broader audience, which acceptability of information and to motivate
means addressing the experience and knowledge audiences to take action to reduce future hazard
of local participants in information formula- impacts.
tion. Chances of people having any knowledge of Finally, the tools should be interactive, user
technical terms used in the information are low. friendly, easy to use, accessible, and informa-
Therefore, it is best to avoid the use of jargon and tive. Information content should also be updated,
technical terms when disseminating information consistent, creative, and participatory. Con-
to the public and most beneficial to use every- tent should be evaluated by experts and local
day language instead; for instance, “there is 30 stakeholders. Pre- and post-test surveys can be
percent chance of rain today” versus “there is a used to determine people’s knowledge gain and
770 Public Health Surveillance

inclination to take proactive actions to resolve a

problem. Drills can also be conducted to test the
Public Health Surveillance
effectiveness of materials and public awareness. Public health surveillance is defined by the World
These approaches, if successful, can be replicated. Health Organization (WHO) as the ongoing, sys-
tematic collection, analysis, and interpretation
Bandana Kar of data (e.g., regarding agent/hazard, risk factor,
University of Southern Mississippi exposure, health event) essential to the planning,
implementation, and evaluation of public health
See Also: Crisis Communications; Coping Capacity practice, closely integrated with the timely dis-
and Response Capability; Decision Support semination of these data to those responsible for
Tools; Disaster Risk Reduction; Electronic Media; prevention and control. A public health surveil-
Emergency Management Agencies, City and County; lance system should include the capacity for sys-
Federal Emergency Management Agency (FEMA); tematically collecting data, analyzing said data,
Mass Media; Social Media. and disseminating results to persons who can
implement effective interventions.
Further Readings
Hagman, G. “Prevention Better Than Cure: Report Understanding Public Health Surveillance
on Human and Environmental Disasters in the Public health surveillance delivers real-time, early
Third World.” Stockholm: Swedish Red Cross, warning information to health practitioners and
1984. decision makers about health problems that need
International Federation of Red Cross and Red to be addressed in a discrete population. It is a
Crescent Societies (IFRC). “A Framework for critical tool to prevent outbreaks of diseases and
Community Safety and Resilience in the Face of develop appropriate, rapid responses when dis-
Disaster Risk.” Geneva: IFRC, 2009. eases begin to appear and spread.
International Federation of Red Cross and Red Public health surveillance provides information
Crescent Societies. “IFRC Strategy 2020: Saving such as the following:
Lives, Changing Minds.” Geneva: IFRC, 2009.
International Federation of Red Cross and Red • Disease incidence, morbidity, and mortality,
Crescent Societies. A Practical Guide to Advocacy as well as progress in achieving disease
and Disaster Risk Reduction. Geneva: IFRC, 2009. control goals
International Federation of Red Cross and Red • Changes in patterns of morbidity and
Crescent Societies. Public Awareness and Public mortality among and within different age
Education for Disaster Risk Reduction: A Guide. groups, demographic areas, and economic,
Geneva: IFRC, 2011. social, or cultural groups
Mamo, T. “Community-Based Disaster Management • Impact of various control measures (such
and Public Awareness.” Presented at the Disaster as immunization and vaccination strategies)
Risk Vulnerability Conference, 2011. http://www on disease incidence
.disasterresearch.net/drvc2011/paper/fullpaper_8
.pdf (Accessed April 2012). Tracking of Overall Disease Trends
United Nations International Strategy for Disaster The overriding value of disease surveillance is its
Reduction. “Hyogo Framework for Action use as a tool to identify the presence of infectious
2005–2015: Building the Resilience of Nations and diseases and to guide actions to prevent them from
Communities to Disasters (HFA).” Kobe, Japan: becoming threats to public health. Surveillance is
UNISDR, 2005. also necessary in a public health setting as it can
Yodmani, S. “Disaster Risk Management and serve as an early warning system, identify public
Vulnerability Reduction: Protecting the Poor.” health emergencies, guide public health policy and
Paper presented at Asia and Pacific Forum on strategies, and document the impact of an inter-
Poverty, 2001. http://www.adpc.net/infores/adp vention or progress toward specified public health
c-documents/PovertyPaper.pdf (Accessed April targets/goals as well as understanding/monitoring
2012). the epidemiology of a condition to set priorities.
 Public Health Surveillance 771

Case Study: Public Health and Sudden Acute Respiratory Syndrome

The epidemic/near pandemic of sudden acute because of the fear that this disease could
respiratory syndrome (SARS) appears to have potentially be spread from person to person.
started in Guangdong Province, China, in Even so, in February and March 2003, the
November 2002. The first case of SARS reportedly disease spread to Hong Kong, Vietnam, Singapore,
originated in Shunde, Foshan, Guangdong, in Canada, and elsewhere. Health experts named
November 2002, and the patient, a farmer, was it severe acute respiratory syndrome (SARS),
treated in the First People’s Hospital of Foshan. identified a specific virus as the cause by March
The patient died soon after, and no definite 2003, and mapped the full genome by April.
diagnosis was made on his cause of death. Despite After more than 8,000 patients in 26 countries
taking some action to control the outcome, Chinese were affected and 774 deaths were confirmed, the
government officials did not inform the World pandemic ended by July 2003, as transmission
Health Organization (WHO) of it until February was interrupted. The World Health Organization
2003. This initial lack of openness caused delays spearheaded the effort to control the pandemic,
in efforts to control the epidemic, resulting in working with national and international health
criticism of the People’s Republic of China from workers, the Chinese Center for Disease Control,
the international community. China has since and a team of field epidemiologists.
officially apologized for early slowness in dealing In Canada, which had the most cases of
with the SARS epidemic. SARS outside China, field epidemiologists began
The first clue as to the true nature and scope of investigations, developed prevention and control
the outbreak appears to be on November 27, 2002, guidelines, informed the media and the public, and
when Canada’s Global Public Health Intelligence planned and implemented studies of the disease.
Network (GPHIN), an electronic warning system The success of this global effort to control the
that is an element of the WHO’s Global Outbreak first new epidemic of the 21st century depended on
and Alert Response Network (GOARN), picked open collaboration among scientists and politicians
up reports of a “flu outbreak” in China through of many countries and on rapid communication of
Internet media monitoring and analysis and surveillance data among countries. Once the spread
sent them to the WHO. Subsequently, the WHO of SARS was recognized, a worldwide surveillance
requested information from Chinese authorities on network was established based on an agreed-upon
both December 5 and 11. Public health control case definition that was specific enough to ensure
measures were put into place soon afterward accurate reporting.

With the advent of travel pathways allow- and respond to diseases as soon as they emerge.
ing millions of people to travel the globe every Given this, public health surveillance needs to be
day, diseases cross boundaries within days and grounded in a functioning and organized health
sometimes even hours. Recent experiences such care system within a stable governmental struc-
as the severe respiratory acute syndrome (SARS) ture. As a corollary, public health surveillance
near-pandemic in 2002–03 as well as the H1N1 remains rudimentary or simply absent in many
pandemic in 2009–10 have shown the need for parts of the world where governments function
robust public health surveillance systems because poorly. Public health surveillance rests on clear
of multiple factors (health and economics, specif- classification of illness and disease and relies on
ically). Although the tools and expertise exist to accurate, replicable measurement systems that
avert epidemics, political commitment and finan- incorporate both the collection of data system-
cial support are needed to ensure that all coun- atically, and its timely analysis and consistent
tries have systems in place to detect, analyze, interpretation.
772 Public Health Surveillance

Types of Public Health Surveillance problem, determining the geographic distribution

There are several types of public health surveil- of illness, portraying the natural history of a dis-
lance. These include the following: ease and/or disease process, detecting epidemics/
defining a problem, generating hypotheses and
Laboratory surveillance: Some conditions, espe- stimulating research, evaluating various pub-
cially chronic diseases such as diabetes mellitus, lic health control measures, monitoring changes
are routinely managed with frequent laboratory in infectious agents (the aforementioned SARS
measurements. Since many laboratory results, at and the H1N1 events are both good examples),
least in Europe and the United States, are auto- detecting changes in health practices, and facili-
matically processed by computerized laboratory tating future health event planning.
information systems, the results are relatively Additionally, the following are areas where
easy to inexpensively collate in special purpose public health surveillance could also be helpful:
databases or disease registries. Unlike most syn-
dromic surveillance systems, in which each record • Monitoring the adverse effects of
is assumed to be independent of the others, labo- environmental hazards such as toxic
ratory data in chronic conditions can be usefully chemicals and biologic agents in the air,
linked together at the individual patient level. If water, soil, or food.
patient identifiers can be matched, a chronologi- • Collecting data on injuries, which are
cal record of each patient’s laboratory results can among the leading causes of death and
be analyzed as well as aggregated to the popula- disabilities worldwide, and most of which
tion level. are preventable.
• Detecting and managing outbreaks of
Sentinel surveillance systems: These consist of bioterrorism, in which the causes are
a sample of health facilities or laboratories in human-made but the outbreaks are similar
selected locations that report all cases of a certain to other epidemics. Early detection and
condition to indicate trends in the entire popula- warning are critical to saving lives.
tion. Sample reporting is a good way to use limited • Monitoring and responding to disasters and
resources to monitor suspected health problems. complex emergencies, including mapping
Examples include networks of health providers of possible hazards and training of rescue
reporting cases of influenza or a laboratory-based teams.
system reporting cases of certain bacterial infec- • Monitoring refugee populations to identify
tions among children. and eliminate preventable causes of illness
and death in these communities.
Syndromic surveillance: This applies to surveil-
lance using health-related data that precede diag- Conclusion
nosis and signal a sufficient probability of a case One of the most important points in pub-
or an outbreak (or cluster) to warrant further pub- lic health surveillance is the information loop
lic health response. Though historically syndromic of public health surveillance. This means that
surveillance has been utilized to target investiga- information will be gleaned from the way that
tion of potential cases, its utility for detecting the public present to physicians/health agencies/
outbreaks associated with bioterrorism is increas- health departments and then be processed into
ingly being explored by public health officials and reports. These reports, with various trends, sum-
emergency medical services (EMS) leadership. maries, and recommendations, will be sent to
Syndromic surveillance is the term for the active other physicians/health agencies/departments,
monitoring of a disease cluster or clusters. and the cycle begins again.
The practice of public health surveillance and
Uses of Public Health Surveillance Data disease notification is becoming more sophisti-
There are many uses for the data culled from cated not only in the United States but throughout
public health surveillance. These include assisting the world. The use of computers is making report-
in evaluating the magnitude of the public health ing quicker and more accurate, and it supports
 Public Image 773

more sophisticated analysis of the data. Improving

laboratory support by means of more rapid and
Public Image
detailed identification of etiologic agents has also Public image is how people feel and think about a
increased the effectiveness of disease reporting. particular organization, regardless of facts some-
Surveillance, which consists of collection, analysis, times. Companies and organizations portray and
interpretation, and eventual dissemination, leads characterize themselves through marketing cam-
to public health actions, including priority setting, paigns that indirectly tell the public how they
outbreak investigation, and case investigation as should feel about said company. How well an
well as prevention and control. organization manages a crisis will directly impact
To be useful, public health surveillance must its public image and will alter how people feel
be approached as a scientific enterprise, applying about the organization and its products. Main-
rigorous methods to address critical public health taining a positive public image is often a selling
concerns. The problems facing the developing point for a crisis management program.
and developed worlds are increasingly similar and
overlapping. The rise of global epidemics, in par- Crisis Communications Strategies
ticular, calls for integrated, worldwide networks The most difficult part of managing a crisis is
that bring together health practitioners, research- reacting with the appropriate response in the eye
ers, governments, and international organizations of the public. There are several things that can be
to address surveillance needs that cross national done by a company in crisis to publicly manage
boundaries. Although it is reassuring that disease its reputation.
outbreaks such as H1N1, SARS, and even Ebola Taking responsibility for the crisis is necessary
have been impacted, rapidly identified, and pos- to avoid being seen as defensive and portraying
sibly mitigated, through rapid surveillance and an uncaring attitude. During times of crisis, the
response, there is no reason for complacency. impacted company should strive to assist with
Health experts are certain there will be further efforts to find the cause of the crisis versus defend-
outbreaks, possibly of SARS or avian flu, or some ing an innocent status. If possible, every effort
novel disease as yet unseen. Thus, the question should be made to correct the problem immedi-
is not whether but when these new disease out- ately, regardless of fault. If there are victims, it is
breaks will occur and whether the worldwide important to give them and their families special
health community will be ready for them. treatment and genuine sympathy. Conversely, a
company in crisis may play the role of the victim
Raphael M. Barishansky while also recognizing and fixing the issue. This
Long Island University can gain the public’s sympathy and make the pub-
lic cheer for its success in recovery.
See Also: Centers for Disease Control and Prevention Every attempt should be made to be proactive
(CDC); Cluster; Epidemics; Pandemics; Severe with the media. This should start before a crisis
Acute Respiratory Syndrome (SARS); World Health occurs by identifying a media spokesperson in
Organization (WHO), UN. order to form a trusted relationship. One spokes-
person should be identified to be the face for the
Further Readings company during this time. Only facts should be
Centers for Disease Control and Prevention. “Public mentioned when discussing the crisis, rather than
Health Surveillance Program Office.” http://www speculation, assigning blame, or downsizing the
.cdc.gov/osels/ph_surveillance/index.html (Accessed impact of the crisis. Social media should not be
July 2012). ignored. Organizations need to designate some-
Wilson, Frances, and Mzwandile Mabhala. Key one to monitor what is being said about the crisis
Concepts in Public Health. Thousand Oaks, CA: and the company in order to immediately coun-
Sage, 2009. ter any erroneous information with the correct
World Health Organization. “Public Health facts. All available social media platforms should
Surveillance.” http://www.who.int/topics/public be used in order to get the message out to the
_health_surveillance/en (Accessed July 2012). most people.
774 Public Image

Case Study: Examples of Positive and Negative Public Images During Crises

Common opinion equates with a quick and honest there was no wrongdoing or shirking with safety on
response; often, accepting responsibility, even if behalf of Tylenol; however, the public saw Johnson
the situation was not caused by the company in & Johnson take responsibility for the crisis. The
crisis, is the most effective strategy for maintaining leadership appeared immediately in the media
a positive public image after a crisis. A company and at news conferences ready to talk about the
that is silent during crisis or puts blame on another situation. Tylenol sales regained as people trusted
entity is usually ostracized by the media and the the company because of its proactive response.
public at large.
Deepwater Horizon Explosion
Tylenol Tampering A BP-owned oil and gas prospect that operated
Tylenol (Johnson & Johnson) underwent a product off the Gulf Coast suffered an explosion and
tampering crisis in 1982 in which it fared well with subsequent oil spill in 2010. The explosion killed
its public image. The company was faced with the 11 men working on the platform and 17 others.
dilemma of the best way to deal with a problem Oil continued to spill into the Gulf of Mexico for
outside its control without destroying the reputation months. The spill caused extensive damage to
of its brand and its most profitable product. Johnson marine and wildlife in the Gulf and impacted both
& Johnson’s approach to the crisis, including its the fishing and tourism industries. The incident
readiness and willingness to respond, created a has turned into a classic case study of how not
favorable positive image for its brand in the long run. to manage a crisis, as BP quickly became and
In short, a murderer took Tylenol bottles from remained loathed by the public. BP was very
stores’ shelves, added cyanide, and returned slow to acknowledge the crisis in the beginning.
them back to the shelves to be sold to the general It consistently underestimated the severity of the
public. Seven people were killed by taking the situation and put blame on any other organization
Tylenol capsules. When the deaths were traced to when possible. Furthermore, it failed to show
Tylenol, Johnson & Johnson responded immediately empathy toward the victims and the victims’
by recalling and destroying 31 million capsules families. All of these combined led to an outpouring
at a cost of $100 million. It is now known that of outrage from the general public.

Public Image Is the Crisis industry, size, geography, publication, journalist,

There can be circumstances when poor man- or editor. The 24/7 monitoring of blogs, social
agement of one’s image becomes the crisis that networking sites, and various news sites is essen-
could lead to the demise of a company. With the tial to protecting a company’s image in today’s
popularity of social media and the instant mass world. With proper detection and communica-
communication capability of videos and texts, tion with a crisis management team, an appropri-
companies must be on alert to ensure they are ate response can be formulated and implemented
aware of their company’s involvement in these to rectify the situation.
platforms. Many vendors currently exist to mon-
itor media sites on a company’s behalf. These Julie Kachgal
vendors provide clients with copies of media con- Walt Disney Company
tent that is of specific interest to them and can
change based on current demands or a change in See Also: Credibility; Crisis Communications;
situation. They can deliver multiple items such Electronic Media; Mass Media; News Media; Product
as documentation, content, analysis, or editorial Defects and Recalls; Product Tampering; Public
opinion. These services may specialize in subject, Relations; Reputational Risk.
 Public Relations 775

Further Readings and management decisions to reach its goals and

Anthonissen, Peter Frans. Crisis Communication: objectives and ultimately to achieve its mission
Practical PR Strategies for Reputation and vision.
Management and Company Survival. Philadelphia: The term public relations first appeared in the
Kogan Page, 2008. 17th century, but the professional practice as it
Fearn-Banks, Kathleen. Crisis Communications: is known today is a product of the latter part of
A Casebook Approach. 4th ed. New York: the 19th century in the United States, primarily
Routledge, 2010. in the role of press agentry and promotions. The
Jordan-Meier, Jane. The Four Stages of Highly 20th century witnessed the professionalism of
Effective Crisis Management: How to Manage the public relations while defining itself with sets of
Media in the Digital Age. Boca Raton. FL: CRC, best practices, ethical codes of conduct, standards
2011. of higher education that prepares future practitio-
Keyse, Cassandra. “Lessons Learned in Public Image ners, and the development of an academic body
Management: An Examination of Public Relations of knowledge that is culturally critical and empir-
Strategies Employed by Public Agencies During ically refined, tested and debated in application,
Hurricane Katrina.” (2009). http://digitalcom theory, and social responsibilities to society.
mons.calpoly.edu/joursp/3 (Accessed July 2012). The First Amendment ultimately protects
public relations’ roles in the United States, giv-
ing the right of natural and artificial citizens to
speak and to hear, to read, and to view what oth-
ers say. In this manner, public relations is a way
Public Relations for people and their related organizations to be
involved in the marketplace of ideas. Ideally, it
From the perspective of traditional areas of prac- allows people to share and to understand ideas
tice and scholarship, the field and study of pub- before making a choice. This communication is
lic relations is relatively new in the communica- enacted not only in discourse but also within the
tion and management fields. It is an eclectic term actions of organizations, which are communica-
that generally defines the relationship between an tive roles that impact the discourse of society.
organization and its stakeholders, operational- Thus, at its core, public relations is fundamen-
ized as management, communication, and social tally about creating and enacting meaning on
functions. At its most fundamental level, public behalf of organizations. The richness of public
relations professionals communicate on behalf of relations research and practice is based on inter-
organizations to favorably position them to earn pretation and advocacy beyond simple informa-
the trust and favor of targeted markets, stake- tion push and exchange, while addressing how
holders, and other audiences. meaning is created, exchanged, and enacted in
Most classic definitions of public relations are ways that make individuals and organizations
structured around the concept that it is a man- more effective at what they do and fostering
agement function that establishes and maintains decision making for a fully functioning society.
mutually beneficial relationships among an orga- The strategic planning function of public rela-
nization/industry/client and its related publics on tions positions organizations to engage in dia-
whom its success or failure depends. The Public logue with stakeholders regarding issues, prod-
Relations Society of America defined public rela- ucts, or services. Planning involves counseling
tions as a field that helps an organization and management’s actions and communications to
its publics adapt mutually to each other. A more better understand and to align their interests with
general definition of public relations is that it is those of their stakeholders. Public relations uses
a management function that entails planning, research to obtain data that can be used to better
research, publicity, promotion, and collaborative plan, identify key targets, and measure the effec-
decision making with stakeholders on behalf of tiveness of management’s decisions and related
an individual or organization to improve its abil- communication actions. Public relations research
ity to listen, appreciate, and engage in dialogue works to environmentally scan media and other
776 Public Relations

communication outlets and define threats and Much of the early research on public relations con-
opportunities that exist for the organization centrated on making organizations more effective
and its related stakeholders, both internally and by engaging in various public relations functions,
externally. Public relations activities and plans including media relations, investor relations,
are designed to support an organization’s over- community relations, risk and crisis communi-
all numerous goals and objectives. Communica- cation, employee/member relations, government
tion efforts are typically related to promotion and affairs, image management, industry relations,
publicity and issues management, including new issues management, labor relations, and support
media platforms such as social media. Practitio- of marketing and advertising. These functions are
ners are tacticians and technicians who design carried out through the use of various public rela-
and craft communication tools, as well as coun- tions tactics, such as press releases, press confer-
selors who advise organization management on ences, media kits, special events, speechwriting,
how to best fit into their operating and commu- social media, crisis communication planning and
nity environment. execution, and public relations campaigns.
Public relations as a communication function There are numerous competing views about
has a general model that includes four steps: what public relations does, how it should be
research, action, communication, and evaluation. practiced, and what academics should focus on
One historical model and contemporary descrip- in their research. Some public relations practitio-
tion of public relation practice is the four models ners’ and researchers’ perspectives feature “media
of public relations, developed by James Grunig. relations” as the fundamental function of public
The first model, press agency/publicity, defines relations. This perspective follows a more tradi-
public relations as a propaganda tool that seeks tional, media-centric perspective on communica-
media attention. The second model, public infor- tion more related to marketing and free advertis-
mation, describes public relations as journalists- ing of products, services, and issues, as well as
in-residence who avoid negative information and managing communication during a crisis event.
disseminate general factual information about A second perspective, “communication stud-
an organization to targeted publics. The last two ies/rhetoric,” features concepts such as discourse,
models are two-way asymmetrical and two-way dialogue, persuasion, dialectic, sense making, and
symmetrical. The two-way asymmetrical model meaning making. Rather than an information-
works to influence publics without necessar- or relationship-exchanged perspective about the
ily changing the organization’s behaviors, while core function of public relations, this orientation
the two-way symmetrical model works to make is more focused on advocacy, interpretation, and
the behavior changes that benefit both the orga- social construction and shared meaning among
nization and stakeholders. Numerous research organizations and stakeholders. The rhetorical
reports show that public relations practitioners tradition is associated with a concern for pub-
are actively seeking two-way symmetrical com- lic discourse, argument, and the character of the
munication because it can build better relation- communicators—a value on public discussions
ships that lead to greater organization effective- based on the idea that this process enables the
ness, higher profits, and better ethics. most just ideas to emerge.
Another perspective is “relationship manage-
Public Relations Functions and Perspectives ment” as the guiding principle of public relations.
Public relations has grown into a mature and Relationship management draws on interper-
important field, and it impacts many other fields, sonal communication to better manage relation-
such as emergency management, health care, non- ships for the good of organizations, stakehold-
governmental management, government public ers, and society. Another perspective is a general
education, politics, marketing, and advertising. “strategic management function” with its roots
There are numerous terms that relate to public in systems theory. Operating from management
relations, such as corporate communication, pub- theory perspectives, this area applies management
lic information, community relations, integrated procedures to produce mutual benefits and mutu-
marketing communication, and public affairs. ally beneficial relationships for organizations,
 Public Relations 777

An ABC News crew led by Jeffrey Kofman, center, reports a Good Morning America segment from the bow of a U.S. Coast Guard cutter
about a mile from the explosion of the BP-owned Deepwater Horizon in the Gulf of Mexico, July 9, 2010. During the crisis, the public
was deluged with images of the oil spill and environmental damage. In the opinion of the public, BP did not respond quickly enough,
fully understand the severity of the crisis, or show appropriate sympathy for the victims, leading to a public relations nightmare for BP.

individuals, communities, and other publics. Var- Risk, crisis, and ultimately disaster are the defini-
ious grounding principles of efficiency of ratio- tive challenge to public relations practitioners
nale market, efficiency management systems, and who research or work for organizations, as well as
participative and collaborative management pro- their related stakeholders, whose business, politi-
cesses are included. The goal of public relations cal, or social missions involve managing health,
is not only to maintain relationships but also to safety, and environmental risks. Public relations
strategically and effectively maintain relation- and crisis communication management before,
ships for the betterment of all parties involved. during, and after a crisis can mitigate the effects
Last, another broad area focuses on “critical/cul- of—or perhaps prevent—the crisis from becom-
tural” and “postmodern” perspectives of public ing an issue by working quickly and responsibly
relations functions and activities. to establish or reestablish the level of control
desired by relevant stakeholders.
Crisis Communication and Public Relations Beyond better managing health, safety, and
The industrial and information ages have cre- environmental implications of crisis events, repu-
ated a whole new range of risks and crises, while tation in large part is based on whether or not
advances in communication and information stakeholders consider the organization will meet
technologies have increased people’s awareness of their expectations of how they treat stakeholders.
these challenges, as well as increasing the oppor- Stakeholders evaluate the organization through
tunities for dialogue and shared decision making. information they recruit by interacting with the
778 Public Safety Canada

organization, reading news reports, and hearing operations defined by high CSR standards can
secondhand information from other people or help defend an organization during a risk or cri-
from social media. Therefore, when stakehold- sis event, or they can also be its downfall. CSR
ers lose their confidence in an organization, the requires normative behavior, in the sense of social
organization experiences a reputation threat. In exchange theory, whereby organizations meet or
the public relations field, numerous crisis com- exceed the expectations preferred by stakeholding
munication theories’ and models’ response strate- critics. As an organization meets or exceeds the
gies provide frameworks for understanding how normative expectations others hold of it, it enjoys
to better manage communication before, during, a high reputation and likely benefits in numerous
and after a crisis. It is public relations work to ways.
conduct the information flow and to update the
stakeholders during a crisis, all in an effort to Michael J. Palenchar
mitigate health and safety effects while managing University of Tennessee, Knoxville
reputation.
See Also: Crisis Communications; Emergency Public
Public Relations as a Social Function Information; Reputational Risk; Spokesperson,
Some researchers and practitioners argue that Designating and Utilizing; Stakeholders.
public relations needs to be studied as a social
phenomenon in order to understand its role in Further Readings
building trust or creating mistrust, as well as Botan, C. H. and M. Taylor. “Public Relations: The
developing or destroying a company’s reputa- State of the Field.” Journal of Communication,
tion and legitimacy to operate. The main aspect v.5/4 (2004).
of a sociological perspective on public relations Grunig, J. E. “Furnishing the Edifice: Ongoing
is its concern with issues and values related to Research on Public Relations as a Strategic
the public sphere, which are publicly debated. Management Function.” Journal of Public
Publics and groups are creators of meanings and, Relations Research, v.18/2 (2006).
ideally, public relations makes it possible to agree Heath, R. L., ed. Encyclopedia of Public Relations.
to shared meaning, interpretations, and goals. 2nd ed. Thousand Oaks, CA: Sage, forthcoming.
Several scholars have argued that a functional Heath, R. L. “Onward Into More Fog: Thoughts on
approach along with a co-creational approach Public Relations’ Research Directions.” Journal of
to public relations contributes to a society where Public Relations Research, v.18/2 (2006).
people, groups, and organizations have desire Heath, R. L., ed. The SAGE Handbook of Public
and confidence to make their community, society, Relations. Los Angeles, CA: Sage, 2010.
and world a better place to live. Toth, E. L., ed. The Future of Excellence in Public
Another social function of public relations is Relations and Communication Management.
the area of corporate social responsibility (CSR). Mahwah, NJ: Lawrence Erlbaum, 2007.
Within crisis communication and public relations,
CSR is essentially a matter of knowing what is
expected to help rather than harm others when
it comes to crises. In this sense, CSR requires the
willingness and ability to meet others’ expectations Public Safety Canada
regarding how our actions—what we know, how
we act, how we communicate—can add value to Public Safety Canada (PSC) was created in 2003
others’ longing and efforts for health and safety; to ensure coordination across all federal depart-
or how it can also harm that goal, even increasing ments and agencies responsible for national
the likelihood that others’ risk outcomes are aug- security and the safety of Canadian citizens, but
mented by our actions and statements, or the lack it did not become legally established until the
of action or statement, or when those statements Department of Public Safety and Emergency Pre-
are used as a coping strategy for reputation risk. paredness Act came into force in 2005. With its
Conventional wisdom reasons that appropriate headquarters in Ottawa, PSC develops national
 Public Safety Canada 779

policy, standards, and response systems in order about greater interoperability in health, safety,
to reduce the impact of a wide range of crises, crime, and national security.
including natural disasters, industrial accidents, The GOC is at the center of the national emer-
terrorism, and computer viruses. Recognizing gency management system, monitoring and coor-
that emergency management is a core responsibil- dinating, as it does, the federal response to any
ity of the government of Canada and a collective crisis. In so doing, it is assisted by its regional and
responsibility of all federal government institu- satellite offices, which act as PSC’s representatives
tions, PSC takes steps to promote a coordinated closest to any crisis or event of national interest;
approach and a uniformed structure to the man- they also provide operational support to the Gov-
agement of emergencies by providing guidance to ernment Operations Centre.
federal government institutions on the develop- The CCIRC is responsible for monitoring and
ment of emergency plans. providing mitigation advice on cyber threats and
It works closely with provincial and territorial coordinating the national response to any cyber
emergency management organizations and the security incident, particularly if it is likely to affect
emergency services across Canada and supports its the national critical infrastructure.
regional partners and responders with funds, tools, The CEMC is a federal government learning
and training. The department is made up of five institution providing programs and resources to
branches—Emergency Management and National the emergency management community across
Security; Policing, Law Enforcement and Interoper- Canada. The college is an integral part of PSC
ability; Community Safety and Partnerships; Cor- and supports its responsibilities to enhance learn-
porate Management; and Strategic Policy—plus ing in all aspects of emergency management.
the Inspector General of the Canadian Security Emergency management in Canada is largely
Intelligence Service. In addition, it has 11 regional governed by the Emergency Management Act,
offices and two satellite offices across Canada. which came into force in 2007. Under this act, the
minister for public safety and emergency manage-
Two Key Branches ment is responsible for exercising leadership relat-
Although all parts of PSC can be said to influence ing to emergencies in Canada by coordinating
or be involved in crisis management in one way or government institutions, in cooperation with the
another, two of the branches have a more direct provinces and other entities, in emergency man-
impact. The first is the Emergency Management agement activities. The act lays down the respon-
and National Security Branch, which is respon- sibilities of all ministers who are accountable to
sible for both national security and emergency Parliament for the preparation of plans in regard
management policy, emergency analysis, warning to risks identified in their respective areas of
preparedness, response, and recovery. The branch responsibility, and it emphasizes the need to train
includes the Government Operations Centre people to implement the plan and test it by way
(GOC), the Canadian Cyber Incident Response of exercises. In addition, the response to emergen-
Centre (CCIRC), and the Canadian Emergency cies in Canada is based on two documents: An
Management College (CEMC). Emergency Management Framework for Canada
The second branch is that of Policing, Law and the National Emergency Response System,
Enforcement and Interoperability, which, among both of which were published in 2011. A third
other things, is responsible for ensuring that agen- document, Building Resilience Against Terrorism,
cies and government organizations share the right also published in 2011, provides an overarching
information at the right time to keep Canadian strategy to counter domestic and international
citizens safe. In recent years, PSC has assisted in terrorism in order to protect Canada, Canadians,
the implementation of the Canada Public Safety and Canadian interests. The strategy operates
Information Network (CPSIN), which is a net- through four mutually reinforcing elements: pre-
work for Canada’s criminal justice system and vent, detect, deny, and respond.
law enforcement agencies, linking various sources Bringing together experts from across govern-
of data relating to crime and offenders. PSC is ment and academia, Public Safety Canada pro-
now building on this network in order to bring motes research on issues that affect the safety and
780 Publicly Available Specification (PAS) 200

security of Canadians, which allows them to bet- under the watchful eye of a steering group con-
ter understand the risks Canadians face, such as sisting of people who were or had been involved
crime or natural disasters, and to develop knowl- in the management of crises, among them repre-
edge-based solutions. In the context of disasters sentatives from the Bank of England, travel com-
and emergencies, research has resulted in a Cana- pany Thomas Cook, the UK Airlines Emergency
dian Disaster Database, a Natural Hazards Map Planning Group, Mitsubishi, and Blake Emer-
of Canada, and various reports relating to cyber gency Services. Aimed primarily at those within
tracking, emergency response, natural hazards, organizations who have strategic responsibilities
and situational awareness. when it comes to shaping, directing, and develop-
ing crisis management capabilities, it is also useful
Tony Moore to those who are directly responsible for imple-
Institute of Civil Protection menting, maintaining, and testing crisis manage-
and Emergency Management ment procedures within organizations. It is not a
specification but takes the form of guidance and
See Also: Cabinet Office, UK; Department of recommendations, of which there are 53 in total.
Homeland Secretary (DHS); Federal Emergency PAS200 differentiates between an incident and
Management Agency (FEMA). a crisis. An incident is defined as “a situation that
might be, or could lead to, a business disruption,
Further Readings loss, emergency, or crisis.” A crisis, on the other
Kenny, Colin (Chair). “Emergency Preparedness in hand, is “an inherently abnormal, unstable and
Canada: Report of the Standing Senate Committee complex situation that represents a threat to the
on National Security and Defence.” Vol. 1. Second strategic objectives, reputation or existence of
Session. Thirty-ninth Parliament, 2008. http:// an organization.” The document is divided into
www.parl.gc.ca/Content/SEN/Committee/392/defe seven clauses. In addition to an introduction and
/rep/rep13aug08vol1-e.pdf (Accessed March 2012). clause on definitions, they are the following:
Ministers Responsible for Emergency Management.
“An Emergency Management Framework for • Understanding a crisis
Canada.” 2nd ed. Ottawa: Emergency Management • Developing a crisis management capability
Policy Directorate, Public Safety Canada, 2011. • Planning and preparing for a crisis response
Operations Directorate. “National Emergency and recovery
Response System.” Ottawa: Public Safety Canada, • Communicating in a crisis
2011. • Evaluating a crisis management capability
Public Safety Canada. “Building Resilience Against
Terrorism: Canada’s Counter Terrorism Strategy.” Each section contains a number of recommen-
http://www.publicsafety.gc.ca/prg/ns/_fl/2012-cts dations. Understanding a crisis and its potential
-eng.pdf (Accessed March 2012) origins is essential to its management. Therefore,
the first clause sets out what a crisis is, its struc-
ture and complexity and the relationship between
incidents and crises, the characteristics of crises,
and how organizations can become vulnerable
Publicly Available to crises and how they incubate within organi-
zations, before describing how higher levels of
Specification (PAS) 200 resilience can be achieved and identifying some
possible barriers to success. This clause also
In September 2011, the British Standards Institu- describes the difference between a sudden and a
tion (BSI) published a Publicly Available Specifi- smoldering crisis. Among its recommendations
cation (PAS) under the title “Crisis Management: is the need to distinguish between business con-
Guidance and Good Practice,” commonly known tinuity management and crisis management and
as PAS200. Sponsored by the United Kingdom the need for the development and maintenance
Cabinet Office (UKCO), the document was drafted of a crisis management capability to be included
 Publicly Available Specification (PAS) 200 781

in an organization’s governance and strategic to succeed, effective communication is essential;

review process. during a crisis, effective communication becomes
Developing a crisis management capability is critical. The clause stresses the need for engaging
essential to the successful management of a crisis. with all stakeholders, including those within and
This clause outlines what is meant by capability external to the organization, and identifies core
before going on to describe how to set the organi- communication needs.
zation’s policy and direction, the identification of Pointing out that an organization’s capability
roles and responsibilities, and the creation of struc- to manage a crisis should be regularly evaluated,
tures and processes, finally stressing the impor- the final clause covers training, factors to be taken
tance of information management and situational into consideration when designing exercises, and
awareness in arriving at a common understanding the different types of exercises, before describ-
of what is taking place, along with decision mak- ing various factors that identify a “crisis-aware”
ing. Among its recommendations is the need for organization, such as active learning, learning by
all organizations to create a policy, endorsed by example, culture analysis, and context analysis.
top management, that directs and empowers the Finally, the document contains a very useful
appropriate people to lead the development of a bibliography for those who wish to know more
crisis management capability. The clause stresses about the management of crises.
the importance of situational awareness, which is Speaking at the launch of PAS200 on behalf
defined as the “process of perceiving, comprehend- of the sponsor, Robert MacFarlane pointed out
ing, interpreting and evaluating what is happen- that “Crises are, by their very nature, unexpected
ing in a crisis, combined with the ability to iden- and extremely challenging. Therefore the Cabinet
tify and model foreseeable future developments.” Office today strongly encourages every organiza-
It also stresses the need for the use of a common tion to think about implementing some simple,
recognized information picture (CRIP), which pro- practical steps to improve their resilience. PAS200
vides a pan-organizational understanding upon provides an ideal framework to mitigate risks and
which crisis management decisions that affect the manage crises and so avoid potentially very dam-
whole organization can be based. Pointing out that aging consequences that could harm the reputa-
rational decision-making models tend to focus on tion, if not the very existence, of organizations.”
the creation of options and alternatives that are
assessed and compared, in pursuit of the best solu- Tony Moore
tion, PAS200 points out that, during a crisis, man- Institute of Civil Protection
agement is often faced with strategic dilemmas that and Emergency Management
mean decision making is not as clear-cut because
it is forced to rely on assumptions that, in some See Also: Budget Crisis; Business Continuity
cases, may be misunderstood or not shared by the Management; Cabinet Office, UK; Cascading Crisis;
team or, even worse, may be flawed. Crisis, Definition of; Crisis Communications; Crisis
Planning and preparing for the response to and Management, Emerging Trends in; Crisis Simulations;
recovery from a crisis outlines the key elements Debriefing; Debt Crisis; Decision Making Under
of the plan and logistical factors before going on Stress; Fink’s Crisis Life Cycle; Foreign Policy Crises;
to describe the activities of the crisis management Mitroff’s Five Stages of Crisis Management.
team and the transition to recovery. This clause
also stresses the importance of leadership and Further Readings
highlights the key skills required to manage a cri- Bhargav, D. K. The Definitive Handbook of Business
sis effectively, together with some of the key fea- Continuity Management. New Delhi: Surendra
tures of decision making. Publications, 2010.
Communicating in a crisis includes sections on Curtis, T., et al. Managing a Crisis: A Practical Guide.
communications strategy, formal and informal Basingstoke, UK: Palgrave Macmillan, 2010.
communications structures, planning to commu- Howitt, Arnold M. and Herman B. Leonard, eds.
nicate, methods of communication, and barriers Managing Crises: Responses to Large-Scale
to effective communication. If any organization is Emergencies. Washington, DC: CQ Press, 2009.
 Q
Quarantine before landing to ensure that no one on board
was infected.
Quarantine and isolation are well-established The theory behind the use of quarantine to
public health tools for preventing the spread of control the spread of disease is that hosts (ani-
infection and have important roles in the prac- mals or persons that act as pathogen carriers)
tice of crisis management. Quarantine is the sepa- may be infected with a highly contagious and
ration of asymptomatic, well persons who may dangerous disease, yet show no symptoms of
have been exposed to a communicable disease the disease during its incubation period—the
from those persons who have not been exposed time between infection and the manifestation
to the communicable disease. Isolation refers to of symptoms—when the host is still infectious.
the separation of ill or symptomatic persons who Quarantining those individuals who are exposed
have contracted a communicable disease, from to infection and remain asymptomatic prevents
persons who are healthy. Quarantine and isola- further unintentional spread of disease. If an
tion have been used as infection control mecha- individual in quarantine develops symptoms,
nisms from the 13th century, during the plague he/she may then be moved from quarantine to
epidemic, to 21st-century influenza epidemics. isolation and provided with treatment, if avail-
Although quarantine and isolation are interna- able. During public health emergencies when a
tionally recognized public health emergency tools, population is exposed to a highly contagious and
their acceptance and implementation are contro- dangerous infection, without a readily available
versial because of their inevitable restriction on preventive or curative treatment, quarantine and
individual rights and liberties. isolation may be viable options to decrease the
spread of disease, and therefore decrease fatali-
Origin ties resulting from infection.
The term quarantine comes from the Italian
word for 40, quarante, which originates from the Authority to Quarantine in the United States
imposition of a 40-day sequestration of merchant Quarantine and isolation have been practiced in
ships arriving in Italy during the plague outbreaks the United States since the 17th century. Most
in the 13th century. The first formal quarantine major cities along the eastern seaboard passed
was in 1403, in Venice, during the Black Death, quarantine laws by the end of the 17th century to
when ships were required to anchor for 40 days prevent the spread of infectious diseases such as

783
784 Quarantine

Case Study: Quarantine During a Severe Acute Respiratory Syndrome Outbreak in China

Severe acute respiratory syndrome (SARS) emerged who worked in the same office or room or workshop
in the Guangdong Province of China in November as a SARS patient, (6) classmates or teachers of
2002. By July 2003, there were over 8,000 a SARS patient, and (7) persons using the same
probable cases and 774 deaths in 29 countries. The public conveyance as a SARS patient (rules varied
nature of the disease—its novelty, lack of adequate by conveyance).
treatment, severity, and highly communicative If these close contacts could not be reached
transmission—meant that nonmedical public health by the DCDC or community health centers, local
measures like quarantine and isolation took on police were notified to help find the individuals.
important roles in some governmental responses Close contacts were under quarantine for 14 days
to the emergency. The capital of the People’s from their last contact with the SARS patient in
Republic of China, Beijing, has an approximate accordance with national guidelines. The 14-day
population of 13.6 million. The Beijing Municipal period was reduced to 10 days and then to three
Health Bureau, which reports to the China Ministry days, as more information about SARS’ incubation
of Health (MOH), oversees Beijing’s municipal period was uncovered. Approximately 60 percent
health system. All disease reporting, epidemic of close contacts were quarantined at home (the
investigation, and contact tracing are overseen rest being quarantined at government designated
by the Beijing Municipal Health Bureau’s Beijing sites including hotels, universities, and hospitals)
Center for Disease Prevention and Control (BCDC), and were unable to leave their site of quarantine
which comprises 18 District Centers for Disease except under rare circumstances, during which
Prevention and Control (DCDC). they had to wear masks. All quarantined persons
Between March and July of 2003, approximately were followed up daily by a home visit or phone
2,500 cases were reported in Beijing. Measures call from the precinct quarantine officer and were
to control the epidemic were both community provided food and, if needed, medicine, by the
based and governmental and included enhanced municipality. If they acquired fever while under
surveillance of the spread of infection by public quarantine, they were transferred to a hospital
health officials, surveillance of travelers with a fever for isolation.
who arrived from other SARS-affected areas, use of These measures were implemented without
personal protective equipment (PPE) by health care any significant objections from the public or legal
workers, isolation of SARS patients, and quarantine challenges. The CDC assessed the efficiency of
of contacts of known SARS patients. quarantine measures implemented in Beijing and
Approximately 30,000 Beijing residents were found that quarantine effectively eliminated the
quarantined in their homes or at designated risk for transmission of SARS from quarantined
quarantine sites by public health officials. During persons to others. However, the CDC also found
the SARS outbreak in Beijing, the DCDC and that some were quarantined without actually
community health centers were directed to reach having met the criteria for it. Additionally, the
all reported “contacts” of hospitalized patients CDC found that although quarantine might have
with SARS and to issue quarantine orders by phone been effective in preventing healthy, unexposed
within one hour of notification of a SARS case. In individuals from contracting SARS, the overbroad
Beijing, a “contact” was defined as an individual nature of the quarantine, such as the quarantine
who had been exposed to an identified SARS patient of low-risk contacts, might have had less of an
for 30 minutes in the following circumstances: impact in controlling the epidemic. Although the
(1) health care workers who did not use PPE while measures Beijing took to control the pandemic
evaluating or treating a case, (2) other persons (e.g., were successful, the implementation of multiple
family members) who provided care, (3) persons who overlapping public health control measures
shared the same living quarters as a SARS patient, limited the CDC’s analysis of the effectiveness of
(4) persons who visited a SARS patient, (5) persons quarantine specifically.
 Quarantine 785

plague, smallpox, and yellow fever. When a con- and Human Services (HHS) to declare a public
tagious and dangerous disease presents only in a health emergency and take reasonable action to
specific locale, the authority for quarantine usu- prevent the introduction and/or spread of conta-
ally rests with local public health officials. How- gious, dangerous diseases. Once a public health
ever, when the disease spreads beyond a single emergency has been declared, the PHS allows
community or has the potential to spread to other federal officials to quarantine persons reasonably
jurisdictions in the state, the authority to quaran- believed to be infected with certain diseases listed
tine is surrendered to the state. Under the Tenth by the PHS.
Amendment to the Constitution of the United In 2003, President George W. Bush updated
States, states and localities have the authority to this list of diseases subject to quarantine through
enact laws to protect the health, safety, and wel- Executive Order 13295, which now includes chol-
fare of their citizens. The “police power” enables era, diphtheria, infectious tuberculosis, plague,
states in certain public health emergencies to quar- smallpox, yellow fever, and viral hemorrhagic
antine and isolate individuals when necessary to fevers (Lassa, Marburg, Ebola, Crimean-Congo,
prevent the transmission and spread of communi- South American, and others not yet isolated
cable and dangerous diseases, even though such or named), severe acute respiratory syndrome
action may infringe on citizens’ civil liberties. (SARS), and influenza caused by novel or reemer-
In the case of Jacobson v. Massachusetts (197 gent influenza viruses that are causing, or have
U.S. 11 [1905]), the U.S. Supreme Court upheld the potential to cause, a pandemic. Once a public
the authority of states to encroach on individual health emergency has been declared because of
liberties when the safety of the public may require. an epidemic, the Centers for Disease Control and
The police power is not limitless; states cannot Prevention (CDC) is the federal agency autho-
use the police power to defend actions that are rized to manage federal quarantine actions. Since
unconstitutional and deprive one of procedural 2004, the CDC’s National Center for Infectious
and substantive due process. The Constitution’s Diseases, Division of Global Migration and Quar-
Fourteenth Amendment Due Process Clause pro- antine is responsible for managing federal quar-
vides that no state may deprive any person of life, antine matters in the United States. The Division
liberty, or property without due process of law. of Global Migration and Quarantine oversees
Procedural due process entitles quarantined indi- eight national quarantine stations in New York,
viduals to adequate notice of the quarantine, a Atlanta, Miami, Chicago, Seattle, San Francisco,
hearing to contest the quarantine, and a neutral Los Angeles, and Honolulu. The CDC’s author-
judge; while substantive due process requires that ity to quarantine during a declared public health
any deprivation of liberty, like quarantine, be in emergency is not limitless. Just as the Due Pro-
furtherance of a compelling state interest and nar- cess Clause of the Fourteenth Amendment binds
rowly tailored to address the state interest. states, the federal government is bound by the
Although states and municipalities are primar- Due Process Clause of the Fifth Amendment to
ily responsible for implementing public health ensure that no individual is quarantined without
protective measures, such as quarantine and iso- due process of law.
lation, the federal government also has authority There was little use of quarantine and isola-
to implement quarantine under certain circum- tion measures in the United States after the 18th
stances. In 1893, the U.S. Congress passed the century. However, in 2001, in the wake of the
National Quarantine Act, codifying standards September 11 terrorist attacks, the potential for
for the Marine Hospital Service to medically an attack using biological warfare seemed more
inspect immigrants, ships, and cargoes in order plausible, and the CDC requested health officials
to prevent the introduction of infectious diseases from the Centers for Law and the Public’s Health
into the United States. Today, the federal govern- at Georgetown and Johns Hopkins universities
ment derives its national quarantine authority to draft model state health powers legislation.
from the Public Health Service Act (PHS), first The draft of the proposed Model State Emer-
codified in 1944. The PHS authorizes the presi- gency Health Powers Act, released in December
dent or the secretary of the Department of Health 2001, extended states’ quarantine powers to
786 Quarantine

bioterrorist attacks involving lethal contagious populations, that quarantine and isolation plans
microbes such as smallpox. Currently, 38 states should be voluntary to the greatest extent pos-
have adopted legislation modeled after the Model sible (and mandatory as a last resort) be imple-
State Emergency Health Powers Act. In 2003, a mented in a manner that prevents others from
group of state representatives, national organi- being infected, that quarantine conditions are
zations, and government agencies introduced the safe and humane, that necessities are provided
Turning Point Model State Public Health Act. for, that there are measures in place to address the
Like the Model State Emergency Health Pow- economic consequences of quarantine and isola-
ers Act, the Turning Point Act contains provi- tion on individuals and families, and that legal
sions outlining states’ responsibilities in enforc- recourse is available to individuals who wish to
ing quarantine and isolation orders. By 2007, 33 challenge their quarantine or isolation orders.
states had adopted features or provisions of this
act in their own laws. Both model laws provide Societal Acceptance of Quarantine
due process protections for quarantined individ- Historically, quarantine has been used as an
uals, as all states are required to protect civil lib- effective nonmedical public health tool to con-
erties during public health emergencies. Regard- trol the spread of contagious and dangerous dis-
less of whether a municipality, state, or federal eases. The decision to quarantine involves bal-
government is imposing quarantine or isolation, ancing the public’s health and individuals’ right
restrictions of civil liberties should be carried out to liberty, and its effectiveness depends on when
in accordance with local, state, and federal law and how it is used, its feasibility, and societal
and should be as minimally restrictive as reason- acceptance.
ably possible. Societal acceptance of quarantine varies by
location, and some quarantine measures that are
International Regulations considered acceptable in one country may not
As one of the member states of the World Health be accepted in another. The Harvard School of
Organization (WHO), the United States is bound Public Health and the CDC designed a telephone
by the WHO’s International Health Regulations survey to gauge attitudes toward the use of quar-
(IHR), adopted by the World Health Assembly in antine in Hong Kong and the province of Taiwan
May 2005. These regulations are legally binding in China, Singapore, and in the United States.
on all 193 WHO member states and outline how Results from the survey indicated that a majority
member states should respond to public health of all respondents supported quarantine measures
risks posed by the international spread of disease, for persons suspected of having been exposed to
including when it may be appropriate to quaran- a communicable disease. Support was lower in all
tine individuals exposed to infection. During a locations if refusal to comply with a quarantine
public health emergency, the IHR also authorize order could lead to arrest. In general, respon-
the WHO to provide technical support and inter- dents in the United States were less supportive
national assistance and monitor the spread of of restrictive monitoring measures than respon-
infectious diseases. The regulations highlight the dents in the other locations. A large majority of
importance of measures such as quarantine and respondents in the United States preferred home
isolation as public health tools, while warning of quarantine, whereas a smaller number of respon-
the potential infringement on individual rights dents in the other locations preferred quarantine
and liberties. They require any restriction on lib- at home to institutional quarantine. The main
erty, such as quarantine orders, to be in accor- worries expressed by all respondents about being
dance with member states’ national laws, neces- quarantined in a health care facility were being
sary to contain the spread or mitigate the impact exposed to someone with the contagious disease,
of a disease, to be the least restrictive and least overcrowding, and difficulty communicating with
intrusive means available, and to not be arbitrary, family members.
unreasonable, or discriminatory. The effectiveness of quarantine would be greatly
The regulations provide that governments improved if quarantine measures were accepted
should also ensure the protection of vulnerable where they were implemented. Part of acceptance
 Quarantine 787

depends on governments’ communication about Centers for Law and the Public’s Health. “The
the risks of infection and spread of infection and Turning Point Model State Public Health Act
governments’ ability to provide adequate support (MSPHA).” http://www.publichealthlaw.net/Model
to their citizens who are under quarantine. Laws/MSPHA.php (Accessed March 2012).
Gostin, Lawrence O. and Benjamin E. Berkman.
Nishamarie Bose Sherry “Pandemic Influenza, Ethics, Law, and the Public’s
University of Maryland Center Health.” Administrative Law Review, v.59/1 (2007).
for Health and Homeland Security Pang, Xinghuo, et al. “Evaluation of Control
Measures Implemented in the Severe Acute
See Also: Biological Weapons; Cholera; Ebola Virus; Respiratory Syndrome Outbreak in Beijing, 2003.”
Epidemics; Infectious Disease; Influenza; Pandemics; JAMA, v.290/24 (2003).
Public Health Surveillance; Severe Acute Respiratory Rothstein, Mark A., et al. “Quarantine and Isolation:
Syndrome (SARS); Smallpox; Tuberculosis; World Lessons Learned From SARS.” Louisville, KY:
Health Organization (WHO), UN. Institute for Bioethics, Health Policy and Law,
University of Louisville School of Medicine, 2003.
Further Readings Tyson, Peter. “A Short History of Quarantine.”
Centers for Disease Control and Prevention. NOVA (October 12, 2004). http://www.pbs.org
“Efficiency of Quarantine During an Epidemic /wgbh/nova/body/short-history-of-quarantine.html
of Severe Acute Respiratory Syndrome—Beijing, (Accessed March 2012).
China, 2003.” MMWR Weekly, v.52/43 (2003). World Health Organization. “Communicable
http://www.cdc.gov/mmwr/preview/mmwrhtml Disease Surveillance and Response: Severe Acute
/mm5243a2.htm (Accessed March 2012). Respiratory Syndrome (SARS): Status of the
Centers for Disease Control and Prevention National Outbreak and Lessons for the Immediate Future.”
Center for Emerging and Zoonotic Infectious (May 2003). http:www.who.int/csr/media/sars
Diseases, Division of Global Migration and _wha.pdf (Accessed March 2012)
Quarantine. “Legal Authorities for Isolation and World Health Organization. “Ethical Considerations
Quarantine.” http://www.cdc.gov/quarantine/pdfs in Developing a Public Health Response to
/legal-authorities-isiolation-quarantine.pdf Pandemic Influenza.” http://www.who.int/csr/re
(Accessed March 2012). sources/publications/WHO_CDS_EPR_GIP_2007
Centers for Law and the Public’s Health. “The Model _2c.pdf (Accessed March, 2012).
State Emergency Health Powers Act.” http://www World Health Organization. International Health
.publichealthlaw.net/ModelLa.ws/MSEHPA.php Regulations 1. 2nd ed. Geneva: World Health
(Accessed March 2012). Organization, 2005.
 R
Reciprocal Agreement vaulting, reciprocal agreements have fallen out of
favor for some groups.
Also known as mutual aid agreements, or MAAs, In terms of crisis management, reciprocal
reciprocal agreements are most broadly defined agreements may be useful in that they help gov-
as arrangements between two or more various ernments, businesses, and organizations prepare
groups, including governments, businesses, or for emergencies, crises, and disasters in advance.
organizations. These agreements allow the groups Efforts like these are critical for thorough and
to share space and resources in the event of an successful preparation. As with many advance
emergency, crisis, or disaster. Such agreements preparations, having such agreements in place
are usually reached before the crisis occurs and before the crisis can help groups to respond bet-
are often standing contracts to go into effect as ter, more efficiently, and more quickly to a crisis.
needed. These agreements can provide for the Such prior arrangements in the form of reciprocal
use of locations needed to store materials, shelter agreements may also help businesses and organi-
employees, and conduct business, and can pro- zations recover more effectively, as less time and
vide other resources as may be needed in times resources will have been lost to the crisis.
of crisis.
More specifically, the term reciprocal agree- Technology and Computer Systems
ments generally refers to formalized contractual Reciprocal agreements are formed in advance of
arrangements made specifically with a focus on crises and create contractual obligations between
technology and computer systems. In these agree- the groups involved. They are usually legally bind-
ments, the groups involved agree to share tech- ing contracts agreed upon and put into place before
nological and computer resources, including both a crisis. If successful, this prearranged agreement
hardware and software capabilities. They may allows for more efficient crisis management, as
also guarantee processing time to other groups it means necessary resources for technology and
party to the agreement during crises and recovery data backup and recovery exist and are ready for
periods. Reciprocal agreements have been used use. By forming reciprocal agreements, different
often by businesses like banks. However, as more governments, businesses, and organizations can
and more data are stored and processed online, potentially reduce their costs and increase their
with increasing numbers of backup servers in mul- access to resources in times of crisis. Reciprocal
tiple locations and companies offering electronic agreements offer many potential benefits to the

789
790 Reciprocal Agreement

groups involved. They allow organizations to agreement is a relatively low-cost option if the dif-
save technology and digital files in times of crisis ferent governments, businesses, and organizations
by accessing more resources as needed. involved already have compatible equipment and
To form a successful reciprocal agreement, systems, if they are not, the costs increase, poten-
the groups in question must be compatible. This tially significantly.
compatibility applies to a variety of key compo- If groups have compatible technology and
nents, such as equipment, systems, communica- systems at the time of the reciprocal agreement
tions, training, and management. Groups must but do not keep track of other groups’ updates
be able to use different groups’ equipment and or changes, they may find their systems no longer
systems with their own equipment, systems, compatible over time. This failure of monitoring
data, and files. Compatible communications, and communication is problematic. Moreover, if
training, and management are important in this not discovered until a crisis has begun, this failure
agreement to ensure that equipment and systems may render the reciprocal agreement useless and
are kept up to date and, thus, remain compat- leave the groups involved and affected by the cri-
ible with the systems of the other groups. If the sis with no option for system recovery.
equipment and systems are compatible, it is rela- Reciprocal agreements formed with other
tively easy not only to put reciprocal agreements physically nearby governments, businesses, and
into place and to use them but also to test them organizations may also be problematic in the case
before a crisis occurs. of large-scale crises. If all of the groups involved
in a particular reciprocal agreement are affected
Potential Problems by a crisis, there may be little to no opportunity
Although reciprocal agreements can provide ben- for them to fulfill the agreement and offer sup-
efits for all the different governments, businesses, port to one another. Without an avenue for back-
and organizations involved, problems can also up or recovery outside the area affected by the
emerge. The groups involved in such an agreement crisis, reciprocal agreements are not enough to
need to be relatively the same size and to utilize ensure recovery in the event of an emergency, cri-
compatible equipment and other systems, includ- sis, or disaster.
ing key components like processing resources and
facilities or storage ability. One group seeking Jennifer Trivedi
out another group with compatible resources can University of Iowa
itself be problematic. In many industries, poten-
tial reciprocal businesses or organizations that See Also: Critical Applications; Data Recovery;
have compatible space, technology, or systems Maximum Acceptable Outage; Reciprocal Site;
may in fact be competitors. When this occurs, Recovery Time Objective.
some groups may be reluctant to form recipro-
cal agreements with others, citing potential com- Further Readings
plications from letting a competitor have access Fowler, Kim. Mission Critical and Safety Critical
to information about their resources to monitor Systems Handbook: Design and Development for
compatibility in advance of a crisis or to use said Embedded Applications. Boston: Elsevier/Newnes,
resources in the event of a crisis. 2010.
If groups do not have compatible equipment Hiles, Andrew. The Definitive Handbook of Business
and computer systems, the groups involved do Continuity Management. 3rd ed. Hoboken, NJ:
not gain the benefits of additional resources. In John Wiley & Sons, 2010.
situations where a group involved lacks compat- Stolting, Karen. “Contingency Planning and
ible equipment, those involved must come to an Disaster Recovery in Florida State Government.”
agreement about which technology and systems Tallahassee: Florida Legislature Joint Committee
to use, as their equipment and systems must be on Information Technology Resources, 1993.
made to match. This, then, requires at least one, Wold, Geoffrey H. “Comparing and Selecting
if not more, groups to spend money and time to Recovery Strategies.” Disaster Recovery Journal
update these components. Although a reciprocal (Spring 2003).
 Reciprocal Site 791

Reciprocal Site response policies. It would also make profes-

sional resources available in large-scale hazards.
Reciprocal site refers to a strategic crisis response Several scholars have suggested that the recipro-
based on a reciprocal agreement or memoran- cal site should be set as formal agenda to strength
dum of agreement between two organizations, crisis preparedness, especially for personal or
requesting to whom to lend mutual assistance and small-sized organizations. It is common for small
to back up each other as an emergency happens. towns in the United States with limited or no
This reciprocal assistance would work when local resources to apply the reciprocal site approach.
resources cannot meet the response needs of a Many states, such as California, have developed
crisis, such as a large-scale hazard or terrorism statewide mutual aid systems. Depending on the
event. In order to maintain the continuity of orga- California Wildland Fire Coordinating Group
nizational processes, the reciprocal organizations (CWCG), automatic dispatch from local and sur-
could include both internal and external entities. rounding towns would be activated once struc-
The reciprocal site is planned during the phase of ture fires or automobile crashes happen.
emergency preparedness, depending on a formal
standing agreement for cooperative emergency Reciprocal-Site Mechanism
management; it provides ad hoc resources shar- In order to obtain emergency assistance for disas-
ing, allowing mutual supports over multiple juris- ters in a timely manner, the Department of Home-
dictions. In the crisis realm, a reciprocal site is land Security (DHS) has built up the National Inci-
also defined as “mutual aid agreement,” aiming dent Management System (NIMS) as a nationwide
at better future crisis response. structured framework for reciprocal sites. NIMS
A well-coordinated operation of a recipro- utilizes mutual aid agreements as an integrated
cal site, which is a performance evaluation of part for both governmental and nongovernmen-
past investments in preparedness programs, tal agencies to respond to natural disasters and/
would improve the cost-effectiveness of different or terrorist attacks at the local, state, and federal
levels of government. The mutual aid agreements
include the Emergency Management Assistance
Compact (EMAC), Model Intrastate Mutual Aid
Legislation, Model State-County Mutual Aid
Case Studies of a Reciprocal Site
Deployment Contract, Intrastate Mutual Aid Sys-
Several disasters in history have demonstrated tem (IMAS), Water and Wastewater Utility Model
the significance of reciprocal aid (e.g., 9/11 Mutual Aid Agreement, and International Asso-
terrorist attacks, Hurricane Katrina). Without ciation of Fire Chiefs (IAFC) Emergency Manage-
strict regulations or accessible alarming systems, ment Committee. These reciprocal sites primarily
organizations would fail in timely response aim to facilitate rapid, short-term deployment of
even when a reciprocal site was available. For emergency support prior to, during, and after an
instance, the Oakland-Berkeley Hills fire storm incident. The NIMS coordinates with the National
of 1991, a large urban conflagration in California Response Framework (NRF). The NIMS provides
with 25 deaths, 150 injured, and $1.5 billion the template for the management of incidents; on
economic loss, was finally resolved under mutual the other hand, the NRF provides the structure
aid from southern California and Bay Area fire and mechanisms for national-level policy for inci-
departments as well as the Incident Command dent management.
System (ICS). However, at the beginning,
Oakland was not able to use many reciprocal site Xialing Lin
resources because of budget restrictions and the Western Michigan University
consequential antiquated crisis communication Patric R. Spence
equipment: it could neither access the statewide University of Kentucky
radio frequencies for fire alarm nor refill the
emptied reservoirs during firefighting. See Also: Agency Notification and Mobilization;
Alternate Site, Corporate; Bureau for Crisis
792 Recovery

Prevention and Recovery, UN (UNDP–BCPR); of crisis emergence. Such scrutiny is important

Business Continuity Management; Business in crisis response and the limiting of damages.
Continuity Planning; Business Continuity Planning Resolving a crisis is very important in recovery
Life Cycle; Business Impact Analysis; Business phase, and some teams might be required for this
Resumption Planning; Critical Business Functions; purpose. In the recovery period, the acute stage of
Critical Infrastructure; Incident Action Plans; Incident crisis has passed, and the affected community or
Management; Incident Response; Interoperability; the organization is able to focus on a return-to-
Mobile Recovery Site; Resource Management; Vital normal stage of operations.
Records. In the case of business continuity, recovery
encompasses the required steps to restore the
Further Readings affected organization to normal functioning,
Brattberg, E. “Coordinating for Contingencies: such as crisis assessment, event tracking, damage
Taking Stock of Post-9/11 Homeland Security assessment and assessing resources and options,
Reforms.” Journal of Contingencies and Crisis human management considerations, development
Management (2012). of contingencies, coordination with external bod-
Coombs, W. T. Ongoing Crisis Communication. ies, controlling information and expectations,
Thousand Oaks, CA: Sage, 2007. and considering legal issues.
Edwards, F. L. “Effective Disaster Response in Cross Crises such as the Haiti earthquake in 2010
Border Events.” Journal of Contingencies and or Indian Ocean tsunami in 2004 show that the
Crisis Management, v.17/4 (2009). recovery process could be improved by national
Jackson, B. A., K. S. Faith, and H. H. Willis. “Are capacity in confronting potential crises through
We Prepared? Using Reliability Analysis to sound policies. Therefore, recovery affects miti-
Evaluate Emergency Response Systems.” Journal gation and preparedness as well; that is, recovery
of Contingencies and Crisis Management, v.19/3 includes a wide range of activities and comprises
(2011). damage reduction and risk mitigation. Because
of the scope of recovery, recovery plans could
be prepared at the national and local levels with
mutual feedbacks. Recovery process includes
rehabilitation and reconstruction and post-event
Recovery redevelopment. The recovery could be ascended
or descended through different parameters such
Crisis recovery deals with damages and impacts as available sources, levels of damage, community
of an occurred event that has transformed the preparedness, and recovery policies at national
event into a crisis. In other words, crisis recov- and local levels.
ery is overcoming the effects and consequences
of crisis, whether natural hazard or human-made Planning for Crisis Recovery
hazard (that has turned the event into crisis) in Planning for recovery is done at national and
more reliable and sustainable ways. This indi- local levels. The national level, which is the most
cates that recovery encompasses rehabilitation, centralized one, includes more general mat-
reconstruction, and restoration. Because all post- ters like information gathering and assessment,
event activities aim to improve the garbled situa- mobilizing resources, administration, budgeting,
tion into a more organized situation in order to approving regulations, coordination, and evalu-
build capacities and reduce weaknesses, recov- ation. National recovery plans usually deal with
ery is the main objective in all post-event phases. upper-level issues, and national authorities need
Consequently, recovery starts after the emer- to be in close contact with regional and local lev-
gency period that covers the initial days follow- els. Recovery plans at local level include infor-
ing an event and continues until the completion mation gathering at the micro level, identifying
of reconstruction. beneficiary groups and stakeholders, plans for
In crisis recovery, the origins of the event settlements, redevelopment of affected areas, and
could be scrutinized to uncover the main sources reconstruction programs. Local recovery plans
 Recovery 793

On October 29, 2011, hundreds of volunteers gather in Joplin, Missouri, to participate in a Habitat for Humanity project to build 10
homes for 10 families before Thanksgiving. On May 22, a record EF-5 tornado decimated the city and caused 158 deaths. Joplin City
Manager Mark Rohr, who was an immediate first responder, published lessons learned during recovery in his book Joplin: The Miracle
of the Human Spirit. “You’ve got to make sure that people in it are mentally in the recovery process,” he says.

may require extensive structural repairs of dam- locations. It is of high importance to prepare
aged structures, demolition of hazardous spaces, recovery plans based on damage assessment and
or relocations in specific areas. Local authorities evaluation. Such evaluations should be incorpo-
decide about redevelopment projects in post-cri- rated in reconstruction and redevelopment plans
sis situations, since their decisions determine the to avoid creation of the same vulnerability pat-
future life of affected areas and residents as well. tern. This indicates that recovery plans should
Recovery plans comprise different matters like the upgrade capacities and infrastructures at the local
recovery task force, operational policies, coordi- level to increase resiliency at the national level.
nation among responsible organizations, damage Thereupon, top-down and bottom-up approaches
assessment, restoring utility services, establish- in the recovery period need to go along with each
ing reconstruction priorities, redevelopment of other to ensure sustainable results.
stricken areas, and editing new lessons and experi- The need for rapid actions and decision making
ences from damage assessments. Although recov- in post-event situations makes recovery connected
ery plans are prepared by governments, local- to the pre-event plans. It is expected that recovery
level or community participation is very critical plans be prepared in the pre-event phase. Con-
and necessary. Therefore, a recovery plan should sidering the wide range of recovery activities, the
be based on a community level in which the same recovery process could be divided into short-term
vulnerabilities would not be created in the same and long-term recovery. The short-term recovery
794 Recovery

Case Study: Haiti Earthquake Recovery

The Haiti earthquake in 2010 was one of the hurricane season of 2011. Repairs to damaged
most devastating events that turned a natural houses were slow to start but accelerated from the
hazard into a crisis. The earthquake occurred end of 2010 to almost 14,000 houses repaired by
on January 12, 2010, and resulted in over agencies by the end of 2011. This figure does not
222,000 deaths and over 300,000 people include the houses repaired by people themselves
injured. Over 180,000 homes could no longer without support. Initial strategies also made
be occupied, the majority in densely populated provisions for host-family support, but in general
informal settlements, generating a large-scale projects were not able to scale up to quickly meet
challenge in terms of debris and increased these needs on any scale. Two years later, over
pressure on space. Spontaneous and planned 6,000 households had received rental subsidies.
camps were established throughout the affected
area, accommodating at peak 1.5 million people. Assessments and Strategy
The international response was large scale and Damage assessments were implemented working
well funded. It used a wide range of actors, with closely with the Ministry of Public Works (known
varying degrees of experience of humanitarian by its French acronym MTPTC). The survey was
response, urban crises, and coordination. The conducted by teams of engineers. Each team had
shelter sector recovery strategies evolved from between one and 15 engineers. During the project,
meeting emergency needs to addressing a range of there were up to 18 teams at any one time, a
shelter solutions including T-shelter and housing total of 270 Haitian engineers. The assessment
repairs. The Shelter, Camp Coordination Camp tagged buildings according to the damage using
Management, and Early Recovery Clusters were the following “traffic light” system: green meaning
mobilized to address these needs. safe for use; yellow meaning damaged, but stable
(needing minor repairs to be made usable); and
Nongovernmental Organizations red meaning unstable, either major repairs or
Prior to the earthquake, Haiti was the least demolition and rebuilding required.
developed country in the region, ranking 145th A strategy was developed during 2010
of 169 countries in the United Nations Human to promote support in the areas of origin to
Development Index. More than 70 percent of the accelerate return from camps and reconstruction
population lived on less than $2 per day. In the in rehabilitation. This was not adopted until the
cities, people lived in crowded neighborhoods beginning of 2011 and formed the basis of the
with poor infrastructure access to basic services. majority of neighborhood-based recovery programs.
After the earthquake, thousands of nongovernment At the end of 2011, there were still over 500,000
organizations (NGOs) with varying levels of people in camps. This included people directly
experience appeared in Haiti. At times this affected by the earthquake but also reflected a
undermined an already weak government sector preexisting housing deficit and urban poverty.
that had lost infrastructure and personnel. Official permanent reconstruction assistance shows
Recovery was further challenged by political limited progress, with approximately 5,200 houses
uncertainty, annual risks from rain and hurricanes, built within two years, and limited support for
and an outbreak of cholera at the end of 2010. host families. However, the rate of self-recovery
Many donors and agencies developed projects and formation of spontaneous new settlements by
to provide transitional shelters (also referred to as Haitian families themselves is significantly higher.
T-shelters) to agreed standards. Given the need Support programs including information and
for large-scale material imports, pressure for land, training have been limited, and much of the rubble
and other challenges, it took two years to build has yet to be cleared.
over 100,000 planned shelters, missing the initial The delivery of transitional shelter was
planning target of 18 months—the start of the significantly delayed. However, by mid-2011, each
 Recovery 795

family plot had an 18-square-meter transitional school was adopted as a government institution,
shelter on it. Each shelter included a raised with the Ministry of Education providing salaries
cement-finished plinth and a small veranda area for teachers.
covered by an extended-truss roof. Education Almost two years after the earthquake, people
and health facilities were formalized with in camps in Port-au-Prince continued to receive
semipermanent or permanent structures of wood limited free services in water, education, health,
and brick construction. The original temporary and other assistance. However, services were
latrines were also replaced with blocks built of falling back as funds fell and organizations began
bricks. Eighteen months after the occupation of to close projects. It was recognized that camp-
the site, kitchen gardens and a market selling based services could contribute to the sustained
foodstuffs, household items, and handicrafts had presence in camps; however, an acute shortage of
been established. Small businesses, including return solutions for the majority of the displaced
restaurants, carpentry workshops, and an art population of former tenants remained the primary
gallery, were also established, although the primary factor hindering camp closure. This may have
source of income comes from work off-site. The contributed to the sustained presence of camps.

phase involves repair and restoration of damaged or as preliminary assessment, in which a gen-
infrastructure, housing, and facilities in affected eral view of the overall impact of the crisis is
areas. Such matters are mainly set in the reha- shown. Another form is detailed damage assess-
bilitation period, in which daily life and activi- ment, in which the interactions of the impacts
ties resume and consequently, repair and restora- are presented. The results of preliminary assess-
tion are the main focus. The actions taken with a ment could be applied in rehabilitation programs,
view toward longer-term development constitute while the detailed assessment results are usually
the activities of the longer-term recovery phase. applicable for long-term recovery.
Reconstruction of houses, roads, structures, and Restoration and repair are other effective ele-
spaces are examples of longer-term development. ments in short-term recovery. Restoring and
It should be pointed out that reconstruction does repairing infrastructures is very important because
not indicate rebuilding the same structures in the of the necessity in today’s life of utility services
same locations. Reconstruction comprises higher such as power, water, and telephone services. In
standards with more safety and security that lead critical situations, accessing utility services like
to sustainability, and this matter should be the water pumps, electric power, and telecommunica-
main objective of a recovery plan. tions is a matter of public safety. It is essential that
a recovery plan address the need for restoration
Crisis Recovery: Short Term and Long Term of all utilities, and the priorities for accomplishing
Crisis recovery comprises different elements in this mission should be outlined.
both short-term and long-term recovery phases. Usually, daily life and activities are resumed in
In the short-term, or rehabilitation, phase the the recovery period, while in the emergency phase
main recovery elements include damage assess- saving lives and provision of basic needs such as
ment, restoration/repair, and resuming activities. shelter and food are the main concern. Resum-
Damage assessment is an ongoing task that takes ing daily life and activities is a step toward longer
different forms at different stages during recov- recovery, as the affected community has passed
ery. The function of damage assessment should be preliminary shocks and impacts of crisis.
included and addressed as an important element Resumption of daily life is related to damage
in the recovery period as a matter of clarifying assessment and restoration of utilities. Based on
lines of responsibilities in post-crisis. Damage the results of damage assessment, there might be
assessment could be done as rapid assessment, changes in locations of residency and activities. It
796 Recovery

is not expected that higher standards and safety levels of damage, community preparedness, and
issues be integrated in short-term recovery since current policies on risk reduction at national and
rehabilitation is done in this period. The higher local levels. The state level of these parameters
levels of standards are considerations in longer- could facilitate or complicate the recovery process.
term recovery that is related to longer develop- These parameters are related to the level of devel-
ment as well. opment and awareness in affected communities.
In long-term recovery, improving levels of stan- Potential capacities like existence of pre-event
dards, considering safety issues, redevelopment, plans, regulations on confronting crisis, coun-
and longer development are main elements. The termeasures against critical situations, and com-
post-crisis situation can pose a bewildering vari- pensation policies should be in accordance with
ety of hazards to public safety and security, many regional characteristics of communities. This
of them lurking in insufficiency of standards. matter emphasizes that capacities are meaning-
There are different standards in different sections ful in decentralized situations. Potential capaci-
such as the construction section (residential and ties could provide a basis to confront crisis and
other buildings), implementation section, or plan- deal with its consequences. Level of damage is
ning section. The recovery plan needs to identify determined in the recovery process, since higher
the existing insufficiencies and to develop current levels of damage usually undermine the required
standards to higher levels. Such tasks are based sources for recovery. This, in turn, lengthens the
on damage assessment results and could be inte- short-term recovery and increases the long-term
grated into future mitigation plans. This ensures recovery as well. In most cases, level of dam-
that the same damages and losses will not occur age is a function of structural, economic, social,
again. Safety issues need to be considered in long- and administrative systems. This indicates that
term recovery and in reconstruction plans. Safety higher levels of damage are the result of neglect-
issues are varied and comprise safer construc- ing potential crisis in disposed communities.
tion, revision of current evacuation or emergency Community preparedness against critical situ-
access, siting of infrastructures, and even replan- ations is another important parameter in success
ning of damaged areas. Such matters could lead of a recovery plan. A community-based recov-
to modification of current standards and mea- ery plan is an effective instrument in improving
sures to comprise more security. local-level capacity to respond to and recover
Redevelopment projects and longer develop- from crisis impacts. Local governments can play
ment tasks could be integrated in post-event proj- important roles in achieving sustainable recovery
ects and in the reconstruction period based on because of their access and proximity to commu-
the existence of pre-event plans and an attitude nity residents.
toward integrating development issues in recov- A community-based recovery plan is a proper
ery. In communities where redevelopment proj- tool to link the community-based organizations
ects are part of the current planning system, areas with the government at the local level to estab-
for redevelopment are identified in the pre-event lish the relationship that will develop in critical
period, and this accelerates rebuilding in dam- times. Such a plan is essential in identifying the
aged areas in the recovery period. Such projects required sources, considering the current situa-
are helpful in recovery activities such as retrofit- tion and the steps that need to be taken to reduce
ting of unsafe structures and upgrading critical the intensity of deterioration. Also, these plans
sites. Through redevelopment projects’ budgets, could comprise different activities for different
damaged structures could receive subsidies to be groups of people that increase public participa-
repaired, hazardous conditions could be dimin- tion and bring the residents and local authorities
ished, and residents could receive help in reloca- closer to each other.
tion or provision of temporary shelter. Risk reduction policies at the national and local
levels can reinforce the recovery process. If mea-
Effective Parameters in Crisis Recovery sures such as sound construction, density control,
Recovery could be facilitated or complicated open space requirements, codes implementation,
through parameters such as potential capacities, and supervision are included in risk reduction
 Recovery Time Objective 797

policies in national-level and local-level plans,

then recovery could start and move more eas-
Recovery Time Objective
ily in post-crisis. National policies comprise the To paraphrase the Business Continuity Institute
main lines for risk reduction that define the local (BCI) and the Disaster Recovery Institute, a recov-
roles and contributions as well. It is expected that ery time objective (RTO) is defined as the duration
national policies be in accordance with potential of time within which critical business systems/
capacities, and local-level participation is included processes must be restored and recovered after
as well. Based on national policies on risk reduc- a major interruption. An RTO is initially estab-
tion, local governments can transfer human and lished during the business impact analysis (BIA)
material sources to communities in order to facili- phase of business continuity management (BCM)
tate recovery at the local level and ensure the program development. Once agreed, these RTOs
implementation of related policies. are then disseminated to crisis management team
(CMT) members, as they provide a road map for
Zhila Pooyan how to manage the crisis/disaster situation. It is
International Institute of Earthquake the CMT’s responsibility to ensure that appropri-
Engineering and Seismology ate resources are distributed and made available
to various involved response, restoration, and
See Also: Coping Capacity; Damage Assessment; recovery teams to enable them to develop strate-
Disaster Assessment; Disaster Recovery; Disaster Risk gies to meet the RTO time frames.
Reduction; Hazard Mitigation; Vulnerability. Recovery time objectives are used to help
build technology restoration and recovery plans
Further Readings to ensure that critical applications and services
Global Facility for Disaster Recovery and become unavailable after a major crisis or disas-
Reconstruction. Earthquake Reconstruction. ter. However, RTOs also need to be communi-
Washington, DC: GFDRR, 2011. cated to—and understood by—members of the
Riley, Claudette. “Joplin City Manager Shares crisis management team. It is important for CMTs
Lessons From Recovery Process.” Gannett News or representatives to understand the impact that
Service (May 20, 2012). http://www.news-leader recovery time objectives have during a disaster,
.com/article/20120520/NEWS01/305200035/ when services and systems are not available.
Joplin-city-manager-shares-lessons-from-tornado
-recovery-process (Accessed August 2012). Aiding the Crisis Management Team
Rohr, Mark. Joplin: The Miracle of the Human Spirit. Recovery time objectives, as milestones, can be
Mustang, OK: Tate, 2012. used to help monitor and manage the various
United Nations Development Programme (UNDP). aspects of the response, restoration, and recovery
“Preliminary Post-Disaster Recovery Guidelines.” process. If RTOs are being met, little change is
Version 1. New York: UNDP, 2005. required by the CMT, as it is able to follow estab-
United Nations High Commissioner for Refugees lished disaster response strategies—both strategic
(UNHCR), et al. Shelter Projects 2010. Geneva: and tactical. However, if RTOs are not being met
UNHCR, 2012. or there is the potential they may not be met, this
United Nations Office for the Coordination can have a significant impact upon an organiza-
of Humanitarian Affairs, et al. Transitional tion and/or community, as implemented contin-
Settlement and Reconstruction After Natural gencies and responses may need to be altered to
Disasters. New York: United Nations, 2008. address the situation.
World Bank. Safer Homes, Stronger Communities: RTOs not only provide a road map but also aid
A Handbook for Reconstructing After Natural in the timely dissemination of communications,
Disasters. Washington, DC: World Bank, 2010. both internal and external. RTOs provide check-
World Bank, et al. “Haiti Earthquake Reconstruction points to be monitored so that the CMT under-
Knowledge Notes From DRM Global Expert Team stands if—and when—it needs to amend its strat-
for the Government of Haiti.” Washington, DC: egies should objectives be “sliding” or missed. If
World Bank, 2010. so, the team must amend its plan, as additional or
798 Red Cross and Red Crescent

altered contingency/response strategies may need at large), or else it can cause rumor and specula-
to be implemented. tion, all because communications on the status of
An RTO begins when actual restoration and RTOs is not being monitored.
recovery activities begin and does not include the If the public is expecting information at the
time that a CMT may use to discuss and investi- 24-hour mark but it now looks like it will be 48
gate a situation. If the RTO for a specific service hours because of unforeseen issues, a proactive
or system is small, say, a couple of hours, it does and preemptive strike needs to be made. It also
not provide the CMT with much time to decide helps establish what is required of employees who
on investigative measures; it must implement might be expecting to travel to a new location
activities almost immediately if an RTO is to be at a specific time but must receive information
met. The longer it takes to decide on a strategy, that they cannot do this because the RTO is not
the more the RTO is extended, as its activation being met. Monitoring the RTO helps establish a
activities become delayed. realignment of activities to ensure the situation is
For instance, if a power outage occurs at a cor- being managed effectively. The CMT may need
poration’s facility, the corporation may take two to direct divisions and departments to implement
hours to decide if it needs to move to another appropriate contingency measures that align with
facility (i.e., backup facility) and base its decision the status of the RTOs.
on updates received from the local power com- RTOs in a disaster also provide a level of comfort
pany. However, if the decision of the CMT is to for those impacted, as they let them know when
move operations to the backup facility after the they can expect to return to some level of normal-
three-hour mark and it takes two hours for staff ity when services and systems become available.
to mobilize to get to the alternate site, the RTO is
still 24 hours for the services and systems but the A. Alex Fullick
availability of those systems has now moved to Independent Scholar
almost 30 hours. This is why crisis management
teams must be aware of the RTOs attributed to See Also: Business Impact Analysis; Recovery;
core systems and services. Response Team.
By monitoring the RTOs closely, the CMT
can also identify whether there are other reper- Further Readings
cussions of their not being met. Financial penal- Cardoza, Barry. Building a Business Impact Analysis
ties may be implemented if a system or service is (BIA) Process: A Hands-On Blueprint. Tulsa, OK:
not available at specific times (usually identified K & M Publishers, 2007.
in a service level agreements [SLA]). If the CMT Elliott, Dominic, Ethne Swartz, and Brahim Herbane.
understands the status of the RTO, it can take Business Continuity Management. New York:
measures to extend or eliminate any potential fine Routledge, 2010.
implementation. Fullick, A. Alex. Made Again: Practical Advice for
Not monitoring the RTOs by the crisis man- Business Continuity Programs. Vols. 1 and 2.
agement team can mean it does not know the Guelph, ON: StoneRoad, 2010.
status or what to expect as things move forward. Schmidt, Klaus. High Availability and Disaster
It could make an existing crisis more confusing Recovery. Frankfurt, Germany: Springer, 2006.
or escalate an existing crisis because the right
modification to contingency strategies (that have
been implemented) have not been organized and
implemented in due course—or when expected—
because of the expectation that a service or sys- Red Cross and Red Crescent
tem would be available during a specific time.
This would also be leveraged through the The International Federation of Red Cross and
media, as the crisis management team would Red Crescent Societies (IFRC) is one of the larg-
need to have someone specifically designated to est crisis management organizations in the world.
communicate this to the media (and the public This brief introduction discusses the founding and
 Red Cross and Red Crescent 799

contemporary characteristics of the organization, creating resilient communities. A recent exam-

its governing philosophy, and its crisis manage- ple is the IFRC’s work in Haiti after the 2010
ment practices. earthquake. Beyond providing relief, the local
Red Cross worked with community members to
History and Contemporary Organization rebuild homes and buildings in more sustainable
The International Federation of the Red Cross and and earthquake-resistant fashion; it also worked
Red Crescent Societies was founded in Geneva to build local capacity and resiliency, which
in 1862. Swiss businessman Henry Dunant was would have latent benefits such as empowerment
struck by the suffering of wounded and dying sol- and economic development within the commu-
diers and by their lack of medical care after Italy’s nity. By taking a holistic approach to relief and
Battle of Solferino. He returned to Geneva to cre- recovery, the local Red Cross was able to address
ate a committee of influential elites who shared his multiple community needs while also strengthen-
concern. By August 1864, 12 states had ratified a ing civil society.
convention of 10 binding rules, which together Another recent approach enacted by the IFRC
guaranteed neutrality and protection for wounded is community-level disaster mitigation. Starting
enemy soldiers and those caring for them during with a local analysis of vulnerabilities and capaci-
an armed conflict. Currently, the organization is ties, the local Red Cross finds strengths and weak-
guided by seven fundamental principles: human- nesses to crisis resiliency. The organization then
ity, impartiality, neutrality, independence, volun- partners with community leaders and local gov-
tary service, unity, and universality. ernment officials to prepare the community for
With a Red Cross or Red Crescent society in future possible disasters.
almost every country in the world (187 in total),
the IFRC is the world’s largest organization pro- Crisis Management Practices
viding humanitarian assistance, especially during The IFRC’s integrated approach to disaster man-
and after disasters. In a large-scale crisis such as agement focuses on meeting the needs of individ-
the Haiti earthquake in January 2010, the IFRC uals and communities in ways complementary to
organized more than 120 national societies to the resources and efforts of other organizations,
contribute funds, human resources, or goods to international agencies, local authorities, and
the local Red Cross/Red Crescent response. civil society broadly defined. With the support
There are more than 13 million volunteers of national societies and a global response sys-
globally, who work at the local level in the areas tem, the IFRC can quickly and efficiently obtain
of disaster response and recovery, disaster pre- resources and expertise to support local response.
paredness and risk reduction, health, and devel- Over its history, the Red Cross has acquired spe-
opment. This localized network enables the IFRC cific knowledge and know-how to deal with cri-
to provide an immediate response, often arriving ses, including three systems that can be employed
first on the scene. In 2010, volunteers provided within hours: Field Assessment and Coordina-
an estimated $6 billion worth of services, help- tion Teams (FACT), Regional Disaster Response
ing more than 30 million people in disaster situ- Teams (RDRTs), and Emergency Response Units
ations alone. (ERUs), as well as relief and logistics hubs and
extensive networks of prepositioned relief goods.
Governing Philosophy Together, this global response system provides
The IFRC has historically been known for its arguably the most efficient and capable arrange-
immediate relief efforts after a crisis or hazard. ment of global, regional, national, and local
Today the Red Cross/Red Crescent maintains capabilities.
four core components to their crisis work. The Additionally, the IFRC views crisis manage-
organizational focus continues to be saving lives, ment as a cyclical process. In a post-crisis set-
the reduction of suffering and losses, and the pro- ting, the organization is heavily involved in relief
tection and comfort of those affected. efforts. Concomitant during the relief period
The IFRC has added to its repertoire of sup- are strategies to begin to restore livelihoods and
porting activities mitigation, preparedness, and enhance food security, addressing issues of public
800 Red Tide

health, shelter provision, and psychosocial sup- the United States and have been documented
port. These practices are continued throughout worldwide. If an algal bloom occurs involving
the midterm recovery process. The IFRC furthers one of the few toxic species of dinoflagellate, then
these goals by designing its practices in such a the event is classified as a harmful algal bloom
way that it decreases survivor dependency and (HAB). The microscopic marine algae most often
encourages greater capacity and resilience in case associated with red tides is Karenia brevis. K.
of a future crisis. brevis produces toxins called brevetoxins, which
In sum, the IFRC continues to be one of the are responsible for mass death of fish, birds, and
most active global contributors to crisis manage- other marine organisms and can cause severe neu-
ment. Its work has had a significant impact on the rologic and gastrointestinal symptoms in humans
lives of people in the most vulnerable populations exposed to it. Red tides, as a natural phenom-
after several major disasters. enon, have been documented since early times.
The Gulf of Mexico states Texas and Florida have
Ryan Alaniz committed resources to research and monitor red
Cal Poly State University tide because of the negative impact a bloom can
have to these states’ economies. Understanding
See Also: Disaster Recovery; Nongovernmental red tide as health, environmental, and economic
Organizations; Preparedness; Response. concerns became a national focus by the 1990s
and a global concern in the early 2000s.
Further Readings Possibly one of the earliest descriptions of red
International Federation of Red Cross and tide can be found in Exodus as one of the first of 10
Red Crescent Societies. “Disaster and Crisis plagues of Egypt: “all the waters in the river were
Management.” http://www.ifrc.org (Accessed turned to blood. The fish that were in the river
December 2011). died, the river stank ...” Another early published
International Federation of Red Cross and Red record of red water in the ocean is that of Charles
Crescent Societies. World Disasters Report: Darwin, who, in 1832, while aboard the H.M.S.
Focus on Community Resilience. Bloomfield, CT: Beagle, sailing off the coast of Chile, examined
Kumarian Press, 2004. water from muddy bands through which the
Kapucu, N. “Non-Profit Response to Catastrophic Beagle had passed. He observed the water to
Disasters.” Disaster Prevention and Management, have a pale reddish tint and to contain swarm-
v.16/4 (2007). ing minute “aminalculae.” In 1858, a researcher
ascribed the cause of various colors of seawater
near Bombay to a dinoflagellate, and by 1868 sci-
entists understood the cause of discoloration in
the ocean waters to be microscopic algae. Nunez
Red Tide Ortega produced a historical record in 1879 that
provide the earliest verifiable record of red tide
Phytoplankton, primarily diatoms and dinoflagel- in the Gulf of Mexico. In the mid-1940s, a red
lates, are floating single-celled algae that are pres- tide event began, causing a large fish-kill along
ent throughout the marine and freshwater ecosys- the western coast of Florida. This HAB was esti-
tems and are a significant foundational component mated to have killed millions of fish that washed
of food chains and webs. When conditions are ashore on beaches, with the dead amounting to
right and these microscopic algae reproduce in 100 pounds per linear foot of shoreline. Stud-
great numbers, it can give rise to a phenomenon ies indicated the dinoflagellate involved to be a
known as red tide. The common name, red tide, Gymnodinium sp., now called Karenia. Ample
refers to the color of the water, with the hue deter- evidence indicates that algal blooms of all kinds
mined by the species of microalgae. This repro- have been widespread throughout time and at
ductive activity is called a bloom. Algal blooms multiyear intervals.
can be red, brown, blue, blue-green, or yellow. In the last 50 years, considerable research has
Blooms are not limited to the coastal waters of focused on HAB events off the coasts of Texas
 Red Tide 801

Texas lead the Gulf of Mexico states in funding

research for, educating the public about, and
monitoring HABs. The economic damage caused
by HABs to coastal areas that rely on tourism,
recreation, and seafood harvesting was estimated
at $1 billion in losses over the last several decades.

National Organizations
On a national level, both the Centers for Disease
Control and Prevention (CDC) and the National
Oceanographic and Atmospheric Administra-
tion (NOAA) are involved in research and educa-
tion about red tide and other HABs. The CDC
has established the National Center for Envi-
ronmental Health (NCEH), which is respon-
sible for planning, directing, and coordinating
the national program devoted to improving the
health of Americans by promoting a healthy envi-
ronment. NCEH has identified red tide as one of
the environmental hazards under its area of inter-
Red tide cell (Karenia brevis) concentrations off the coast est. It maintains a list of HAB publications on its
of South Padre Island, Texas. Along with Florida, Texas has Web site based on current research and policy. By
committed resources to research and monitor red tide, which 1998, NOAA had established a National Harm-
can cause environmental and economic damage. ful Bloom program to conduct research on the
means to prevent, control, and mitigate blooms
and their effects. The national program is a spon-
sor of an international program called GEOHAB.
and Florida. K. brevis blooms produce strong Although no definitive answer has been found
chemical toxins that are harmful to marine ani- to explain or predict why or exactly where a red
mals and humans, causing public health concerns. tide may occur, research indicates some factors
Brevetoxins can become concentrated in the shell- that are common to this type of HAB: (1) they
fish tissues, which, when consumed by people, occur in association with surfacing of nutrients
can cause neurotoxic shellfish poisoning, a kind that encourage and promote rapid reproduction
of food poisoning with severe gastrointestinal of the dinoflagellates, and (2) blooms may be ini-
symptoms and neurologic reactions. Breathing in tiated from cysts resting on the sea floor that may
air near red tides or swimming in red tide waters be seed populations waiting for the right environ-
affects human by causing shortness of breath; irri- mental conditions to reproduce.
tation of the nose, eyes, and throat; and cough- NOAA’s National Center for Coastal Ocean
ing. People with existing respiratory impairment Science (NCCOS) provides support to communi-
may experience symptoms to a greater degree. In ties in their efforts to fight HABs. This support
coastal Texas and Florida, recreational and com- includes NOAA’s Analytical Response Team
mercial fisheries and tourism are major industries (ART), which is composed of a multidisciplinary
that can be negatively impacted by a red tide team of scientists and an event coordinator
bloom. For these areas and others where red tide responsible for designing and implementing an
can be an environmental and health emergency— event-specific solution to identifying toxins asso-
as well as an economic disaster—it becomes ciated with HABs. The team responds to events
important to understand the causes of blooms; to associated with harmful algal blooms such as
evaluate the blooms from environmental, health, unusual mortality events and human illness and
and economic perspectives; and to plan and pre- provides rapid-result test kits. The ART is con-
pare for the impact of red tide. Both Florida and tacted by the Marine Biotoxins program scientific
802 Refugees and Forced Migration

staff, who are part of a network of coastal stew- life-threatening situations, including acute social
ards who study harmful algae and other coastal or economic crises. Because of the extremely
species. Other support includes promoting vol- critical situations at the root of their flight, these
unteer monitoring of HABs, research on harmful populations migrate in conditions that are often
algae, and development of new sensor technology. particularly precarious. Their vulnerability is fur-
ther heightened by the fact that the authorities of
Joyce M. Shaw their country of origin are no longer willing or
Gulf Coast Research Laboratory able to protect them.
To respond to their plight, the international
See Also: Centers for Disease Control and Prevention community has created legal and institutional
(CDC); Environmental Contamination; National instruments to provide them with protection and/
Oceanic and Atmospheric Administration (NOAA); or assistance. The United Nations High Com-
Sustainability. missioner for Refugees (UNHCR), created after
World War II, is the main international institution
Further Readings dealing with forced displacement and the right of
“Global Ecology and Oceanography of Harmful asylum. UNHCR statistics of “people of concern”
Algal Blooms.” http://www.geohab.info (Accessed to the agency give a picture of these populations
March 2012). today. According to the agency, there were around
Magana, H. A., C. Contreras, and T. A. Villareal. 33.9 million people of concern to UNHCR by the
“A Historical Assessment of Karenia brevis in the end of 2010, including 10.55 million refugees,
Western Gulf of Mexico.” Harmful Algae, v.2 14.7 million internally displaced persons (IDPs)
(2003). protected/assisted by UNHCR, and 3.5 million
National Center for Environmental Health. http:// stateless persons.
www.cdc.gov/nceh/hsb/hab/habpublications.html These various categories of forced migrants
(Accessed July 2012). have emerged from international institutions’
NOAA National Ocean Service. “A ‘Red Tide’ Is a practices in their attempts to respond and better
Common Term Used for a Harmful Algal Bloom.” manage forced migration. A refugee is a person
(2011). http://oceanservice.noaa.gov/facts/redtide who fled his/her country because of persecution
.html (Accessed March 2012). “for reasons of race, religion, nationality, mem-
Woods Hole Oceanographic Institute. “Harmful bership of a particular social group or political
Algae.” (2011). http://www.whoi.edu/redtide opinion,” according to the 1951 Convention
(Accessed March 2012). relating to the Status of Refugees. The most
important right contained in this document is the
right of nonrefoulement (Article 33), which pre-
vents a state from returning the refugee to a place
where he/she would face life-threatening dangers.
Refugees and In addition to the UN convention, African (1969)
and South American (1984) legal instruments for
Forced Migration refugee protection were developed with the objec-
tive of adapting to the new political realities in
What primarily distinguishes refugees and forced those regions. Both expanded upon the traditional
migrants from any other migrants is the fact that refugee definition to include generalized violence
they flee a specific situation of crisis. These cata- and massive violations of human rights.
lysts can be political in nature, such as the Bos- Although refugees have a specific legal defi-
nian war in the 1990s, or environmental, such nition and set of rights as outlined in the 1951
as the drought in east Africa that began roughly Refugee Convention, others who are forcibly dis-
in mid-2011. Forced migration is therefore gen- placed because of life-threatening crises remain in
erally engendered by what are called “push fac- a much more uncertain legal state. In particular,
tors,” such as armed conflict, generalized vio- IDPs, asylum seekers (refugees who have not been
lence, environmental disasters, or any other recognized as such), and stateless persons may
 Refugees and Forced Migration 803

face situations of legal limbo that render them where both humanitarian concerns and states’
particularly vulnerable and out of reach for inter- interests came into play to address widespread
national assistance organizations. For example, forced migration crises.
because IDPs remained in their home state, it is Nonetheless, it appears today increasingly diffi-
sometimes difficult to reach them in order to offer cult to manage and eventually solve forced migra-
assistance. In addition, IDPs tend increasingly to tion crises. For various reasons, the three possible
settle in urban areas that present new operational durable solutions to forced displacement that
challenges for aid agencies, which are required the UNHCR has identified (return to the home
to work without a clearly defined humanitarian country, local integration in the host country, and
space. In 2009, it was estimated that there were resettlement to a third country) are not acces-
about 27 million IDPs. Although IDPs do not sible to many forced migrants, who increasingly
enjoy a binding legal document that governs the find themselves in protracted situations. They are
response to their plight, the 1998 Guiding Prin- forced to spend more and more time in temporary
ciples on Internal Displacement set out the stan- settlements that range from closed or open camps
dards for institutional responses to internal forced with full assistance to unplanned settlements out
movements. To those various forced migration of the reach of international aid. As such, what
categories, development-induced forced displace- was at first a short-term solution to respond to
ment and human trafficking should also be added. their flight tends nowadays to last longer and lon-
These situations present other forms of vulner- ger, to the point that these precarious and pro-
abilities and challenges in terms of protection and visional situations become the status quo. Such
assistance but will not be developed further here. refugees and forced migrants are paradoxically
The UNHCR works with a number of implement- stuck in a static state in which their rights are
ing and operational partners, which can be gov- severely restricted (from the right of movement to
ernmental and nongovernmental organizations, the right to education and work). In 2011, around
such as the European Union or the International 7 million refugees were in a protracted refugee sit-
Committee of the Red Cross (ICRC). uation, the average length of displacement being
The international community’s attempts to almost 20 years. To those should be added the
respond to the plight of forced migrants are not 5 million Palestinian refugees (2012 figures from
only driven by humanitarian concerns. Indeed, the UN Agency for Palestine Refugees, UNRWA),
states might have an interest in ensuring good among whom some have been displaced for more
management of forced displacement because of than four generations.
the instability such a phenomenon may gener-
ate. States often argue that displaced persons Conclusion
are not only the consequence of crises but may Managing refugee and forced migration crises
also, in some instances, generate further situa- needs to take place at two levels: by addressing
tions of political disorder and violence. Forced the causes of forced displacement (such as dicta-
migrants may be viewed to constitute a threat to torial government or civil war) and by offering
national security and stability both at the politi- solutions to the displacees in order to avoid fur-
cal (such as by importing the conflict into their ther violence, instability, and long-term crises.
place of asylum) and at the economic level (by While the first aspect falls outside the scope of
straining resources, for example). In that sense, this article, the increasingly protracted nature
states’ interests also shape the refugee and forced of forced displacements makes it clear that the
migration regime (i.e., the legal and institutional international community is falling short of solu-
instruments mentioned above) and the way a tions to forced migration situations. Indeed, while
displacement crisis will be managed. The Indo- international instruments are evolving to better
chinese (1988–96) and Central America (1987– manage and solve forced migration dilemmas, the
95) Comprehensive Plans of Action created to international system, strictly divided into sover-
address long-standing refugee situations in their eign states, is practicing increasingly restrictive
regions are two major examples of cooperation migration and asylum policies that reduce the
between states and international organizations potential for solutions to forced displacements.
804 Reinsurance

Furthermore, the forced migration regime is facing to solely assume. In contrast, the fundamental
new challenges, particularly because of the grow- objective of insurance is to spread high individ-
ing trend of multi-causal displacements. These ual risk of loss across a larger pooled group that
mixed flows make it increasingly difficult to dis- is better situated to absorb this overall loss risk.
criminate between forced and voluntary migrants Thus, one main way for society to provide for
and bring to the limit the legitimacy of such legal and protect against inevitable large-scale disaster
and conceptual differentiation among migrants. and crises-related losses is through the procure-
Finally, what this current situation highlights is an ment of insurance prior to the event. The relative
underlying “sedentary logic” of the global regime infrequency of these large-scale events coupled
today, which struggles with human mobility, one with abundant sources of loss uncertainty and
of the main survival strategies since the beginning potentially multiple-event occurrences in a single
of human history. year creates difficulties for primary insurance
providers, who must identify and quantify risks,
Anaïs Resséquier occurrence intervals, and plausible consequences
Oxford Univrsity before extending coverage. The reinsurance sec-
tor plays a critical role in resolving this difficulty
See Also: Civil War; Climate Change Adaptation; in two ways: risk management and risk assess-
Failed States; Famine; Human Trafficking; ment. Simply stated, reinsurance is insurance for
Immigration; Office for the Coordination of insurers.
Humanitarian Affairs (OCHA), UN; Red Cross and Accordingly, reinsurance has two primary
Red Crescent. functions related to crisis. First, reinsurers reduce
loss exposure and provide loss diversification for
Further Readings primary insurance companies through risk trans-
Forced Migration Online. http://forcedmigration.org ference (risk management). The global nature of
(Accessed March 2012). private reinsurance companies, and hence large
Protracted Refugee Situations Project. http://www pooling capacity, is one business characteristic
.prsproject.org (Accessed March 2012). allowing them to underwrite this disaster and
United Nations. “1951 Refugee Convention.” http:// crisis risk in a relatively cost-effective manner,
www.unhcr.org/3b66c2aa10.html (Accessed March resulting in a number of benefits (for insurers and
2012). society) related to offsetting this risk to reinsur-
United Nations High Commissioner for Refugees. ers. Second, the reinsurance sector has become
“UNHCR 2010 Statistical Yearbook.” http://www a primary driver in the tool, technology, and
.unhcr.org/4ef9cc9c9.html (Accessed March 2012). methodology innovations for disaster and cri-
United Nations Relief and Works Agency for Palestine sis identification and quantification (risk assess-
Refugees. “UNRWA in Figures as of 1 January ment). Reinsurance has existed since the late
2012.” http://www.unrwa.org/userfiles/20120317 14th century and cuts across many different lines
152850.pdf (Accessed March 2012). of insurance, but in a new era of catastrophes
highlighted by extreme losses, its role in assessing
and managing risk has become more vital than
ever before.

Reinsurance Overview of the Reinsurance Sector

The reinsurance sector covers many diverse risks
Disasters and crises—large-scale, natural, and all over the world. Similar to the insurance indus-
human-made events including, but not limited to, try, coverage can be grouped across two main
accidental, biological, climatological, financial, lines of business: life and nonlife. Life reinsur-
geophysical, hydrological, meteorological, tech- ance provides loss coverage for accidents, health,
nological, and terrorism-related events—often death, disability, and injuries. In addition to cov-
leave in their wake immense losses that are gener- ering property losses resulting from natural disas-
ally too high for an individual household or firm ters and other more high-frequency hazards such
 Reinsurance 805

as fire, nonlife reinsurance provides loss coverage a risk that would overwhelm individual capacity.
for marine (cargo and shipping), casualty (prod- Likewise, insurers pass on aggregated portfolios
uct and employer liability), engineering (construc- of risks to reinsurers, who in turn indemnify the
tion and technology), aviation, and terrorism insurer against a certain level of loss.
events. Total premiums underwritten by the rein- The amount of coverage to policyholders an
surance industry are approximately $200 billion, insurer is willing to provide against risks in dif-
with nonlife premiums representing 75 percent of ferent hazard-prone areas partly depends on how
this total. Reinsurance is provided primarily by much of its exposure it can transfer to reinsurers
specialized reinsurers in the private market. How- and at what cost. Insurers purchase reinsurance
ever, the provision of reinsurance is not limited for losses associated with disasters and crises to
to specialized reinsurers or to the private market. limit liability and thus have the ability to offer
Investors as well as primary insurers can also higher coverage levels, smooth often-drastic fluc-
issue reinsurance. Moreover, government entities tuations in losses that are inherent to these events,
can also issue reinsurance, given proper statutory and provide protection against extreme losses
approval. For example, a significant portion of associated with disaster and crises. Comprehen-
wind insurance related to hurricanes in Florida is sively, this risk management process covers more
further reinsured by a state-run reinsurance entity, assets and effectively reduces the volatility and
the Hurricane Catastrophe Fund. severity of claims by guarding against extreme
The debate as to whether reinsurance should events through a higher level of risk transference
be provided by private companies versus a gov- and diversification of losses. As such, the stabil-
ernment-run entity is ongoing. On one hand, it is ity of not only the insurance industry sector but
argued that the costs of reinsurance (and hence, also the overall economy is partially achieved.
potentially the cost of hazard insurance to policy- This stability then potentially leads to taking on
holders) may be lower if offered by a government- more risk and hence spurring economic growth.
run entity because of lower tax and profit-margin Additionally, through the true pricing of risk
considerations. On the other hand, the pooling of from reinsurer to insurer to policyholder, eco-
risks by a government-run entity would likely be nomic incentives may be put into place to encour-
much less significant compared to a global rein- age mitigation actions on behalf of the insured to
surer, as risks that are locally dependent (hurri- limit their risk exposure and cost of insurance.
cane hitting Florida) may be globally independent
(hurricane hitting Florida and flooding in Thai- Reinsurance as Risk Assessment
land). Nonetheless, the largest reinsurers tend to The risk transference between policyholders,
be private reinsurance firms operating on a global insurers, and reinsurers is not costless, and thus
basis—Munich Re, Swiss Re, and Hanover Re, it is critical to properly price reinsurance risk
for example. Further, there are a number of rein- and risk transference. In addition to implement-
surance brokerage firms that act as intermediaries ing proprietary models, many reinsurers have
between reinsurers and insurers in policy under- turned to reinsurance brokers or enterprises spe-
writing. Reinsurance brokers have also taken on cializing in modeling catastrophic risk to assist
much of the role of advanced risk assessment and them in determining how much coverage to offer
create platforms that assist in the trading of risks and what premiums to charge for such cover-
that seem otherwise difficult to trade and hedge. age. Catastrophe models utilize a probabilistic
Finally, regulation of the reinsurance sector is pri- approach to disaster and crisis loss quantifica-
marily centered on solvency. This contrasts with tion that is currently the most appropriate way
insurance industry regulation, where prices are to handle the relatively limited historical loss data
subject to considerable regulatory oversight in and abundant amounts of uncertainty inherent in
addition to solvency issues. all hazard/disaster phenomena. Even though the
proper pricing of the risk is a significant compo-
Reinsurance as Risk Management nent of catastrophe model development, the risk
Privately held insurance coverage provides indi- assessment at both individual and aggregate levels
viduals and businesses a basic safeguard against is an additional and substantial outcome of this
806 Religious Violence

process that has become embedded in the insur- radical elements of Islam. However, religious vio-
ance and reinsurance sectors. lence is found in many other contexts.
Since religious violence would necessarily
Christopher Todd Emrich involve criminal activity, a governmental response
University of South Carolina would be expected. This would sometimes take
Jeffrey Czajkowski the form of a police or military intervention.
University of Pennslyvania Government crisis managers would naturally be
concerned with preventing or stopping harm to
See Also: Disaster, Definition of;Disaster Risk persons and property, or with finding and holding
Reduction; Losses, Quantitative Versus Qualitative; responsible those involved in criminal conduct.
Insurance; Risk Analysis; Risk Society. Governments have typically called out armed
forces to quell violence. Curfews are established
Further Readings to reduce the potential for opposing groups to
Cummins, J. D. “Reinsurance for Natural and encounter each other. When parties are out of
Human-Made Catastrophes in the United States: each other’s paths for a few days, there can some-
Current State of the Market and Regulatory times be a move toward normalcy. Often, reli-
Reforms.” Risk Management and Insurance gious leaders issue public statements; some of
Review, v.10/2 (2007). these can be inflammatory, while others can tend
Kunreuther, H. and E. Michel-Kerjan. At War With to soothe tensions.
the Weather. Cambridge, MA: MIT Press, 2011.
Reinsurance Association of America. “Fundamentals Efforts to Curb Religious Violence
of Property and Casualty Reinsurance.” http:// In light of radical religionists who have been at
www.reinsurance.org/files/public/07fundamentalsa the forefront of perceived or actual religious vio-
ndglossary1.pdf (Accessed March 2012). lence in recent years, a number of nations have
Swiss Re. “The Essential Guide to Reinsurance.” undertaken rather aggressive steps to prevent
(2010). http://media.swissre.com/documents/The the outbreak of this activity. This has been espe-
_Essential_Guide_to_Reinsurance_EN.pdf cially true in many European nations that have
(Accessed March 2012). large numbers of immigrants. These nations have
undertaken a variety of measures to maintain
order when there is the possibility of religiously
motivated violence and disorder.
Antiterrorism laws have been passed by a num-
Religious Violence ber of countries to enhance internal security, as
well as the security of travelers abroad. These laws
Religious violence has been a part of human his- do not mention the religious aspects of internal
tory for thousands of years, but in recent decades violence, but they do enable the nation’s security
there have been more outbreaks in more locations forces to take steps to identify those who might
around the world. Crisis managers have had to undertake terrorist acts and prevent their success.
help governments, nongovernmental organiza- Such laws deal with watch lists, money flow, and
tions (NGOs), religious institutions, and other international suspects’ location, as well as proce-
entities prepare for, adjust to, and recover from dural matters related to those charged.
episodes of short-term or extended periods of reli- A number of nations have also implemented
gious violence. There can be a fine line between procedures that deal directly with religiously
the definition of religious violence and terrorism. involved potential perpetrators. These actions
Some of the actions taken by governments have seek the repression of religious violence by aggres-
been aimed at terrorism. Because of the close con- sive steps. Several European nations have taken to
nection between terrorism and some religious closely monitoring mosques suspected of harbor-
violence, efforts by crisis managers to deal with ing radicals. This monitoring has taken a wide
terrorism are relevant. In recent years, much variety of forms, and these activities have led to
attention has been focused on violence related to the deportations of many individuals, including
 Reputational Risk 807

imams, from these countries. Hate crime laws spreading facts or falsehoods. Flash mobs can
have been passed that give protection to Muslims quickly be formed that will instigate incidents of
who have been targets of religious violence. Some religious violence. However, social media can also
have enacted laws that make it a crime to encour- be used by those seeking to calm tensions. Crisis
age religious hatred. managers would do well to master the use of these
Along with strict laws to repress religious vio- media in the face of potential religious violence.
lence, a number of countries have fostered insti- Lack of crisis management can lead to out-
tutions and laws that would encourage and, in of-control situations. Certain regions have faced
some cases, compel the integration into society of escalating religious violence that has led to a total
those who might be seen as a danger. Religious breakdown of society. Throughout history, break-
dialogue is often used as a way to integrate into outs of religious violence have led to dramatic epi-
society those people who are not integrated and sodes resulting in loss of lives. Governments and
might pose the threat of religious violence. Giving religious institutions bear dual responsibilities for
a voice to members of a minority religious group instituting policies and procedures that will miti-
through the formation of representative groups gate against religious violence.
may also foster better integration into the society.
In addition, governments have provided funds to Ken B. Taylor
spur integration. In one country, the government New Orleans Baptist Theological Seminary
funded a community center that was actually
attached to a mosque. Some nations have required See Also: Civil War; Ethnic Cleansing; Failed States;
that immigrants learn the national language as a Revolution; Riots; Terrorism.
condition of being able to serve as members of
the clergy. France took the step of prohibiting Further Readings
students from wearing religious symbols in pub- Bleich, Erik. “State Responses to ‘Muslim’ Violence:
lic schools. This measure was primarily aimed at A Comparison of Six West European Countries.”
preventing Muslim females from wearing burqas Journal of Ethnic and Migration Studies, v.35/3
in these settings, because the burqa was seen as a (2009).
possible dividing symbol that could lead to unrest. Egwu, S. G. Ethnic and Religious Violence in Nigeria.
Jos, Nigeria: St. Stephen Book House, 2011.
Religious Organizations Juergensmeyer, Mark. Terror in the Mind of God:
Religious institutions should have access to crisis The Global Rise of Religious Violence. 3rd ed.
managers to reduce the likelihood of these bodies Berkeley: University of California Press, 2003.
becoming targets of violence and to work to pre-
vent adherents from becoming involved in violence
toward other groups. One person should be des-
ignated to provide leadership in security issues for
the organization. An assessment should be made Reputational Risk
of potential risks. This assessment should be done
in conjunction with responsible law enforcement Reputational risk, also referred to as reputation
agencies or a qualified person or group. Religious risk, is the risk arising from a negative stake-
groups are encouraged to develop a security plan holder perception of an organization’s business
that will provide the needed information should practices and trustworthiness that can adversely
an emergency develop. Policies should be imple- affect its ability to maintain existing or create new
mented to restrict involvement in activities that business relationships and have continued access
might lead to escalating violence. to resources.
Communication is key to reducing levels of reli- The reputation of an organization is shaped by
gious violence. The exploding use of social media a host of drivers, among which are the quality and
by ever-expanding percentages of the world’s pricing of its products and services, its long-term
population can be both a bane and a blessing. financial performance, corporate governance and
Social media can be used to arouse hostilities by regulatory compliance, human capital and talent
808 Reputational Risk

management culture, corporate social responsi- corporate misbehavior, with Siemens and BAE
bility, and its communication disclosures both in systems using political corruption internationally
times of normalcy and in crisis. As with any other to help its sales; spokesperson misbehavior and
type of risks, reputational risk has a factual prem- controversy, with Gillette and TAG Heuer (among
ise (a triggering event), manifests itself through many others) suspending their advertising con-
a series of other factual circumstances (negative tracts with Tiger Woods following his infidelity
publicity), and ends in a consequence (organiza- scandal; and controversial ownership, with Libya’s
tion’s value loss). The triggering event may stem former dictator Muammar Gaddafi being revealed
from any of the organization’s reputation drivers. to have stakes through his investment company
The resulting loss in the value of the organization Lafico in Fiat SpA, the Italian soccer club Juven-
extends beyond event-related accounting losses tus, and Financial Times publisher Pearson.
and is usually reflected in a decline in its share Reputational risk has, therefore, a “com-
performance metrics. In a world dominated by pounded” nature, which justifies its classifica-
media, studies show that there is an 80 percent tion by many risk managers as a “risk of risks.”
chance for an organization to lose more than 20 As such, rather than treating it as a separate and
percent of its value at least once over a five-year distinct category of uncertainties, organizations
period as a result of reputational risk mismanage- should embed reputational risk oversight into
ment and negative stakeholder perception. But their existing risk management process. In the
share performance is for many a crude measure- stage of risk identification and assessment, risk
ment of reputation. There are more sophisticated owners should also evaluate, apart from the phys-
methods and indexes that purport to measure ical and financial impact, the reputational impact
and compare organizational reputations. One of the risks assigned to their area of responsibil-
example is the index offered by Steel City Re, a ity. Then, the response strategy (risk treatment)
consultancy that targets “headline risk” (the risk they develop for each risk category in their port-
stemming from bad publicity) and is based on folio should also take into consideration effects
four “forward-looking” indicators: shareholder on reputation.
behavior, communications effectiveness, operat- The challenge for risk owners is that repu-
ing costs, and the organization’s ability to com- tational impact will vary among the different
mand premium pricing based on its brands. stakeholder groups. It is therefore useful to look
at reputation as a two-part construct. The first
Triggering Event as a Risk part, the “reputation capital,” is the perception
What perhaps distinguishes reputational risk from of the organization by those stakeholders whose
other types of risk is that the triggering event is relationship is directly instrumental to the pursuit
normally also another risk, with its own factual of long-term growth and shareholder value. This
circumstances and consequences for the organiza- economic connotation of growth and shareholder
tion. For example, the situation faced by BP as the value enhancer makes reputation capital quantifi-
oil spill in the Gulf of Mexico ran on for weeks, able in monetary terms (e.g., dollar value). The
with increasing amounts of pollution washing second part, the “residual reputation,” refers to
ashore, was a collapse of its reputation because those stakeholder groups that do not affect share-
of excessive operational risks taken, resulting in holder value. This distinction will allow risk own-
a series of failures in the original oil rig accident ers to identify stakeholders and prioritize them
and the subsequent cleanup effort. The recent cor- from a reputational impact perspective based on
porate reputation history has shown a multitude their actual influence; the criticality, rationality,
of triggering events with their own circumstances and urgency of their claims; their access to and
and consequences: product failure that led Toyota control of key business resources; and the likeli-
to recall several million cars; poor business per- hood of their taking supporting action.
formance, with Olympus attempting to cover up
huge and long-running investment losses; a social Reputational Risk Treatment
responsibility gap for Nike being accused of using When it comes to reputational risk treatment, the
sweatshops for the production of its sports lines; risk owners can choose one or more strategies
 Reputational Risk 809

offered by the AMAT (avoidance, mitigation, its aggressive and controversial promotional mes-
acceptance, and transfer) model. sages based on the calculated assumption that the
Reputational risk avoidance is clearly the pre- rewards from its campaigns would be far greater.
ferred strategy for most organizations concerned Reputational risk transfer can be achieved
about the reputation consequences of risks aris- with an insurance policy. Increasingly, insurance
ing from their actions. Involvement in activities companies offer organizations coverage for spe-
or with persons that may result in negative stake- cific reputation-damaging events such as product
holder perceptions are avoided by some compa- recalls, directors’ and officers’ liability, and poli-
nies, such as, for example, the German telecom- cies known as the “3D indemnity” covering the
munications company T-Mobile, which in 2007 death, disgrace, or disability of an organization’s
withdrew its sponsorship of a cycling team, 16 spokesperson. An example of a broker for such a
years after it first signed on to the sport. The strategy is DeWitt Stern, which offers policies that
T-Mobile team was hit hard by a series of doping would cover U.S. organizations for up to $50 mil-
scandals, which resulted in the company termi- lion in public relations and media costs stemming
nating its contract in order to avoid exposure and from reputational damage–related events.
association with doping practices in sports. Of course, the choice of the most appropriate
Reputational risk mitigation is the strategy reputational risk treatment strategy should be
option for organizations to reduce the level of supported by a cost-benefit analysis, which should
risk exposure to a comfort zone for them while take into account the time horizons regarding both
continuing the activity that is giving rise to the the impact of the risk event on reputation and the
risk. Taking a proactive approach in an effort to implementation of the risk response, the resources
reduce the likelihood of bribery risk occurring, required for the chosen risk treatment, and the
many British organizations developed or updated consistency of the chosen risk treatment strategy
their “Standards of Business Conduct” to ensure with the organization’s long-term objectives.
that their policies and procedures remain at the
forefront of best practice and to ensure alignment Alexandros Paraskevas
with the provisions of the UK Bribery Act 2010. Oxford Brookes University
On the other hand, the UK-based Macmillan
Publishers took a reactive approach, attempting See Also: Public Image; Risk Analysis; Risk
to reduce the reputational and financial damage Assessment; Risk Treatment; Stakeholders.
in relation to past unethical conduct by its educa-
tion business in Africa, when it self-reported the Further Readings
case to the Serious Fraud Office in March 2010 Alsop, Ronald J. The 18 Immutable Laws of
and cooperated with the probe, appointing exter- Corporate Reputation: Creating, Protecting and
nal lawyers to investigate publicly tendered con- Repairing Your Most Valuable Asset. London:
tracts to supply educational material in Rwanda, Kogan Page, 2006.
Uganda, and Zambia between 2002 and 2009. Burke, Ronald J., Graeme Martin, and Cary L.
Reputational risk acceptance is a strategy for Cooper. Corporate Reputation: Psychological
organizations that make an informed decision to and Behavioural Aspects of Risk. Burlington, VT:
accept the reputational risk associated with their Ashgate, 2011.
actions and assume full responsibility for any Illia, Laura and Francesco Lurati. “Stakeholder
subsequent consequences. This acceptance results Perspectives on Organizational Identity: Searching
from a belief that the rewards to be gained will for a Relationship Approach.” Corporate
outweigh any negative effects on their reputation. Reputation Review, v.8/4 (2006).
A classic example of such a strategy is the series Rayner, Jenny. Managing Reputational Risk: Curbing
of provocative advertisements launched by the Ital- Threats, Leveraging Opportunities. Hoboken, NJ:
ian fashion group Benetton, which, in a few years, John Wiley & Sons, 2003.
gave the brand global awareness and recognition. Sheffi, Yossi. The Resilient Enterprise: Overcoming
Benetton retained a significant amount of reputa- Vulnerability for Competitive Advantage.
tion risk, which would arise from a backlash of Cambridge, MA: MIT Press, 207.
810 Residual Risk

Residual Risk operate at two levels by mandating protections for

the general population (through total population
The presence of residual risk is a function of the risk assessments) as well as for those most likely
reality that risk management is not synonymous to be affected (through maximum individual risk,
with complete risk eradication, which is almost or MIR, assessments).
never feasible. Although its definitions vary across The establishment of standards can be illus-
the range of settings in which it manifests, gener- trated by the EPA’s approach to benzene emissions,
ally speaking, residual risk is the acceptable level which are known to cause cancer. In keeping with
of risk that remains after technology or other the act’s requirements for cancer-causing agents,
controls have been applied. Since the residual risk the total population standards require that the
is both measured and known, its presence neces- risk of contracting cancer be no greater than one
sitates the need for further decisions about con- in one million for the general population. For the
trol, which can include the layering of additional MIR, the EPA determined that the risk to those
control mechanisms until the system in aggregate living closest to the source of emissions should
reaches the desired level of risk. not exceed one in 10,000, based on an assump-
tion of constant exposure over 70 years.
The Politics of Residual Risk
The establishment of the acceptable residual is Residual Risk Transfer Mechanisms
itself a highly political decision, as are the sub- The management of residual risk can also involve
sequent decisions about mitigation and control. the transfer of risks to parties better equipped to
The process typically involves several factors, handle them, often through some form of insur-
including an assessment of potential impact, the ance. Insurance markets typically include a dis-
evaluation of alternative approaches, and the for- tribution of potential risks. Although insurance
mulation of policy. companies will cover most of these, every market
The political nature of the process is often highly includes a range of risks that for one reason or
contested, particularly in cases where it involves another are not profitable for the insurer. These
the imposition of regulation on industry. Environ- can include drivers with poor records, companies
mental regulation is a case in point. The Clean with poor repayment histories, or even homes in
Air Act of 1970 included a requirement that the areas vulnerable to hurricanes or flooding. The
Environmental Protection Agency (EPA) develop markets for insuring these risks are called “resid-
a list of dangerous airborne toxins (hazardous air ual markets.”
pollutants, or HAPs), as well as standards for the Given the lack of sufficient incentives for pri-
control of their emissions given an unspecified vate-sector providers to enter residual markets,
“ample margin of safety.” By leaving the entire solutions tend to involve some level of govern-
process to the discretion of the EPA, however, the ment participation. In many cases, these structures
Clean Air Act resulted in a long-running conflict are established by state governments to foster the
between industry, environmentalists, and the EPA pooling and sharing of risk across a combination
over how to interpret this broad mandate. of multiple private insurers. One such structure is
The 1990 revision to the Clean Air Act the joint underwriting association, in which one
attempted to address the issue by requiring the firm serves as the client-facing servicing agent but
EPA to follow a two-stage approach to the defini- all premiums and benefit payments (and thus risks)
tion and management of residual risk. First, the are allocated proportionally among the entire set of
agency is required to establish technological risk insurers operating in the market. Other states have
controls based on minimum achievable control taken a different approach by establishing rein-
technology (MACT) criteria, taking into account surance facilities. Under this structure, individual
the need to balance cost against effectiveness. The insurers are required to offer coverage to all within
measurable risk that remains after the application a given market but have the option of “ceding”
of this technology is the “residual,” for which each policy’s premiums and risk to a separate rein-
the EPA is required to establish limits based on surance facility if they believe the policy provides
health assessments. These residual risk limits also inadequate premium compensation for the risk.
 Resiliency 811

In other cases, state governments provide insur- Alternative Regulatory Approaches.” Journal of
ance solutions that cover all members, residual and Risk and Insurance, v.76/3 (2009).
nonresidual alike. Among the most widespread of Newman, James. W., Jr. “Insurance Residual Markets:
these entities are statewide workers, compensa- Historical and Public Policy Perspectives.” (July
tion funds. Coastal states such as Florida are also 22, 2010). http://www.stormrisk.org/admin/down
active in this market because of the combination loads/Insurance%20Residual%20Markets%20
of catastrophic weather risk to homeowner and White%20Paper%20-%207-22-10.pdf (Accessed
business property and the unwillingness of pri- January 2012).
vate insurers to cover this risk. Tolbert, George D. “Residual Risk Reduction:
Systematically Deciding What Is ‘Safe.’”
Financialization and Residual Risk Professional Safety, v.50/1 (November 2005).
The growing markets for securitized risks (those U.S. Environmental Protection Agency. “Residual
transformed into investable securities) has Risk Report to Congress.” (1999). http://www.epa
expanded the possible set of tools for the manage- .gov/ttncaaa1/t3/reports/risk_rep.pdf (Accessed
ment of residual risks. For insurance companies, February 2012).
the catastrophic (CAT) bond market presents a
means of tapping global capital markets to fund
payouts in the event of unpredictable and cata-
strophic events that would otherwise be difficult
to provision for. Resiliency
Financial portfolio investors have also made
extensive use of new derivative contract struc- The term resiliency in the context of crisis man-
tures designed to manage company-specific risk agement describes the capacity over time of a sys-
that was previously not possible to hedge. Credit tem, organization, community, or individual to
default swaps (CDS) allow investors to focus on create, change, and implement multiple adaptive
the credit risk of a particular company, which is actions, procedures, and processes in the face of
the portion that remains after hedging away the various types of crises.
risk stemming from the impact of the company’s Prior to the growing usage of resiliency in the
industry, location, and other more general char- various fields of social and management sciences,
acteristics. Although these securities have become this term was developed in the natural sciences
controversial because of their role in the financial and engineering and referred to the capacity of a
crisis of 2008, they remain an important tool for material or a system to return to equilibrium after
professional investors. a displacement.
Effective human systems should also be char-
Jason Windawi acterized by these adaptive capacities to confront
Independent Scholar crises in a rapid, comprehensive, and adaptive
way. A high level of resiliency may be achieved
See Also: Civil Protection; Hazard Vulnerability only through continuous processes and ongoing
Analysis; Insurance; Maximum Acceptable Outage; efforts. Resiliency is constructed gradually over
Reinsurance; Risk Assessment. time but may be tested in any single moment
without any warning by any type of crisis. Analy-
Further Readings sis of functioning in a certain crisis may lead to
Born, Patty, Randy Dumm, Martin Grace, Lorilee important lessons regarding the actual level of
Medders, and Charles Nyce. “Mitigation, resiliency and derive conclusions for its further
Money and Residual Markets: Findings From a improvement. The level of resiliency is analyzed
Symposium on Catastrophic Risk Management.” regarding human systems, such as organizations,
Journal of Insurance Regulation, v.30 (2011). communities, or societies as a whole; it is not
Klein, Robert W. and Shaun Wang. “Catastrophe enough that the stronger elements are resilient by
Risk Financing in the United States and the themselves. It is necessary that all the elements of
European Union: A Comparative Analysis of a system will be resilient in the face of the crisis
812 Resiliency

The owners of this home in Minot, North Dakota, which was evacuated during the historic June 2011 Souris River flooding, update
their residential status in October. Federal Emergency Management Agency officials survey the area in the background. In the context
of crisis management, resiliency describes the capacity of a system, organization, community, or individual to respond to crisis in
multiple positive ways. As Minot resident SuAnne Drawz stated during the flood, resiliency “is just part of the fabric of life up here.”

because otherwise the less-resilient elements will knowledge, experience, and continuous sup-
substantially weaken the functioning of the sys- port—prior to and during the crisis—plus an
tem as a whole. The increase of resiliency of all additional origin of resources and more. These
the elements and groups is a substantial chal- assets may enable individuals, organizations, and
lenge because it requires allocation of multiple communities to implement the required adaptive
resources (mainly budget, planning, and time) actions that are the core element of resiliency.
and differential approaches to various groups In addition to connectivity, achievement of a
(such as immigrants, people with disabilities, chil- high level of resiliency depends also on the abil-
dren, and the elderly), given their unique charac- ity for innovation and creative thinking. In the
teristics and gaps in terms of resiliency. However, constantly changing world, a crisis may imply a
the above efforts will enable a significant increase substantial challenge and threat for the existing
of resiliency of the systems as a whole and may structure. Those individuals, communities, and
determine whether the organization, community, organizations that are willing and able to inno-
or society will be able to cope with the crisis or vate have a greater potential to confront the crisis
not. Accordingly, the meaning of resiliency should and to relate to it as an opportunity for further
not be underestimated. In addition, it should be growth and development.
mentioned that the level of connectivity of indi- It should be mentioned that although in any
viduals, organizations, and communities with type of crisis, the resilient functioning will be
other individuals or entities may also highly influ- based on the same above principles, it is not pos-
ence the level of resiliency. The strong networks sible to conclude from the level of resiliency of
established with others may provide additional individual, organization, or community in one
 Resiliency 813

type of crisis regarding the extent of resiliency in formal evaluation through integration of internal
the face of another crisis of different type. The and external inputs and continuous professional
specific context and the unique characteristics of consultation throughout the process by specialists
the crisis, past experiences that are relevant to in the field; and the conduct of periodic drills and
it, timing, the scope of the crisis, and more—all simulations to test the actual level of resiliency
of these factors highly influence the specific level during the implementation of the project and to
of resiliency in any given crisis. Accordingly, it is increase resiliency after its completion.
more accurate to analyze and describe the resil- In general, it may be said that resiliency is an
iency in a specific context and not any “general” important notion in the field of crisis management.
level of resiliency. It describes the capacity of an individual, an orga-
In addition to the description of the notion of nization, or a community to take adaptive actions
resiliency itself, a number of main factors that are in the face of a certain crisis. There is a strong
related to the level of resiliency should be men- link between the terms preparedness and resil-
tioned. The economic conditions of an individual, iency. Similar measures should be taken in order
an organization, or a community influence the to achieve high levels of both. Usually, when the
level of resiliency, namely, the higher level of eco- level of preparedness is high, the level of resiliency
nomic resources enables more adaptive and rapid will also be high and vice versa. The notion of
response in the face of a crisis. In addition, a pro- resiliency expands our understanding of the crisis
vision of relevant and accurate information by the management processes. It stresses the importance
authorities also fosters higher levels of resiliency of effective adaptation to the new reality that was
among the population in times of crisis. Another caused by the crisis. Increase of the extent of resil-
factor that may increase resiliency level is mutual iency on individual, organizational, community,
assistance and support among the community and societal levels through various continuous
members. An additional important factor that is processes may strengthen in a significant way the
related to the level of resiliency deals with percep- entire structure of crisis management.
tion regarding the leaders. If leaders in the organi-
zation or community are perceived as responsible, Alex Altshuler
trustful, and reliable, then the level of resiliency in Ben-Gurion University of the Negev
those systems will be higher.
Another important element that should be See Also: Contingency Planning; Coordination;
mentioned in the context of resiliency is the level Coping Capacity and Response Capability; Disaster
of cooperation among the stakeholders who are Recovery Life Cycle; Preparedness; Recovery;
relevant for a specific crisis. The more relevant Response; Stakeholders.
stakeholders will be actively involved, the higher
level of resiliency will be achieved. Effective Further Readings
cooperation in advance and during the crisis will Adger, W. Neil. “Social and Ecological Resilience: Are
enable more comprehensive, adaptive, rapid, and They Related?” Progress in Human Geography,
effective action. v.24 (2000).
Bonanno, Giacomo. “Loss, Trauma, and Human
Resiliency Procedures Resilience: Have We Underestimated the Human
Effective programs aimed to increase commu- Capacity to Thrive After Extremely Aversive
nity or organizational resiliency are primarily Events?” American Psychologist, v.59 (2004).
based on the following procedures and best prac- Farazmand, Ali, ed. Handbook of Crisis and
tices: consolidation of a clear vision and context Emergency Management. New York: Marcel
for resiliency enhancement by the leaders and Dekker, 2001.
top echelon of the organization; definition and Murphy, Kim. “Flooding Doesn’t Dampen North
achievement of high resiliency as a strategic prior- Dakotans’ Resilience.” Los Angeles Times (July 2,
ity; active participation of most segments of the 2011). http://articles.latimes.com/2011/jul/02
collective in planning, implementation, and eval- /nation/la-na-adv-minot-20110702 (Accessed
uation; a duration lasting multiple years; periodic August 2012).
814 Resource Collapse

Resource Collapse The move westward of settlers and hunters led to

the slaughter of millions of these animals and the
A resource collapse occurs when a particu- removal of reproducing herds from most of the
lar resource, whether it be a food source that is United States. Only limited herds existed by the
plant or animal, or a material needed to carry beginning of the 20th century.
out the normal functions of civilization, is no One of the theories of resource collapse is the
longer available, or is not available in the quanti- “tragedy of the commons.” Based on the grazing
ties needed. Oil has been a topic of discussion in of cattle on common pastures, this theory deals
the last decades, with the concern that the time with some of the social implications of natural
of peak oil—when oil can be obtained easily for resources that are held in common, like air, water,
a reasonable price—is over. Possibly the most and public pastures. It is to the financial benefit
dramatic resource collapse has been the severe of those who use these common resources to use
declines of the fish stocks in the northwestern them as much as possible. Even when a resource
Atlantic. Other examples of resource collapse are begins to decline and it would promote sustain-
evident with needed minerals that can no longer ability for individuals to reduce their consump-
be easily obtained. Rare earths are one example tion of it, users continue or even increase their
of substances crucial to modern manufacturing usage. This is because there is competition for the
that are limited in supply and are controlled by resource, and if one user reduced consumption,
only a few suppliers. Every finite resource is sub- others would just use what the one person had
ject to eventual collapse. Resource collapse can sacrificed.
lead to disruption of economies and can even lead Some resources are nonrenewable. Fossil fuels,
to human disasters. Resource collapse has been along with minerals, are classic examples of these
suggested as one of the possible causes of the types of resources. Throughout history, human-
fall of the Roman Empire. Crisis managers must kind has learned to adapt to the ebb and decline
work to prevent resource collapse, must handle of resources. Often, the unavailability has been
the collapse itself, and must deal with the after- dealt with by exploration, colonization, and
math when a collapse is over. trade. In modern times, technology has led to new
methods to extract resources that were thought
Causes of Resource Collapse to be unreachable. Depending on the demand
Overharvesting is one of the frequently cited for the resource, the profit motive, along with
factors in a resource collapse. Even renewable the needs of society, has driven industrial inter-
resources like water, animals, and forests are ests to produce the resource for consumption.
subject to collapse through overharvesting and When a material seems unavailable or produces
ecological changes. Fresh water can be in danger negative consequences, innovative entrepreneurs
of resource collapse through overuse of under- develop alternatives. We face a finite supply of
ground aquifers and flowing water and because fossil fuels, which are having a negative impact on
of climatic changes. We face the constant chal- Earth’s environment. As a result, breakthroughs
lenge of a collapse of oil supplies. Depletion of the in nuclear, wind, solar, and geothermal energies
easy-to-find oil reserves has led to more expensive have been made.
exploration like deeper ocean drilling. Overhunt-
ing and loss of habitat led to a resource collapse Crisis Management of Resource Collapse
in the passenger pigeon population, leading to the An example of crisis management to prevent
extinction of the species. Laws aimed at protect- resource collapse was the legislation enacted in
ing the pigeon were passed too late and were often the fishing industry in U.S. waters, known as the
not enforced. This species needed large numbers Magnuson-Stevens Act. The United States passed
living in close proximity to each other to con- this legislation in a number of stages beginning in
tinue breeding. The near extinction of the Ameri- 1976. The earlier versions were unsuccessful in
can bison is a well-known example of a resource preventing overfishing of several species of fish.
collapse. This species, which existed in massive The goal of the law was to benefit the economic
numbers, provided well for Native Americans. and recreational aspects of fishing. This goal was
 Resource Collapse 815

Case Study: The Collapse of the Newfoundland Cod Fishing Industry

The northern cod of the northwest Atlantic government managers of the fishing industry had
Ocean were so plentiful in the rich fisheries off mismanaged the fisheries. Based upon faulty data
the coast of Canada that they were said to have and assumptions, the government had let too many
been gathered in a basket without using a net. fish and too much fish be caught; it seemed that
The converging currents in this part of the ocean during the 1980s, the government saw the fish as an
provided for a steady stream of food sources for inexhaustible resource. Also, the political and social
groundfish like the cod. This rich, nutrient-filled pressures related to the fishing industry and the jobs
water produced an abundance of fish like few it created caused the government to even ignore
places in the world. A vast fishing industry grew some of the recommendations of its own scientists,
up around these waters, providing countless who called for drastic reductions in the allowable
communities the majority of their jobs. The catch. By the early 1990s, the catch of fish was
economy of eastern Canada was very dependent drastically reduced and a resource collapse had
on the steady source of cod and other species that occurred, with a 90 percent decline in fish catches.
were plentiful. Fishing interests from all over the In 1992, Canada placed a complete moratorium
world recognized the treasure available in these on fishing for cod in the waters off Newfoundland.
waters and sent their fishing fleets to join in the By this time, the biomass of fish in the fishery was
harvest. It must have appeared to many in the a tiny fraction of what it had been. The moratorium
fishing industry that the supply of codfish was led to the loss of up to 12,000 jobs for fishermen
limitless. and up to 15,000 factory jobs.

Industry Mismanagement and Regulation Assessment and Recovery

As long as ships were slow and technology was Those responsible for managing the industry
not available to aid fish harvesting, the supply of had failed to issue fishing regulations that could
groundfish held out. However, ships grew faster have prevented such a collapse. Managers’
with the advent of engines. Ships could now calculations had been based on a number of
travel to these plentiful waters from farther away. inaccurate statistics, and scientists’ projections
Increased mechanization made it possible for of fish populations were much too optimistic. Fish
processing ships to freeze the fish, allowing more harvests were underreported. Foreign fishermen
time for fishing and less time for travel to market. caught fish near the Canadian waters. Some fishing
Technology made it possible to track schools of fish practices were overly destructive, leading to the
with accuracy. Concern over foreign fishing ships death of immature and nontarget fish. Ecological
throughout the world led to the passage in 1977 changes and changes in predator fish also reduced
of the United Nations Law of the Sea Convention. the fishing stocks.
The convention established a 200-mile exclusion There have been slight increases in cod
zone around many countries where foreign ships fisheries in the 20 years since the moratorium
could not fish. The cod fisheries were protected by was imposed. Despite the recovery, the number of
this action, but Canadian trawlers took advantage cod is a very small percentage of what scientists
of the openings left by the exclusion. In addition, say is necessary for a viable fishery. Even with
agreements were made that allowed foreign ships some recovery of the fisheries, the market for
back into Canadian waters. Some trawlers were able Canadian fish is not good, and imports from other
to pull in 25,000 pounds of fish in one catch of countries have made up for part of the difference.
their huge nets. The U.S. seafood market, the market for most of
In 1977, Canada began aggressive management the Canadian fisheries, declined because of the
of the fishing stock in its waters. The nation reduced price for competing protein sources like
licensed fishermen, set quotas for different types chicken. Newfoundland’s human population has
of fishing ships, and set a maximum catch each also dropped as a result: from 580,000 in the
year for the fishing industry. It was obvious that the early 1990s to about 510,000 today.
816 Resource Collapse

attained by enforcing control of fisheries in U.S. Organizational structures are not easily modified
territorial waters. Eight regional councils were to be proactive.
established to give oversight to the fisheries under In dealing with resource collapses, crisis man-
their control. agers must be prepared to deal with networks.
Issues related to resource collapse often are Decisions are often made in networking envi-
not limited to political boundaries. Transbound- ronments. Prior to a crisis, managers must deal
ary crises are more complex than those that are with communication issues so that the crisis is
limited to one political jurisdiction. Competing not exacerbated by a failure in lines of commu-
interests across political boundaries can compli- nication. Managers must be prepared to offer the
cate the response to a resource crisis. The interde- public numerous assessments of the situation.
pendence of modern economic systems can lead Being able to give reasonable answers to myriad
to international crises when a resource collapse questions is necessary to instill confidence. Post-
impacts even one country. The impact on the crisis action is also essential to deal with failures
world economy was evident during the oil crisis experienced during the resource collapse. This
of the early 1970s. When oil producing countries action is complicated by political and societal
reduced their exports of oil temporarily, gasoline pressures.
prices rose dramatically and there were gas short-
ages for months. As a result of this experience, the Ken B. Taylor
United States implemented a number of actions New Orleans Baptist Theological Seminary
that would help ameliorate serious consequences
should an oil shortage occur again. The most vis- See Also: Climate Change Adaptation; Commodity
ible of these was the establishment of the Strategic Shortages; Deforestation; Environmental
Petroleum Reserve. By storing crude oil in under- Contamination; Famine; Food Security; Freshwater
ground salt domes along the Gulf Coast, a reserve Demands and Shortages; Global Food Crisis;
was created to be used when the regular supply of Overfishing; Overgrazing; Overpopulation; Resource
crude was not available. Management; Sustainability.
The 1973 Endangered Species Act was one
method of dealing with crises involving species Further Readings
that might not be in imminent danger of extinc- Bavington, Dean. Managed Annihilation: An
tion but nonetheless needed protection. In 1993, Unnatural History of the Newfoundland Cod
then-Secretary of the Interior Bruce Babbitt called Collapse. Vancouver: University of British
for using the Florida Everglades as an experiment Columbia Press, 2010.
in protecting an entire ecosystem. This was an Collier, Paul and Anthony J. Venables, eds. Plundered
effort to do pre-crisis management in order for Nations? Successes and Failures in Natural
species to receive protection before they became Resource Extraction. New York: Palgrave
endangered, and to help stave off some of the Macmillan, 2011.
conflict between environmentalists and busi- Lindahl, Therese. “Coordination Problems and
ness interests before the situation became more Resource Collapse in the Commons—Exploring
critical. the Role of Knowledge Heterogeneity.” Ecological
To be most effective in dealing with resource Economics, v.79 (July 2012).
collapse, crisis managers must prepare before a Moghaddam, Fathali M. The New Global Insecurity:
crisis emerges. This is difficult because many do How Terrorism, Environmental Collapse,
not want to take painful steps to avert a crisis Economic Inequalities, and Resource Shortages
when they are not currently facing the conse- Are Changing Our World. Westport, CT: Praeger
quences of the crisis. Preparations can be expen- Security International, 2010.
sive, both in time and in providing needed train- Spears, John. “Newfoundland Cod Fishery Sees
ing. Some resource collapse scenarios are hard Glimmer of Hope.” The Star (May 18, 2012).
to imagine in a time of plenty. Even when the http://www.thestar.com/news/canada/politics/art
crisis begins to develop, organizations are often icle/1181048--newfoundland-cod-fishery-sees-glim
slow to realize the reality of the current situation. mer-of-hope (Accessed August 2012).
 Resource Management 817

Resource Management techniques. Effective resource management can

assist managers, planners, and crisis management
Resource management can be defined as the art teams to minimize the possibilities of underperfor-
and activity of efficient and effective use of insti- mance by maximizing efficiency, even at difficult
tutional or organizational resources in response to times, to achieve the organization’s objectives.
and anticipation of need. Resources as a term cov-
ers a range of items, including tangible resources Human Resources and Crisis
such as an organization’s equipment, human Research has shown that one of the most critical
resources such as employees, and also volunteers resources for both for-profit and nonprofit orga-
within charitable organizations and nonprofits. nizations is their employees. In fact, one of the
Further to this, resources may include intangible biggest expenditures of an organization is that
aspects such as ideas relating to the timely avail- of salaries and related expenditures in efforts to
ability of resources or when they need to be used. keep employees in an organization or project.
Managing resources when a crisis is triggered This may explain why reputable companies such
by risks is even more challenging, as the need sud- as Google place much effort on this by the provi-
denly arises to make urgent and timely decisions sion of a workplace culture that promotes effec-
to eliminate or minimize the undesirable effect, tive employer-employee relations. In addition to
and impact, of a crisis. Despite good planning, employees, volunteers constitute part of human
extrapolation or forecasting external or internal resources and are of equal importance to employ-
circumstances beyond one’s control may threaten ees within charitable organizations. Indeed, the
the availability of resources for the effective and effective use of human resources is the lifeblood of
efficient implementation of a project or bring it to an organization or business. Employees are effec-
a catastrophic end. tively the public face of an organization. Effective
resource management will not end at the recruit-
Challenges: External or Internal ment of persons into an organization or business
Thus, every organization, whether business or but, more importantly, it will work for creating an
nonprofit, needs to be effective and efficient in environment for enabling synergetic interactions
managing resources if it is to successfully achieve that are likely to yield effective decision capabili-
its mission or have a competitive advantage in its ties in a crisis situation within the organization.
market. Similarly, any initiative or task planned or Thus, effective human resources management in
undertaken by organizations in the form of a proj- a crisis entails assessing, planning, training and
ect or a task cannot be deemed successful unless professional development, and an oversight of
serious consideration for sustainable, timely, rele- employees’ work-life balance needs.
vant, cost-efficient, targeted, and appropriate use
of resources has been made. Resource estimation, Financial Management
supply, and project human resource management Finance as a resource plays a very critical role in
are critical to organizations’ operations. Yet it is organizations or projects. Cash flow and avail-
also true that even the best planned and rehearsed ability of funds for a project or organization are
project may abruptly face crisis and falter at the critical to every organization’s performance and
first hurdle, triggered by system failures. Contin- survival. An organization suddenly encounter-
gency plans, though extremely important, may ing unforeseen poor cash flow in its system may
not always provide the desired outcome, as these encounter a very serious threat to its survival or
are normally developed with certain assumptions. the survival of projects it is managing.
As a result, projects or organizations facing cri- In an attempt to maximize project and pro-
sis in resource management may descend into an gram performance, effective organizations aim at
undesirable set of events that may prove finan- minimizing costs in the knowledge that, if these
cially catastrophic and damage an organization’s were left unchecked, they could trigger a cash
reputation. The discussion below identifies some flow crisis. Having a financial contingency scheme
of the tools for resource management and also alone does not necessarily translate into insur-
gives the rationale for utilizing these tools and ance against crisis. The reason for suggesting that
818 Resource Management

contingency planning does not necessarily lead to exercises somewhat futile. It is during these sud-
a crisis management strategy is that contingency den and critical points in time that crisis man-
planning involves a fair level of assumption built agement plans, coordination processes, informa-
in at the beginning of a project or program relat- tion acquisition, and systems and team synergy
ing to what might happen. The realities of crises become especially critical in appreciating internal
are more complicated than neatly assumed crisis and external interactions and processes.
scenarios prior to a project commencing. Finan-
cial managers will, for example, work with some Strategic Planning
employees or a project team to identify the most Another important aspect of resource manage-
cost-effective way to manage resources, including ment is how to engage in activities at the present
capital, development, or operating costs. point in time to address goals that are likely to
Whether it is a charity or a business making arise in the future. This may require critical deci-
risky investment decisions, there are potential sions such as identifying the type of activities to
threats to the very mission and aim of an organi- fund, at what level, and which aspects are likely
zation. Prior to the recession at the end of the first not to need immediate funding or funding at all.
decade of the 21st century, for example, a num- Further to this, alongside this type of planning, dif-
ber of local government authorities in the United ficult decisions are made, including, for instance,
Kingdom had made investments in what looked to start making critical decisions relating to the
like robust investment funds in some institutions type of activity that may need to be left out in
in Iceland. As economic problems plunged Iceland the event that the funding is inadequate. Although
into financial troubles, in particular from about strategic planning is important, it does not remove
2008, questions relating to resource management the need for crisis management planning. Strategic
with regard to investment decisions started to be plans for resources are themselves forecasts of situ-
raised by the general public in the United King- ations at some point in the future. They are at times
dom. It soon became obvious that some local approximate assumptions of the project or organi-
government authority investment committees had zation but are unable to take into account external
not seriously considered crisis management issues and internal unexpected situations.
prior to the investment and these were threaten-
ing to impact public trust in the local authorities. Resource Leveling
This is a resource management technique that aims
Resource Allocation to ensure a realistic balance between resources on
Any project or program requires some resource hand, minimizing the unwanted events of short-
allocation. Resource allocation involves identify- ages and inventories. This may also entail some
ing and allocating resources in an economic man- level of the demand of the required resources as
ner that is critical to an organization’s ongoing well as estimating as far as possible the require-
projects, programs, and wider commitments. The ments into the future. The whole purpose is to
rescheduling of activities and identification of meet maximum utilization, achieving maximum
resources, taking into account time frames for the levels of services while minimizing costs. Even such
project, and the levels and type of resources avail- plans are not immune from being derailed by unex-
able are some of the central pillars of resource pected crisis. Thus, preparing for how to prevent
allocation. In order to deal with pressure points any unexpected situation from descending into a
during project implementation, an effective proj- disaster within a project or organization is crucial.
ect team needs to assess resource allocation. In
project management, the use of a critical path Nongovernmental Organizations
analysis is likely to indicate when and where Nongovernmental and voluntary organizations
resources will be needed and when, roughly, work involved in development and humanitarian work
will stall without particular resources. Yet with all have sometimes been known to be complacent in
this planning and use of tools such as awareness using resources and therefore unable to meet the
of critical path analysis, there may be unexpected needs of their donors effectively. It has been sug-
events that might render resource allocation gested that when a disaster happens, the urgent
 Resource Management 819

need and appeal for humanitarian aid in the form project or organization if negligence prevails;
of funds, food, and nonfood items have often been this can be reason for a tarnished reputation for
undermined by criticisms of the way resources are some projects or organizations. For this reason, it
utilized. As expected, because of heightened sen- is important and critical that crisis management
sitivities associated with new disasters, it is often strategies take into consideration issues about the
difficult and rare, particularly in the first stages organization or project interface with sustainable
of disaster response, to question the management development or corporate social responsibility
of funds, food items, and nonfood items being obligations. Doing so can save much damage that
donated for these purposes. However, there has can otherwise arise from unforeseen crisis situa-
been growing interest in the efficient and effective tions arising from public concern about an orga-
use of humanitarian relief in the past two decades. nization’s use of natural resources.
The availability of relief supplies in field hospitals
following a disaster does not indicate the effec- Conclusion
tiveness of the particular humanitarian organiza- The above discussion is by no means exhaustive.
tion. Questions that might justifiably arise here are In conclusion, crisis management planning and
whether the supplies available are consistent with preparedness in relation to an organization’s or
the emerging needs brought about by unexpected project’s resources are themselves hallmarks of
turns as the primary or initial needs of a disaster good business practice. Despite good planning,
are being addressed. It may well be that supplies projections, and forecasting, sudden events can
initially deemed appropriate or prepositioned for overwhelm an organization and culminate in a
a particular place may suddenly prove wholly catastrophe, either financially or in terms of repu-
inappropriate because of the nature of the need. tation. Designing crisis management mechanisms
Following the 1994 Rwanda refugee crisis, a num- and frameworks either for reputational or busi-
ber of international organizations responded with ness continuity management reasons requires an
humanitarian supplies. Although this was a natural understanding of and ability to implement robust
response expected of relief organizations, it soon information and communication processes and
became clear in the field that poor assessments had systems that can support decision making during
been made in places where the humanitarian sup- crisis situations. Indeed, team cooperation, train-
plies were being delivered. Indeed, in Kigali there ing of staff, and transferability of crisis manage-
was oversupply of one type of supplies that would ment strategies from one situation to another may
have been more beneficial elsewhere in the country need thorough reflection. They may also involve
and appropriate to the real needs on the ground. a general framework around which a crisis team
Critical to resource management are key issues may base its response to a resource crisis.
around information systems, the nature of inter-
actions between a range of staff or actors involved Martin Nthakomwa
in managing organization or project resources Coventry University
directly or indirectly. Robust collaboration among
humanitarian organizations may, for example, be See Also: Contingency Planning; Preparedness;
beneficial in times when the organization itself is Resource Collapse; Response; Strategic Plans;
experiencing a crisis. Supply Chain.
Crisis management plans may be useful if, for
example, they address issues around the decision- Further Readings
making processes, and the nature of interactions Brichieri-Colombi, Stephen. The World Water Crisis:
internal to and outside the organization, and draw The Failures of Resource Management. London:
some standardized frameworks for approaching I. B. Tauris, 2009.
and dealing with crisis. Kanki, Barbara G., Robert L. Helmreich, and José M.
It would be perhaps misleading to discuss Anca. Crew Resource Management. Amsterdam:
resource management without mentioning natu- Academic/Elsevier, 2010.
ral resources. Natural resources are critical as Protracted Refugee Situations Project. http://www
inputs to an organization’s production within a .prsproject.org (Accessed March 2012).
820 Response

Response of food supply availability, resulting in severe food

shortages and hunger that may result in the need
Response refers to the activities undertaken to for emergency food aid, including Ready-to-Use-
counteract the further escalation of a set of events Therapeutic Foods (RUTF) to combat malnutri-
that potentially leads to crisis or disaster. The tion. Thus, emergency relief is part of response.
single most important issue at this point in time
ceases to be about planning for some once-distant Why Study Response in Crisis Management?
and unknown disaster; instead, the focus at this It would be pointless to discuss response in crisis
stage is to ameliorate the worst effects of an emer- management unless one first reflects on a range of
gency crisis or disaster situation. For this reason, reasons why this subject is important, including:
response will comprise activities, often attempts
or interventions, aimed at changing the trajectory • It is human instinct to try to save lives,
of a worsening situation. protect property, and sustain services in the
Crisis makes response necessary. Response-— midst of a crisis.
the actions taken to minimize damage—has to be • Haphazard approaches to and during
managed. This has resulted in the growth of crisis disasters can be very resource-consuming
management studies in recent years. Crisis man- as responders devise the most effective way
agement, popularized by former U.S. Secretary of out of the crisis; therefore, well-managed
Defense Robert McNamara, refers to the manage- response activities are important.
ment and coordination of activities meant to coun- • The acknowledgment that there will always
teract threats or harm with a view to saving lives, be disasters and the need to respond to
property, services, reputation, or image. Thus, them efficiently and effectively.
staff members of organizations and sometimes of • The reputation of governments, emergency
communities who act and react to minimize the response organizations, and agencies can
worst excesses of harm are called “responders.” either be damaged or restored depending on
An outbreak of a deadly disease pandemic will the level and quality of services offered to
need some response involving the mobilization the affected community during crisis.
of paramedic or medical personnel. An earth- • There are high expectations from victims,
quake disaster of high magnitude striking a city affected communities, and the international
may destroy buildings in the affected area, and communities regarding the need for a high
thousands of people may have been buried under level of competency in delivering services.
the rubble and debris or sustained injuries from • There is a growing body of evidence
falling masonry. Faced with these sets of events, from studies demonstrating that although
it becomes imperative for search and rescue dog crises cannot be totally prevented, aspects
handlers to be involved in saving survivors. Thus, of events during crisis situations can be
it may be necessary to set up field hospitals to cope influenced.
with the high demand for medical services. During
disasters, Critical National Infrastructures (CNI) Responders, Communities, and Institutions
such as electricity and water supply systems may The immediate reaction to emergency crises or
have sustained severe damage or been severely disasters by most national governments, non-
compromised, such that closing some facilities governmental organizations, agencies, communi-
down until they can operate safely may be neces- ties, and individuals is to engage in some kind of
sary to minimize the worst effects of the disaster. A response activities. Local communities in many
plane suddenly disappearing from the radar screen parts of the world often respond immediately to
may necessitate appropriate emergency response human suffering within their own area. Often dur-
in case the plane has crashed. A house or forest ing emergency crises, such as flooding, food short-
catching fire may need fire engines to stop the fire ages, or earthquakes, local communities are the
from spreading. A region that had experienced first to engage in or launch some kind of response.
prolonged periods of drought may suddenly dis- There is some evidence, for example, that in areas
play a dramatic change for the worse in the state prone to earthquakes, including parts of Turkey,
 Response 821

A Haitian boy watches as inflatable boats from U.S. Navy amphibious dock landing ships arrive ashore at the New Hope Mission at
Bonel, Haiti, January 19, 2010. The ships were part of Operation Unified Response, a joint humanitarian assistance mission to the
island nation that was devastated by an earthquake on January 10. The large-scale, highly funded international response involved a
wide range of actors with varying degrees of experience in humanitarian response, urban crises, and coordination.

Iran, and Pakistan, when a disaster strikes, a has significantly lost its traditional visibility and
significant number of survivors have often been recognition. In recent years, there has been a
recovered from the rubble by local communi- heightened emphasis on efficiency and effective-
ties themselves in advance of external assistance ness in managing crisis. The term efficiency in
being mobilized. Indeed, in certain cases the first its general sense means assessing and determin-
hospitality and supplies, though sometimes mod- ing the extent to which inputs such as materials
est in quantity and quality, come from either the and labor directed, in this case, toward a crisis
affected or neighboring communities. can bring about the desired or near-desired out-
Although the discussion above acknowledges come. Another factor that has been suggested
tendencies of instinctive response efforts to crisis for the push toward professionalization of crisis
events from within communities, people’s initial response is effectiveness. Effectiveness as a term
behavior in such events within an institutional refers to the impact likely to be achieved by a set
context is not radically dissimilar. Just as is the of actions.
case within a community setting, response to cri- Both the above-mentioned terms, effectiveness
sis in institutions is characterized by individuals and efficiency, derive from management thinking,
instinctively taking steps to manage crisis. which has been critical in shaping modern crisis
response. The concept of management has gener-
Professionalizing Response and Frameworks ally been described as the processes and systems
The increased trend toward professionalization in for mobilizing, directing, commanding, and orga-
crisis response has meant that the invaluable con- nizing both human and physical resources within
tribution to crisis by communities and individuals an institution or organizational context aimed at
822 Response

delivering intended objectives. Wherever manage- example, emergency disaster planning and
ment as a science or art is discussed, factors around devising policy frameworks and systems for
planning, control, communication, forecasting, minimizing disasters.
coordination, and motivation are regarded as • Prodromal stage: This is the stage of birth
crucial to success. Yet emergency crisis seem to be pains, when evidence may be building of
the antithesis of planning and control when one impending crisis. At this stage, normal
considers the element of surprise attributed to planning and extrapolations previously
emergencies, whereby response to crisis is gener- directed at some possible future disasters by
ally undertaken in haste. The growing consensus emergency staff ceases, and signs of trouble
in the past few decades, however, has been that on the horizon are evident. Most crises have
crisis response needs professionalization through warning markers or indicators.
embracing relevant managerial perspectives and • Emergency stage: This is perhaps the most
tools to inform response to crisis. publicized stage of a crisis, the period when
Incident response, from a crisis management response actions must happen, the last-
point of view, can be appreciated by examining minute chance to avert the course of events,
the theory that underpins disasters and crises. a period “when heroic stories are conceived,
On the surface, it may seem that response is an heroines and heroes are made or born,”
isolated activity that entails reacting to incidents. as the media has a heightened interest in
As crises and disasters seem to be sudden occur- covering stories at this point, more so than
rences, some may argue that poor decision making at any other stage in the disaster trajectory.
during response needs to be tolerated. After all, This is a period when reputations of an
information gleaned during the initial stages of a organization or government can either be
crisis or disaster is often patchy and sporadic. Yet made or drastically destroyed.
there are known issues regarding competencies • Post-emergency stages: This is the period
in crisis response that have been researched over of rehabilitation and restoration of critical
decades and challenge the view that the apparent community services, when people want to
suddenness of disaster incidents need not neces- move on and resume normal lives.
sarily lead to poor decision making. Although
there is indeed some justification in suggesting Some understanding of issues and the trajec-
that natural and human-made disasters can have tory around crises can be beneficial to incident
a large degree of unpredictability, there increas- crisis management during incident response.
ingly are studies which suggest that response can Some necessary strategic actions undertaken dur-
be managed effectively. There is an overwhelming ing the pre-event stage, for example, may posi-
consensus among researchers that disasters gener- tively help by minimizing the level of risk involved
ally follow a certain trajectory and that appreciat- during response and bring some stability. Systems
ing this contribution to crisis management theory designed in normal times may prove vital launch-
has the potential to minimize damage and shape ing pads for response when disaster strikes, and
response. An approach that takes into account information gathered and communication systems
the knowledge of events leading to a disaster is designed during pre-event and sometimes prodro-
likely to be effective and to add value to profi- mal stages may compensate in some way for gaps
ciency during response. Crises and disasters have normally experienced during the response stages.
been known to roughly follow or have an element
of the stages detailed below: The World Food Programme
Perhaps it is important to illuminate crisis man-
• Pre-event stage: Before the emergency agement response by briefly examining some of
crisis stage can be reached, normally there the most effective institutional machinery that
is a period of relative or perceived calm. operates in many parts of the world. The United
During this stage, effective organizations, Nations’ World Food Programme (WFP) is the
institutions, and governments will focus on world’s largest humanitarian response agency
strategic and macro issues including, for and has proved extremely efficient and effective,
 Response 823

operating 60 aircraft, 40 ships. and 5,000 trucks WFP opts to temporarily draw from food that
every day. The agency has rapidly, effectively, was initially meant for development aid and
and constantly delivered food assistance during replace it when the emergency stocks arrive. In
emergencies worldwide. Within 24 to 48 hours, addition, considering that countries are encour-
the WFP has the capability and systems to deliver aged to plan for reserve food stocks, the WFP
food assistance anywhere in the world. When one engages in advance bilateral agreements with the
examines the World Food Programme, it becomes affected governments and can therefore utilize in-
clear that the efficiency and effectiveness of the country food borrowing facilities and agreements
agency do not merely start and end at delivery to address emergency crises. Such arrangements
point. The WFP crisis management strategy to and the opening of such options enable WFP to
support emergency response is coherent, well be versatile when a crisis emerges. These advance
integrated both within WFP internal teams and arrangements are vital for counteracting hostile
horizontally within the agency’s interaction with field and operational conditions that can conspire
response partnership arrangements that together, to create catastrophic failures or multiple failures
in their totality, consistently deliver. WFP works in WFP’s operations.
with about 3,000 nongovernmental organizations Crisis situations can present a complex set of
at local and international levels. problems that may go beyond the internal capa-
The World Food Programme engages in a bility of an emergency responder. Indeed, critical
proactive strategy to manage emergency crises. aspects of emergency, such as port operations and
Through its logistics unit, the Augmented Logis- repair of critical infrastructure including road or
tics Intervention Team for Emergencies (ALITE), airstrip repairs, have a high potential to signifi-
the agency pursues an evidently agile coordina- cantly hinder or halt crisis response. Thus, WFP
tion and communication strategy. Indeed, the unit has standby arrangements with governments and
comes into its own when it becomes necessary to nongovernmental organizations to help provide
coordinate civil and defense assets to overcome the required logistics when called for. WFP also
logistical bottlenecks in humanitarian emergency engages its logistics network, the United Nations
operations. ALITE ensures that coordination and Humanitarian Response Depot (UNHRD), to
communication are effective and efficient among serve itself and the wider humanitarian community,
the range of entities and ensures interoperability enabling it to organize depots for prepositioning its
of its strategies in a range of contexts. As an orga- humanitarian supplies and supply equipment. This
nization that is aware of its mission and the loss facility has enabled WFP to strategically engage
of confidence and reputation that crisis can bring, hubs, whereby supplies and supply equipment are
it carefully plans and makes reliable assessments placed at a range of locations worldwide, including
for crisis and is able to discern and even negotiate in Malaysia, Panama, Italy, United Arab Emirates,
the unavoidable differences in characteristics of and Ghana, providing the agency with the required
one crisis response situation from another. flexibility during crisis.
Considering that the lead time—the period Examined as a whole, the WFP strategy is
it takes to deliver food aid from collection of coherent and operates well because it recognizes
food from donors (and markets) to reach those possible bottlenecks internally and externally.
in need—is about four months, the WFP enlists WFP’s success partly lies in the timely auditing
quicker solutions by obtaining emergency food of its capabilities and its ability to take appropri-
stocks. Aware that delays during crisis moments ate actions both in advance and in real time to
may cost lives and the agency’s reputation, the address gaps. Thus, for example, surge capacity,
WFP engages “virtual food stocks.” The agency the ability to deploy enough resources on short
assesses a range of options including utiliz- notice, is well monitored and managed. Indeed,
ing prepositioned stocks afloat reserves, which alertness in managing surge capacity, coordina-
involves directing food from the 200 to 250 ships tion, communication, knowledge dissemination,
it charters each year. These reserves can be redi- and strategic maneuvering of supplies and supply
rected to a range of locations in the world to equipment are the hallmarks of an effective and
parts of the world affected by famine. Sometimes efficient crisis management organization.
824 Response

Tanzania and Sub-Saharan Africa witness some fire engines; at the hospitals, where
Further appreciation of the challenges in crisis one can witness some ambulances; at police sta-
management can be found by examining another tions, where police duty response vehicles are evi-
case study that may assist and help provoke dent; and at the seaport of Dar as Salaam, where
policy makers and crisis managers to engage in there is some response capacity. Outside these
further reflection. Most countries in the southern identified organizations and places, one realizes
African region became independent nations in the just how inadequate the configuration of crisis
past four decades, and since then their focus has response services is within Tanzania.
been on development. The region is witnessing The above-described circumstances point to a
rapid urbanization and population growth, with range of weaknesses in both crisis management
half of the population expected to have migrated planning and resourcefulness characteristic of
to urban areas by the end of the first quarter of many countries in sub-Saharan Africa, including
the 21st century. Spiraling slums punctuated by Tanzania. It seems that most countries, except
unplanned housing are becoming characteristic parts of the Republic of South Africa, are under-
of many of the towns and cities. Poorly enforced prepared for managing emergency crisis situations.
planning and building regulations have resulted Interestingly, lack of enforcement of planning and
in buildings collapsing and incidents of fire. Pres- building regulations, the large populations in cities
sures on transportation systems are evident, and resulting from urbanization, the critical need for
government enforcement and regulation of these public transport, and the chase for development
systems in the region has been patchy and spo- without comparable systems to counter risks all
radic. In the meantime, natural and human-made conspire to increase risk hazards in these coun-
crises are commonplace. In the past decade, there tries. Upon close examination, there is also some
have been fire incidents in supermarkets in Nai- evidence in Tanzania, as in many other African
robi, Kenya; capsizing boats in the Democratic countries, of fatalistic tendencies in which “acci-
Republic of Congo and Tanzania; and flooding in dents” are sometimes attributed to be unavoid-
Uganda, Kenya, Tanzania, and Malawi. Against able, uncontrollable, and merely acts of God.
this background, there is evidence of a lack of
adequate enforcement of marine laws and road Tsunami Evacuation in Dar es Salaam
vehicle regulations, along with a general lack of A specific case of incident response that occurred
preparedness with regard to crisis management in April 2012 in the city of Dar es Salaam, the
in most of the southern African countries. Even capital of Tanzania, underlines some marked
worse is the quality of incidence response when shortcomings in the city’s disaster response mech-
crisis occurs. anisms. A tsunami alert had been issued by the
One case study of an incident in the Dar es international community regarding what was
Salaam region of Tanzania sheds some light on les- perceived as a tsunami similar to the devastating
sons learned from crisis management. The main- 2004 Indian Ocean earthquake and tsunami. Tan-
land of Tanzania has experienced a different set zania, and in particular Dar es Salaam, seemed
of crises within the past three decades. The most to be particularly vulnerable to flooding waves,
notable crises that have faced Tanzania have been as the city is on the shores of the Indian Ocean.
the terrorist attacks at the U.S. embassy in Dar About three to four hours prior to the time the
es Salaam in August 1998 and the military dump wave was roughly projected to hit the shores,
related explosions in 2009 and 2011. In addition, social networks and local radio stations started
two ships sank within months of each other in announcing an impending tsunami, rather than
2011 and 2012. The country has also faced flash broadcasting warning messages. This immedi-
flooding, but like many African countries, there ately heightened the sense of danger and panic in
has been evidence of neither early warning sys- the city, and immediately tension began to show.
tems nor emergency response mechanisms. Like Despite having been in a similar situation during
many other sub-Saharan countries, it would seem the Indian Ocean tsunami in 2004, it was apparent
that some kind of emergency preparedness is that lessons from that earlier crisis had not been
somewhat visible around airports, where one can sufficiently learned and that disaster forecasting
 Response 825

and recovery planning had not been undertaken attempts by parents to unite with members of
to manage such a crisis efficiently. their families, most commonly their children who
Dar es Salaam was soon gridlocked, as traf- had been attending schools near the seafront. This
fic headed in every direction, not necessarily the attempt to unite parents and their children was
expected direction, away from the sea. Like many compounded by the schools’ lack of knowledge
cities in the world, during most weekdays traffic about how to manage this situation and evacu-
flow is problematic in Dar es Salaam. Following ate to safety. Similar responses are common in
uncoordinated messages about the imminent and many disaster crisis situations in which commu-
unknown effects of the warning was self-evacua- nity disaster response planning is not undertaken
tion, which became haphazard and wholly cha- in advance of disaster crisis. Contrary to what
otic. Compounded by patchy, incomplete pieces would have been expected in such a situation,
of information from somewhat distant memo- parents were in effect heading in the direction of
ries of the destructive effects of the 2004 Indian the wave on their way to pick up their children
Ocean tsunami, the uncoordinated evacuation before evacuating together.
turned into yet another hazard by itself and there- Upon examination of the situation, there were
fore was counterproductive to crisis response. As issues that were seriously counterproductive to
people attempted to flee from impending danger, effective response in a crisis, including:
they disregarded traffic lighting systems, and as
a result, traffic on city roads became gridlocked; • Planning: The area lacked a clear
not enough traffic personnel had been mobilized framework to guide crisis management.
to manage the crisis. • Early warning systems: There was no
In Dar es Salaam, there was evidence of neither evidence of ability to forecast the crisis or
an evacuation plan nor effective response mecha- of effective early warning systems.
nisms. During a crisis management situation, it • Transport: Most people in Dar es Salaam
would be common to engage in vertical evacu- using public transport and private taxis
ation, by which potential victims are relocated could not be expected to engage in
from threatened parts of a city or area to upper evacuation because of heightened fear.
areas of the same physical structure. Alternatively, Transport should have been arranged by
responders may engage in site evacuation or hori- authorities, which would have led to more
zontal evacuation, by which potential victims efficient and timely evacuation.
threatened by an isolated social incident are relo- • Traffic control: In normal times, there are
cated to a structure or place less threatened by the traffic jams. Given the context and fear of
incident. Thus, one should have expected some the tsunami, mobilization of large numbers
advance planning for either emergency shelters (the ability to manage surge capacity) of
or temporary shelters. Emergency shelters, some- emergency and crisis-trained traffic officers
times known as shelters of last resort, are planned would have been beneficial for managed
to be occupied on a very short-term basis lasting evacuation.
a few hours, whereas temporary shelters may be • Meaningful warning systems and messages:
appropriate for stays lasting a few hours to about Although messages were available in
two weeks. It may also be that community evacu- some media sources about the impending
ation, whereby whole populations move from tsunami and its possible effects on Dar es
the vulnerable area, in this case the city of Dar Salaam, the messages were incomplete,
es Salaam, to another tsunami-free area would as the community received information
have been appropriate. These are decisions that from multiple unofficial sources, and
trained responders may need to make depending this information could not be properly
on information available to them. acted upon. Critical questions were
The tsunami alert evacuation in Dar es Salaam left unanswered by self-evacuating
was compounded by other factors prevalent in communities, such as: Where should those
poorly planned disaster situations. Contribut- evacuating be heading for safety? Who
ing to the chaos and traffic jam in the city were would help them with issues regarding
826 Response

transport in a city where the majority community and the emergency services were not
of people do not have their own means resilient to disasters, and their vulnerability was
of travel? Where would people obtain tested with the tsunami scare.
additional information relating to their Every organization, government, or com-
particular needs if required? How and munity needs to learn from a disaster. There is
where would people obtain updates? What mounting evidence to suggest that the emergency
should they have done if they had been team in Dar es Salaam has been learning from the
separated from family members or their disasters in recent years and continues to do so.
children are at school? In 2012, the region’s Multi Agency Emergency
Response Team (Dar MAERT) was founded;
Fortunately, the tsunami flood and waves did this multiagency team aims to set up an incident
not materialize in Dar es Salaam in April 2012. response center in Dar es Salaam. Attempts are
However, what this situation did expose was the being made to model this center along the lines of,
weakness in crisis management systems within or with some characteristics of, the National Inci-
the Dar es Salaam region. The situation also high- dent Management System in the United States,
lighted possible post-evacuation shortcomings. which is more integrated and effective. Despite
scarce resources, there is strong evidence of the
Learning From Crisis determination by Dar MAERT to ensure that an
Effective crisis management response systems effective emergency system is implemented.
have certain vital characteristics. Responders Crisis response in the sub-Saharan region as a
from a range of contexts need to share the full whole would perhaps be more effective if there
picture relating to their frameworks for incidence were panregional agreements, like in the Euro-
response, both strategic and operational. Indeed, pean Union countries, whereby each country
an important aspect of incident response, par- would provide resources and expertise that would
ticularly where many entities are involved, is to be shared by all countries during emergencies
ensure interoperability of management and com- within the region. It would also be beneficial to
munication systems. engage communities in crisis and disaster recov-
As for Dar-es-Salaam, the sharing of the emer- ery planning. Indeed, crisis response knowledge
gency response picture is less evident and per- need not necessarily be an exclusive preserve of
haps obscured. It would seem each responder the professional responders.
was engaged in offering isolated and disparate
response services. The most effective solution Success and Response
would have been an integrated emergency system. In conclusion, the science or art of managing cri-
Furthermore, the framework for meeting costs ses, emergencies, or disasters is one that demands
(budgets) and sharing resources for emergency strategic and operational approaches that can
response had not been devised, and therefore it carefully translate into effective responses when
was not clear how any response activities would required rather than relying on ad hoc solu-
be shared and funded during the tsunami scare tions. It would seem that whether in an orga-
in order to unlock operational, communication, nizational or community setting, the outcome
and coordination needs. Close examination of of incident response can partly be attributed to
various parts of the emergency systems in the Dar strategic actions previously undertaken within
es Salaam region also displayed tendencies that the organization or community as part of disaster
did not seem to foster sustainable mobilization of preparedness.
resources at different levels within the city to pre- Every crisis situation is different. Every crisis
pare to engage in effective emergency response. response is impacted by both the time and con-
There were hardly any visible systems equipped text of the incident. Response to a crisis in a cor-
with both technical and operational proficiency porate context in which an information system
to promote disaster preparedness at both pro- has crashed will be different from a crisis related
fessional and community levels. Examined from to a humanitarian context during famine. Crisis
another angle, it may be argued that both the response in a failed state ravaged by war and with
 Response Team 827

no working government structures will present must be documented and clearly defined. The staff
additional and sometimes totally different vari- should be trained in what is expected of them to
ables to responders. However, there is a thread enable the team to get on with the tasks of recovery
that runs through all successful crisis response and not spend time trying to work out what their
teams, and this includes effective communication role is in a crisis situation. Each team should have
and information systems, effective coordination nominated deputies for each role; depending on
of activities, integrated response mechanisms, the size of the organization, it may only be possible
timely actions that will in turn save lives and ser- to have a deputy for the team leader. In the event
vices, clear decision-making systems, and a degree the team leader isn’t available for whatever reason,
of flexibility, as incidents can be unpredictable. a deputy can enable the recovery to start without
the leader. It is also good practice to have admin-
Martin Nthakomwa istrative support, in both the strategic and tacti-
Coventry University cal team, in order both to handle large amounts
of information without being overrun by it and to
See Also: Backup Facility; Command and Control; act as an audit point. Decisions will be made on
Coordination; Crisis Communications; Decision the basis of the information available, and if, in
Making; Early Warning Systems; Emergency the worst-case events, where staff are injured in
Management System; Emergency Operations Center; the disruption or in the recovery operation, it may
Warning. be necessary to justify in a court of law why those
decisions were made, so audit is vital. Having this
Further Readings information available will help in that, and it will
Haddow, George D., et al. Introduction to Emergency also allow replacements—at the of end of the day
Management. 4th ed. Burlington, MA: Butterworth or when a process break is taken—to understand
Heinemann, 2011. what’s happened and to assess where the company
Howitt, Arnold M., Herman B. Leonard, and David is in the recovery process.
Giles, eds. Managing Crises: Response to Large- In incident management, there are three types
Scale Emergencies. Washington, DC: CQ Press, or levels of recovery teams: strategic (gold), tacti-
2009. cal (silver), and operational (bronze). Each team
Stein, Matthew R. When Disaster Strikes: A and its responsibilities are as follows.
Comprehensive Guide to Emergency Planning and
Crisis Survival. White River Junction, VT: Chelsea Strategic (Gold) Team
Green, 2011. The strategic (gold) team is made up of very senior
World Food Programme. “United Nations World Food management, with the chief executive officer
Programme: Fighting Hunger Worldwide.” (2012). (CEO) or the managing director (MD) at its head.
http://www.wfp.org (Accessed September 2012). This team must not only keep in mind the nature
of the disruption and the recovery efforts that are
ongoing but must also keep an eye on the bigger
picture: What effect is the disruption having on
the image of the company and its market share?
Response Team The strategic team must determine the policy that
will drive the recovery and also how the media
In their simplest form, recovery teams are teams of are managed. It will have to establish the recovery
staff who have a role in the recovery of a business in objectives, not just at ground level, but also how to
a crisis event. They have certain skill sets that make turn this disruption to their advantage by showing
them a key component in any business continuity the world and its customers, and those customers
or crisis recovery plan. Their skill sets may be site, of other companies, a successful recovery. These
or even process-specific, or they could have general strategies need to be worked out in advance and
skills that, if used well, will enable the recovery of adapted to the specific disruption that the com-
business mission-crucial activities. In order for this pany is experiencing. A list of areas that this team
to happen, the role of the team and its members should be looking at would include the following:
828 Response Team

Communications, both internal and external: name. These are all strategies that may be needed
If the staff do not know what is happening, they in the event of a disruption. There is a saying that
will not be able to help; they should be informed necessity makes strange bedfellows—the com-
in such a way as to ensure they follow what is in pany may have to do business with those who, on
their business continuity plan, but also in a way a normal day, are competitors.
that does not unduly alarm customers and stake-
holders. Managing the media is a highly skilled Financial oversight: In any disruption, the reac-
profession; there are many companies where the tion may be to rush to throw money at the prob-
disruption has being made worse by the CEO say- lem with the hope that money will solve the
ing something he/she should not say on national problem instead of taking a step back and seeing
TV. An agreed statement should be prepared for what the disruption is. It is a fact that money will
the press; once the statement is given, no ques- have to be made available to the recovery team
tions should be answered. These holding state- in line with the operational need and the recov-
ments give out limited information to the press ery strategy, but good governance where financial
and enable recovery staff to run the recovery. payment is involved is a must. The disruption is
someone else’s opportunity without good gover-
Approving significant expenditures: In any disrup- nance and financial controls in place.
tion, there may be a need for more resources and
people, information technology (IT), buildings, Legal obligations: Even in a disruption, no matter
desks, chairs, and so on. It doesn’t really matter what the cause may be, all laws must be obeyed.
what it is—there will be a cost involved in acquir- This applies not only to laws concerning the
ing it. A business, any business, only really does health and welfare of staff but also to any day-to-
one of two things: (1) it makes money or (2) it loses day laws that govern how the business is run. No
money. In a disruption, not only is there disrup- disruption or disaster removes the requirement to
tion to the customer base, but also the cost of the follow the law. The company does not want to
recovery must be met, unless there is insurance for have a successful recovery and find the business
disruption. If there is insurance, it must be certain or MD being taken to court because they did not
that the insurance is effective immediately at the comply with the law. This is why it is important
start of the disruption, not 24 hours later. to plan and test the plans so these things don’t
happen. The goals of the strategic team are to
Monitoring progress: There will be updates from look after the long-term future of the business, to
the tactical team chair about how the recovery is release funds to enable the recovery teams to do
going and whether there is anything that needs to their jobs, and to reassure staff and customers.
be done. For example, does the CEO or MD need
to make a statement to the press? Do they need Tactical (Silver) Team
to phone key customers and reassure them that The tactical (silver) team is made up of managers
the recovery is on track and that their services or and is led by a senior manager. The job of the tac-
products are being recovered? If the disruption tical team is to manage the recovery and to make
does not affect them at all, it is good practice to sure the business continuity plans that are in place
inform them so that they are not wondering what are running and that staff and the business mis-
is happening and thinking of moving to another sion-critical activities are being recovered. The
business. tactical team reports to the strategic team on the
recovery process and asks for any resources that
Identifying opportunities: As both the tactical the operational team has requested. It also moni-
and operational teams will be busy running the tors and helps coordinate the recovery process
recovery, it will be up to the strategic team to find and, where necessary, change the recovery priori-
other resources that may be needed. This may ties depending on how the disruption develops;
involve going to different suppliers who may be if it is an ongoing event, there may be a need to
able to fulfill the company’s order book, or deliver revise the priorities of the recovery. In order to do
a service to one’s customers under the company this, the team needs to monitor the information it
 Response Team 829

is receiving both from the recovery teams and all the company’s business impact analysis (BIA).
other sources of information, such as the media. Some of these staff will be at the site of the disrup-
The tactical team also needs to monitor the busi- tion, and others will be at the work area recovery
ness continuity teams to ensure that they are up site ensuring that the business continuity teams
and running. The tactical team in effect runs two have all the support services they need to run the
projects at once, one being the work area recov- mission-critical activities that will keep the busi-
ery (WAR), the other dealing with the effects of ness going in the early stages of the disruption.
the disruption, be it a loss of site or an IT failure. Because disruption is out of the normal day-
Most decisions that do not involve the board or to-day life of most of the staff, these events will
strategic team will be made by the tactical team. put both managers and staff under large amounts
This means that the makeup of this team can of stress; therefore, each team and each person
change as the disruption develops. At the begin- within that team will need a backup. One reason
ning of the disruption, when there is limited infor- for this is to cover the duties if the appointed man-
mation as to what has happened, managers from ager isn’t at work or is on holiday when the dis-
IT, human resources (HR), security, and legal may ruption happens; a deputy is needed to enable an
be needed, but as the disruption develops and immediate start to the recovery process. Also, the
there is better understanding of the events, then disruption may last a few days or even weeks, and
these managers may not have the right skill sets. at some point managers will have to go back to
If, for example, the disruption is the loss of a data managing their normal departments, and because
center, then at the start input may needed from all these events are high stress when they first hap-
of these departments, but as the disruption con- pen, the tactical and operational teams will need
tinues, IT is going to take more of a lead role, as breaks to de-stress, relax, sleep, talk to their fami-
the disruption, after all, is in the domain of the lies, and recharge. Managers—even very senior
IT department. Even if more input is taken on by managers—can get to the point of burnout very
other departments, there is still a governance role quickly if they do not have breaks. Many man-
that the tactical team retains, managing and allo- agers have had long-term problems after these
cating resources, contacting suppliers, and ensur- events because they didn’t have or did not take
ing that needed supplies are available to the busi- the breaks they were supposed to. In these cases,
ness continuity teams or the operational teams at it is the role of the HR member of the team to
the site of the disruption. ensure the health and welfare of these managers
by making them take their breaks.
Operational (Bronze) Teams
The operational (bronze) teams consist of the Patrick Mcilwee
staff members who are fixing the problem or are Business Continuity Institute
the business continuity teams at the WAR site.
The goal of strategic and tactical teams is to man- See Also: Business Continuity Management; Business
age and give the right amount of resources to the Continuity Planning; Business Impact Analysis; Disaster
operational teams, but always remember that it is Recovery; Journaling; Minimum Business Continuity
this team that is doing the hard work—the others Objective; Pre-Impact Planning Process; Preparedness;
are managing the recovery process, and the oper- Recovery Time Objective; Strategic Plans.
ational teams are the ones getting the job done to
end the disruption. Further Readings
Operational teams can be made up of many dif- Business Continuity Institute. http://www.thebci.org
ferent staff and skill levels. Some members of the (Accessed June 2012).
operational team at the site of the disruption may Disaster Resource Guide. “The Guide for Business
be technical staff from IT or facilities manage- Continuity.” http://www.disaster-resource.com
ment who know what they need to do to recover (Accessed June 2012).
a building or data center. They will be working National Institute for Business Continuity
hard to recover a set order of processes and sys- Management. http://www.nicbm.org (Accessed
tems that have been worked out beforehand in June 2012).
830 Revolution

Revolution
This article refers to a revolution as a change in
society and should not be confused with a rebel-
lion. There is no unique and single definition of
revolution. The term is vague because of the lack
of a universal definition. However, most scholars
agree that the main factor in all revolutions is a
transformation within society from an old system
to a new one, sometimes violently, sometimes not.
In the typologies of revolution, there are three
massive changes identified in human history:
agricultural, industrial, and informational revolu-
tion. The formation of a revolution develops for
many different reasons and through many dif-
ferent approaches. In a similar manner, there are
several important factors behind the emergence of
revolutions.

A Definition and Discussion of Revolution

The term revolution is one of the most controver-
sial issues in academics. Scholars explain revolu-
tion in various ways, from a very narrow sense of
the word to a very broad one. The term most often
describes a society-wide phenomenon called polit-
ical revolution, such as the French Revolution, the Demonstrators give speeches, chant slogans, call for prayers,
Mexican Revolution, the Iranian Revolution, the read poems, and play songs on the “broadcast of the
Chinese Revolution, the Philippine Revolution, revolution” stage in Tahrir Square, Cairo, Egypt, in February
the Nicaraguan Revolution, the Russian Revolu- during the 2011 Arab Revolution, also called the Arab Spring.
tion, and most recently the Arab revolutions. In
addition, it also describes events like a coup d’état,
the agriculture revolution, putsches, a rebellion,
a secessionist movement, and other events with establishment of a new system, it is a required
important and significant changes. Until recently— transformation from the old to the new system.
that is, in the last few centuries— the term revo- Examined systems can include social institu-
lution generally referred to political phenomena. tions, interest groups, environmental approaches,
The social sciences now include the agricultural political and social structures, economic models,
revolution, industrial revolution, information rev- socioeconomic situations, social relationships, or
olution (sometimes incorrectly referred to as the ideological features. Revolution can result in a
computer or technological revolution), and others complete change or a modification of an existing
that are not based on changes to the current politi- system.
cal regime. Any event that significantly alters how A good picture of any form of revolution has
we live our lives on a societal or global level is a been seen recently in the Arabic world. The civil
revolution. Therefore, it is difficult to settle on one unrest in some Arabic countries is known as the
unique definition of revolution. Arab Spring or the Arab Revolution. The revolu-
The term revolution has become a household tionary wave has occurred in several Arabic coun-
word describing important events in human life. tries, including Tunisia, Egypt, Bahrain, Yemen,
A revolution can be defined as a sudden, radical, Syria, and Libya. This civil unrest has also influ-
drastic, massive change in the social or political enced several other countries in the Arab world.
structure of a given society. That is, regarding the The Arab Revolution can be categorized as a type
 Revolution 831

of political revolution, which primarily refers society will be changed as a result: agricultural
to any significant or extensive change regard- over hunter/gatherer, industrial over agricultural,
ing political rules or systems; they have occurred and informational over industrial.
often through human history. Alternatively, Patrick Van Inwegen outlined
The sociological perspective defines revolu- revolutions based on intensity, speed, and scope
tion as a social change in the structure of society. as characteristics determining their type. Accord-
Auguste Comte rejected the idea of revolution in ingly, there are five types of revolution: social
respect to changing social structures. He claimed revolution, political revolution, revolution from
that minor changes in the structure of society occur above, democratic/negotiated revolution, and vel-
all the time but that social order was necessary vet revolution. Only one thing is certain about
for society to remain whole, else the structure of all of the varying definitions and approaches in
society would break down and the social changes typologies—they all overlap.
would be meaningless. Thus, a new government
that kept the same social and political structure Cause of Revolution
would be considered a minor social change. Minor The causes of revolutions vary as well. Many sig-
social changes come and go but eventually build nificant factors operate in many varied ways to
into a major social change. In contrast, Karl Marx lead toward revolutions and to foster their prog-
defined revolution as not simply a case of rebellion ress. For instance, Marx considered that class led to
but also the result from struggles in class conflict. emerging social revolutions. Alexis de Tocqueville
Class conflict results from a fight over resources, perceived that the demands of economic and social
and that struggle leads to revolution. Finally, Ger- progress tended to build momentum toward revo-
man sociologist Max Weber perceived revolution lutions. For example, several factors behind the
as a form of nonlegitimate social change. This is a revolutionary wave in the Arabic world are reac-
change in the structure of society that transforms it, tions to poverty, corruption, dictatorship, demo-
changing not only how people govern themselves graphic structure, absolute monarchy, cultural dif-
but also how they interact at all levels of society. ferences, and violations of human rights. Overall,
The perspectives of all three sociologists agree a huge amount of literature includes the following
on the concept that a revolution is a substantive as causes of revolution: famine, economic change,
change in how society operates based on changes class struggle, enlightenment (such as the Age of
to the social structure. The change itself may Enlightenment), ideology, natural disaster, corrup-
appear to be heralded in quickly through political tion, the structure of society, politics, and the var-
struggle and upheaval, yet it can also develop over ied means of production.
decades or even centuries as the newer structure
takes over from the older structure. Idris Guclu
Independent Scholar
Typologies of Revolutions
There are several types of revolution existing in See Also: Civil War; Political and Organizational
scientific literature, yet there are no entirely inclu- Leadership; Protest; Religious Violence; Riots; Strikes.
sive typologies among scholars. These typologies
are formed based on examining varying concepts Further Readings
and approaches. Academics studying fundamen- Brighenti, A. M. “Revolution and Diavolution. What
tal changes within societies throughout history Is the Difference?” Critical Sociology, v.34/6
have found three massive typologies of revolu- (2008).
tions: agricultural, industrial, and informational. Collins, R. “Weber and the Sociology of Revolution.”
Each revolution increases society’s ability to sup- Journal of Classical Sociology, v.1/2 (2001).
port a larger and more complex society, thereby Coombs, N. “Political Semantics of the Arab Revolts/
replacing the previous society and rendering it Uprisings/Riots/Insurrections/ Revolutions.” Journal
outdated. Finally, each approach is dependent of Critical Globalisation Studies, v.4 (2011).
on the concept that with the passage of time, this Coser, L. A. Masters of Sociological Thought. New
new way of life will take over from the old and York: Harcourt Brace Jovanovich, 1977.
832 Riots

Guclu, I. and B. Sevinc. The Impact of Information that includes breaking into premises (including
Society on Terrorism and Counterterrorism: A Case in some cases setting fire to them), looting, and
Study of Turkey. Amsterdam: IOS Press, 2011. attacks on law enforcement officers. In the United
Inwegen, P. V. Understanding Revolution. Boulder, States, a riot is likely to result in the deployment
CO: Lynne Rienner, 2011. of the National Guard and other federal forces in
Lenski, G. E. Power and Privilege: A Theory of Social addition to the normal law enforcement agencies
Stratification. Chapel Hill: University of North of the area in which it takes place. Elsewhere, it
Carolina Press, 1966. will involve the deployment of either a third force,
Lenzer, G. The Essential Writings: Auguste Comte such as the Compagnies Republicaines de Securite
and Positivism. New Brunswick, NJ: Transaction (CRS) in France, or, as in the United Kingdom,
Publishers, 2004. squads of law enforcement officers who have
Lipsky, E. W. “Comparative Approaches to the Study received specialist training in handling riots.
of Revolution: A Historiographic Essay.” Review The causes of riots are many and varied but can
of Politics, v.4/38 (1976). broadly be divided into eight categories. They can
Marx, K. “Critique of the Gotha Programme.” occur as follows:
(1875). http://www.marxists.org/archive/marx
/works (Accessed November 2009). 1. During protest meetings or processions
Marx, K. Critique of the Gotha Programme by Karl where people are demanding economic
Marx With the Appendices by Marx, Engels and (including that associated with food
Lenin. New York: International Publishers, 1989. shortages), social, or political reform, or
Marx, K. “The Eighteenth Brumaire of Louis protesting against actions either proposed
Bonaparte.” (1852). http://www.marxists.org/ar or taken by their own government, or
chive/marx/works/1852/18th-brumaire/ch07.htm protesting against the actions of a foreign
(Accessed November 2009). regime, for example, Seattle in 1999.
Marx, K. and F. Engels. The German Ideology. New 2. In prisons when those incarcerated are
York: International Publishers, 1845. either protesting about the conditions
Percy, A. “Revolutionary Potential of Mexico in the in which they are detained or because
1980s.” Journal of International Affairs, v.40/2 they have some other kind of grievance
1987. against the prison regime, for example, the
Snyder, R. A. “The End of Revolution?” Review of Apodaca prison riot in Mexico in 2012.
Politics, v.61/1 (1999). 3. During industrial disputes where employees
“Thousands Gather in Cairo’s Tahrir Square for are in dispute with their employer(s), or
Protest.” CNN. (July 8, 2011). http://articles.cnn some employees are working while others
.com/2011-07-08/world/egypt.unrest_1_cairo-s are on strike, or employees, having gone on
-tahrir-square-protesters-anti-government- strike, have been permanently replaced by
demonstrations?_s=PM:WORLD (Accessed others.
August 2012). 4. At political meetings or processions
where one group of people is opposed
by a group with contrary views, such
as fascists and antifascists, for example,
those that occurred in the United Kingdom
Riots in the 1930s and 1970s, and Germany,
particularly since reunification.
Riots have been a feature of countries throughout 5. As a result of disorder where a section
the world since history began. There are, of course, of the community confronts the forces of
legal definitions for riot, but they are more appro- law and order, often referred to as “urban
priate to criminal prosecutions than to providing riots,” for example, Los Angeles in 1992.
a working definition. Riots are generally regarded 6. During what is commonly referred to as
as occurring when large numbers of people are “race riots,” in which people from one
involved in violence, over a considerable period, or more of the ethnic communities are
 Riots 833

confronted by a section of the indigenous officers in such a way that it stops large crowds
population, for example, Notting Hill, from assembling, was introduced in the United
London in 1958, and those that swept the Kingdom in the early years following the for-
United States between 1963 and 1967. mation of the Metropolitan Police in London
7. As a result of clashes during which people in 1829, when dealing with the Ultra-Radicals
of one religious persuasion are confronted and the Chartists. In those early years, the police
by those of another religious persuasion, for quickly learned that the wisest use of manpower
example, Gujarat, India, in 2002. was always to prevent violence from breaking
8. In association with sporting events where out, rather than to suppress it after it had done so.
groups of supporters from opposing teams The concept of minimum force, which suggests
confront each other, for example, Brussels that, in responding to riots, any force used to con-
in 1985, or go on a rampage after their trol and disperse the rioters must be reasonable and
team has lost an important game or, on not excessive, has been a general principle of polic-
some occasions, won an important game, ing for over two centuries. But there is no legal def-
for example, Vancouver, Canada, in 2011. inition of “reasonable force,” and the problem for
law enforcement officers is that decisions will be
Riots in countries that tend to be ruled by dic- made on what is reasonable in the cold light of day
tators are often brutally put down by law enforce- by people sitting in judgment. However, when the
ment agencies and sometimes the military. In a violence displayed by the rioters involves attacks
liberal democracy, however, there tend to be a on people, including law enforcement officers, and
number of principles that the law enforcement is accompanied by the throwing of missiles, includ-
agencies ignore at their peril. Preventive deploy- ing petrol bombs, and the firing of weapons, then
ment, that is, the deployment of law enforcement the “reasonable force” used in the response will be
considerable. In order to curb rioting, law enforce-
ment agencies generally use a gradation of force,
which can include bodily pressure, mounted offi-
cers, police dogs, the use of batons, various types
Case Studies in Modern-Day Riots
of personal protective equipment (including shields
The starting point for the study of modern-day and special helmets), vehicles including water can-
riots in the United States is the early 1960s, nons, baton rounds, CS gas and pepper spray, and
culminating in the summer of 1967, when, finally, if lives are in danger, lethal force. Virtually
during the first nine months, serious rioting every outbreak of rioting has been accompanied by
occurred in eight different jurisdictions and civil accusations that law enforcement agencies resorted
disorder was recorded on between 51 and 217 to a level of violence that went beyond the concept
occasions, depending on the definition of civil of minimum force.
disorder used. This resulted in the president The third principle is consent and balance. In
setting up the National Advisory Commission liberal democracies, governments do not have
on Civil Disorders. In the United Kingdom, the at their disposal sufficient force to coerce their
starting point is probably 1981, when there was citizens into accepting laws and policies that a
rioting, first in Brixton, London, in April, followed minority of them actively oppose. It follows that
by disorder in a number of Britain’s major cities if law enforcement agencies are to carry out their
in the summer. This led to the appointment of duties effectively, they need the broad consent of
an eminent judge, Lord Scarman, to inquire the communities in which they operate. Consent
into the outbreak of disorder in Brixton. Since and balance will not be achieved if the police are
then, there have been separate occasions when seen to be influenced or controlled by a national
riots have broken out in cities across the United or local government, to the detriment of the com-
States, including Los Angeles in 1992. England munity as a whole.
underwent four days of rioting, again in a number The principles are interrelated. For instance,
of its major cities, in August 2011. if law enforcement agencies use excessive force,
they are unlikely to enjoy the consent of the
834 Risk Analysis

community. Similarly, if they merely react to risks will remain for risk transfer or crisis pre-
events as they occur without making any attempt paredness and response.
to prevent them from happening in the first place, Risk analysis can also be conducted in areas
they are more likely to become involved in using currently in a crisis situation to help determine
force that is seen by some to be excessive. how to address risks faced in the crisis and from
actions taken to resolve it. Although such correc-
Tony Moore tive risk analyses can be especially relevant in con-
Institute of Civil Protection ditions of protracted crisis from extensive risks,
and Emergency Management. the following introduction focuses on prospec-
tive risk analyses for proactively understanding
See Also: Command and Control; Operational Plans; realized and unrealized consequences of chang-
Operational Readiness; Peacekeeping; Perimeter ing intensive and extensive risks. Although it is
Control; Protest; Religious Violence; Revolution; based on approaches for disaster risk reduction
Strikes. for a geographical entity, the approach is appli-
cable to analyses related to crises arising from
Further Readings vulnerability to all types of hazards for any type
Kerner, Otto (Chairman). “Report of the National of organization.
Advisory Commission on Civil Disorders.” New
York: Bantam, 1968. Methodological Framework
Scarman, Rt. Hon. Lord. “The Brixton Disorders 10– Though steps and terminology in approaches lack
12 April 1981.” London: Her Majesty’s Stationery uniformity, all risk analyses determine scope and
Office, 1981. objectives of analysis, technical characteristics of
Waddington, David, Fabien Jobard, and Mike King, objective-relevant potential hazards, and expected
eds. Rioting in the UK and France: A Comparative effects from interaction of resulting hazard sce-
Analysis. Portland, OR: Willan, 2009. narios with objective-relevant exposure, vulner-
ability, and capacities of elements of the system
being analyzed. Since outputs of risk analysis are
inputs to risk evaluation, appropriate methodol-
ogies are determined according to the purposes
Risk Analysis of evaluation for the specific system scale under
investigation and the complexity of information
Risk analysis is a crisis management tool that desired by decision makers. These objectives and
improves understanding of potential ramifica- scope can range from enabling evaluation by an
tions of risks that can lead to crisis situations and individual of expected loss of one element of one
decision making about successfully reducing these process in one function for him/herself to doing
risks. Relevant data and information for a speci- so for all elements, processes, and functions of an
fied analysis objective and scope are identified organization, nation, or region or for comparison
and systematized through synchronic analysis of across systems or times. Overall assessment objec-
the combined potential dynamic effects of under- tives and risk management objectives of decision
lying hazards, exposure, and vulnerability. Issues makers must also be considered. Generally, from
for consideration include the appropriate level of analyses focusing entirely on quantifying expected
quantitative and qualitative data, of participation loss of physical elements at risk to holistic analy-
and aggregation, and of realized and anticipated ses of expected losses and improved practice for
loss of data. all environmental, physical, economic, and social
Though it is sometimes considered a subcompo- elements at risk and the processes that combine
nent of risk assessment and sometimes a separate them into resulting functions at risk, objectives
component in the risk management process, the and resultant methodologies are based on system-
resulting systematized outputs enable risk evalua- atization of data regarding who or what is vul-
tion to determine which risks are to be minimized nerable to what hazards and exposure and with
through treatment measures and which residual respect to what basis for evaluation.
 Risk Analysis 835

For the chosen scope and objectives, biophysi- appropriate specialists and instruments are deter-
cal analysis and socioeconomic analysis allow for mined because of the differences in causes of dif-
integrated analysis of interactions between haz- ferent hazard types on impacts on different ele-
ards and underlying exposure and vulnerability ment types. These methodologies are then used
of relevant system elements. Biophysical analysis for objective-appropriate spatial analysis identifi-
focuses on hazards and hazard-dependent envi- cation and characterization of hazard-prone loca-
ronmental and physical exposure that is covari- tions and exposed elements in them; dimensional
ate across subsystem parts spatially. After initial analysis calculation of causes and probabilities
identification of hazard types and available data of occurrence and the scale, scope, intensity, and
for the area, specific methodologies involving impact chains of potential hazard events; temporal

Case Study 1: Central American Probabilistic Risk Assessment

Although the Central American Probabilistic Risk is useful. Quantitative and qualitative participatory
Assessment (CAPRA) methodology can provide methodologies have been developed to additionally
different types of users with tools, capabilities, capture the subjective sociocultural values and
information, and data to evaluate disaster risk risk perceptions of different affected stakeholder
through probabilistic analysis, its main objective is groups, beliefs, and changes influencing those
providing probabilities and estimates of potential perceptions, as well as local factors shaping
future risks at a national level. After statistical vulnerability. As both perceptions and types of
summarization of historical hazard intensities and data can be relevant, innovative community-
frequencies into stochastic scenarios for locations based approaches to measuring risk that combine
across the country and estimation of exposure multiple physical hazards, perceptions from
values of assets at risk, vulnerability curves local and outside expertise, and qualitative and
quantify potential damage to each asset class quantitative approaches to understanding social
according to hazard scenarios based on specified vulnerability have helped improve local analysis
vulnerability functions. Economic losses from while developing processes for evolving risk
multiplication of this damage figure by the value knowledge and improving capacity for self-analysis.
at risk are calculated for each asset class at each As the scale of study increases, however, such
location and are aggregated. Resulting measures detailed information from the micro level must
such as loss exceedance curves, probable maximum be simplified and aggregated through quantified
loss estimates, and aggregated average annual loss indicators and proxies in order to be useful for
can be used by decision makers to compare and evaluation. Related challenges for improving
aggregate expected losses from various hazards in analysis include balancing methods for more
current and future scenarios. integrated interdisciplinary approaches that link
In such quantitative analyses at a macro scale, macro indexing with micro-participatory context-
scientists outside the system derive probabilities specific analysis, allow continuous monitoring, and
and risk estimates independently based upon their acknowledge which aspects of hazards, exposure,
own subjective understanding of relationships. and vulnerability can and cannot be quantified
Alternatively, for risk analysis projects focused in the studied context. Case Study 2 provides an
on in-depth understanding of risks particular example utilizing participatory selection of criteria
to a system or subsystem that are dependent for analysis, quantification of direct physical
upon understanding the specific socioeconomic, vulnerability, and then qualitative approaches to
environmental, and spatial context of understand how perturbations from the baseline
vulnerabilities, deterministic qualitative profiling of living situation affect different community
the relationships between system subcomponents subgroups.
836 Risk Analysis

analysis identification of effects of factors influ- idiosyncratic within subsystem parts from envi-
encing and modifying hazards and physical expo- ronmental, physical, economic, and social pro-
sure dynamically; and resulting scenarios, often cesses resulting in susceptibility to perturbations
including maps, incorporating relevant data and and capacities to withstand, avoid, neutralize,
information for socioeconomic analysis. and absorb impacts. Based on objective-relevant
Socioeconomic analysis focuses on vulner- hazard scenarios and other outputs of biophysical
ability and hazard-independent exposure that is analysis, steps include identification of potentially

Case Study 2: Local Participatory Risk Analysis

In nine islands of the Maldives scheduled to scenario so that different stakeholder groups can
receive migrants from other islands, a risk analysis iteratively study, discuss, and revise perceptions
process was developed to bridge inside and until agreed-upon knowledge of final risk levels for
outside stakeholders and biophysical and social- evaluation results.
economic vulnerabilities in response to potential This example also exemplifies incorporating
crises from environmental hazards and associated dynamic risk elements. Retrospective analysis
vulnerabilities. The three-step analysis addresses of realized losses from previous events can
understanding vulnerable subgroups’ perceptions of guide investigation of baseline and emerging
how effectively underlying institutions, processes, vulnerabilities for general populations and
and elements of each basic societal function (BSF) system subgroups but can be unreliable for
would operate through changes from baseline to an estimating future vulnerabilities, especially for
adverse event to a potential future situation. low-frequency hazards and areas undergoing
Step one involves physical scientists, engineers, significant socioeconomic and environmental
planners, local key informants, and household changes. Studying systems expecting significant
focus groups pooling information to create modification from development, population,
likely impact scenarios for the baseline current creeping environmental problems, wealth, local
condition, a likely adverse hazard event, and under resilience, or other changes requires prospective
a likely combination of future physical trends in analysis of processes causing changes in types
investment, population, climatic conditions, and of hazards or probabilities of their occurrence,
hazardous events on the islands. spatial and temporal processes by which system
Step two involves local government leaders subcomponents are exposed and vulnerable to
and key community informants defining two potentially damaging events, and effects of socially
significantly representative subgroups deemed least differentiated adaptive capacity status and limits
able to access the BSFs and most vulnerable under on resilience of subsystem components. Such
normal year, disaster risk, and future scenarios. A analyses aim to consider historical information
socioeconomic vulnerability team then works with along with anticipated future risk scenarios
these focus groups to identify the baseline current based on improved spatially detailed population,
condition of economic and social elements and economic development, poverty, conflict,
processes of the BSFs. Likely effects of coping, corruption, response, and scale-appropriate climate
buffering, and adaptive capacities are elicited change migration, adaptation, and future hazard
through discussion of potential impacts under the effect scenarios. Developing methodologies to
physical adverse event scenario and the physical bridge sophistication in quantitative, qualitative,
future scenario. From these results, the highest- participatory, aggregation, historical, and
priority risk reduction elements are identified. prospective methods in ways appropriately simple
Finally, step three involves sharing similarities and implementable for specified objectives and
and differences from group perceptions under each scopes remains a challenge.
 Risk Assessment 837

vulnerable elements; identification and analy- Planning; Uncertainty; Vulnerability; Vulnerable

sis of factors affecting environmental, physical, Populations.
economic, and social vulnerability for these ele-
ments; development and utilization of a system Further Readings
for quantitative and/or qualitative characteriza- Alexander, Bob and Jessica Mercer. “Eight
tion of degrees of element vulnerability; analy- Components of Integrated Community-Based Risk
sis of potential effects of preparedness, adaptive, Reduction: A Risk Identification Application in
buffering, and coping capacities on these vulner- the Maldives.” Asian Journal of Environment and
abilities; and systematization of these data and Disaster Management, v.4/1 (2012).
information as appropriate for evaluation. Alexander, Bob, et al. “Practical Disaster Risk
Reduction and Climate Change Adaptation
Methodological Issues Assessment Methods.” In Disaster Risk
Recent technologies for remote sensing and GIS Reduction and Climate Change Adaptation, N.
have improved mapping and analysis of covariate Setiadi, J. Birkmann, and P. Buckle, eds. Bonn,
spatial aspects of physical vulnerability, but inte- Germany: United Nations University–Institute for
gration of social, economic, and environmental Environment and Human Security, 2010.
vulnerability in socioeconomic analysis remains Birkmann, J., ed. Measuring Vulnerability to Natural
a challenge because of their idiosyncratic nature Hazards: Towards Disaster Resilient Societies.
within systems. Determination of appropriate lev- Tokyo: United Nations University Press, 2006.
els of quantitative and qualitative data relevant Consortium Evaluación de Riesgos Naturales—
for this analysis is a methodological challenge. América Latina. “Probabilistic Modeling of
Risk analysis in crisis management has histori- Natural Risks at the Global Level.” Report for
cally utilized traditional quantitative probabilistic GAR 2011: Global Assessment Report on Disaster
techniques of identifying uncertainties of events Risk Reduction. ERN-AL, 2011.
according to probability of occurrence and sever- Deutsche Gesellschaft für Internationale
ity of impact despite insufficient data for fully Zusammenarbeit. Risk Analysis: A Basis for
understanding hazard effects in the analyzed sys- Disaster Risk Management. Eschborn, Germany:
tem’s context. Additionally, for risk analysis proj- GIZ, 2004.
ects comparing risk across systems or time, differ- Intergovernmental Panel on Climate Change.
ing or changing location-specific institutions and “Managing the Risks of Extreme Events to
processes in different systems can render resulting Advance Climate Change Adaptation.” New York:
indicators useless for comparison. But quantita- Cambridge University Press, 2012.
tive analysis can help capture hazard-dependent United Nations International Strategy for Disaster
physical exposure based on experienced losses Reduction (UNISDR). “2011 Global Assessment
and some hazard-independent vulnerability con- Report on Disaster Risk Reduction.” Geneva:
ditions of socioecological fragility or lack of resil- UNISDR, 2011.
ience. As exemplified in Case Study 1, innovative World Bank. Understanding Risk: Proceedings From
approaches to producing probabilistic loss results the 2010 UR Forum. Washington, DC: World
for specific hazard scenarios and local vulnerabili- Bank, 2010.
ties can provide useful statistics on potential asset
losses.

Bob Alexander
Independent Scholar Risk Assessment
See Also: Business Impact Analysis; Damage Risk assessments are a step in the risk manage-
Assessment; Disaster Risk Reduction; Hazard, ment process. A risk assessment is the quantita-
Definition of; Hazard Vulnerability Analysis; Impact tive or qualitative determination of risk related to
Analysis; Losses, Quantitative Versus Qualitative; a situation and a related credible hazard, or threat.
Methods, Quantitative; Risk Assessment; Scenario Risk assessments that are quantitative incorporate
838 Risk Assessment

calculations of two components of risk (R). These Step 2: Identifying Goals and Objectives
are the magnitude of the potential loss (L) and the Goals are typically noncontroversial statements
probability (P) the specific loss will happen. reflecting a common aim. They are measured
qualitatively and can come in many forms depend-
Risk (R) = Potential Loss (L) ing on what the risk assessment is for. Oftentimes
× Probability of Loss (P) in crisis management, risk assessments are used to
help further understand impacts on people, prop-
Risk assessments are commonplace in numer- erty, business interruption, the environment, and
ous industries. This includes within the safety cultural heritage. Goals for this may therefore
industry, particularly when there are concerns of include the following:
threats to life, our environment, or equipment and
processes malfunctioning. Other areas where risk • Life safety (occupants, emergency
assessment is prevalent include aviation, nuclear responders)
energy, mining, oil/gas, engineering, health, and • Protection of:
disaster management planning. These industries »» Contents, artwork, artifacts, and
have incorporated risk assessment into their daily historic fabric
activities for a number of years. The overall risk »» Building
assessment methods may differ between indus- »» Spirit of place/traditions
tries and are often dependent on exposures and »» Business continuity
the vulnerabilities of the exposed, including envi- »» The environment
ronmental, ecological, and public health. How-
ever, there are numerous commonalities to the One’s goals may also address how risk mitiga-
approach used in risk assessments. Some of the tion measures are implemented. Using a museum,
common steps are outlined herein. library, or cultural heritage property as an exam-
ple, some of the goals to be incorporated into the
Step 1: Gathering Information risk assessment may include these:
One of the first steps in the risk assessment pro-
cess is gathering pertinent information with • Limiting the impact on historic fabric/limit
regard to the assessment. For instance, for assess- visibility and impact on aesthetics
ing risk at a museum that may be prone to various • Effective and integrated mitigation solutions
types of disasters, it may be important to under- • Incorporating sustainability goals
stand information related to the museum’s collec- • Limiting impact on functionality of the
tions, including the significance and vulnerabili- space
ties of these. Some of the pertinent information
for further understanding the overall context may Goals can also be specific to the area of the world
include that related to the following: or region upon where the study is taking place.
Goals may not be the same everywhere, or for
• Overall environment (for example, business, everyone. For instance, goals for a single building
regulatory, cultural, social, financial) may vary for the site, the structure, front of house/
• Corporate culture and corporate structure public areas, back of house areas, high value/sig-
• Stakeholders nificant collection areas, workshop areas, storage
• Resources (people, processes, systems, areas, and other areas and spaces throughout.
capital) Competing goals may be a challenge and rea-
• Characteristics of the site and structure son to proceed with caution. These, for example,
• Characteristics of the occupant may arise when addressing security and life safety
• Collections and their significance/ and where attention is needed in allowing people
vulnerabilities to freely evacuate during an event, while keeping
• Operational/functional characteristics others from getting into the building otherwise.
• Background/intention of the disaster It is also important to understand vulnerabili-
management plan and schedule ties. This will help in identifying the level of risk
 Risk Assessment 839

and whether it is acceptable or whether additional scenarios. Some of the common characteristics of
mitigation measures may need to be provided. This a fire scenario include ignition, growth, peak heat
should be determined early on to help develop the release rate, steady burning period, decay, and
goals/objectives and to identify what needs to be extinguishment.
protected and to what level. This will also help in
the next step of establishing what the performance Step 5: Developing Mitigation Options
criteria should be, based on the hazard. Once hazard scenarios are developed, then it is
In defining goals, a further understanding can important to develop options to address them.
be gained while developing detailed mitigation These scenarios can include accepting risk, miti-
strategies and protecting the various exposures gating risk, or transferring risk. For disaster miti-
appropriately, as well as determining with more gation, for instance, these options may involve all
confidence whether the proposed risk mitigation of these in part. For example, some of the risk
results may achieve the desired goals. may be accepted, while mitigation measures may
The objectives are then used to provide more be developed and implemented prior to the cred-
specific direction as to how a goal might be ible event, or implemented during the event and/
achieved. Objectives are normally stated in quan- or the recovery phase to address other risk, while
tifiable terms. These are then transformed into others may be managed by the transference of
quantitative performance criteria. risk, such as to an insurer. There are numerous
options, therefore, that may be available, but it is
Step 3: Performance Criteria Development important to understand one’s goals and under-
The “metrics” against which the above goals and take appropriate risk assessments to help stake-
objectives are assessed in a risk assessment are holders make more informed decisions as to the
often termed “performance criteria.” These are mitigation options to achieve these goals. One
stated in a manner that can be directly measured may also need to weigh the mitigation measures
or calculated. For instance, in the nuclear industry against the impact these can have on mitigating
these may be stated in terms of radiation released; the event, their costs, and resources to determine
or in disaster management, performance criteria what needs to be done. In light of this, a cost-
may be defined as highest flood level, magnitude benefit analysis may assist.
of an earthquake, highest/lowest temperature/
humidity, or smoke temperature. These become Step 6: Options and Mitigation Measures
the criteria against which mitigation measures will Following the identification of mitigation options,
be assessed when exposed to the various hazards. the next step is to assess these as to their ability
to address the previously established goals and
Step 4: Hazard Scenario Development performance criteria. This can include qualitative
There is an infinite number of possible hazard or quantitative assessments of the probabilities of
scenarios that could exist, depending on the these events occurring, as well as analyses as to
subject of the risk assessment. Hazard and risk the potential losses that may occur. It is important
assessment techniques are therefore often used to understand that during the risk assessment pro-
to help reduce the universe of “possible” sce- cess, one may not have all of the data needed and
narios to “credible” scenarios and those more of that assumptions will need to be made. Within
primary concern and probability. In looking at this step are various studies that should be under-
museums as an example again, some researchers taken to also look at the variability and sensitiv-
have divided these hazard scenarios into agents ity of these assumptions and the impact they may
of deterioration that can help identify credible have on the outcome of the assessment.
hazards. Statistics can also be used. There are several different types of methods and
After reducing the universe of possible scenarios tools available to calculate or analyze these. These
to a smaller subset of scenarios, the characteris- analyses can range from “back of the envelope”
tics of these scenarios then need to be established. equations to complex computational modeling,
Regarding fires, for example, these characteris- to assessing past events and history, to detailed
tics form the more detailed basis of design fire probabilistic studies that may include fault trees,
840 Risk Society

event trees, HAZOPS, and other similar types of Mitigation in Buildings: Analysis and Design.
analyses. Quincy, MA: NFPA, 2006.
If these alternatives are shown to be able to Marrion, C. “Disaster Management Planning.” http://
meet the performance criteria, then they can be www.marrionconsulting.com (Accessed May 2012).
selected as ones suitable for final design. The Marrion, C. “Prevention and Disaster Management.”
evaluation process is an iterative one. There may http://www.marrionconsulting.com (Accessed May
be several mitigation alternatives to be evaluated 2012).
against the various events that may occur and Society of Fire Protection Engineers and National
one’s objectives. Once the analysis has been done, Fire Protection Association. The SFPE Engineering
then stakeholders can make appropriate, risk- Guide to Performance-Based Fire Protection
informed decisions. Analysis and Design of Buildings. 2nd ed. Quincy,
MA: SFPE/NFPA, 2007.
Step 7: Risk Assessment Documentation United Nations International Strategy for Disaster
The final step in the process is documenting the Reduction (UNISDR). Living With Risk: A Global
overall risk assessment. This helps all of the stake- Review of Disaster Reduction Initiatives. Geneva;
holders understand the basis of the risk assessment UNISDR, 2004.
and captures it for the future. Risk assessments
are typically objective. As noted, they typically
incorporate various assumptions to help further
understand the risk. Because of this, uncertain-
ties and variability of these assumptions should Risk Society
be taken into account in the risk assessment and
clearly documented. Use of appropriate metrics is Modern times are characterized by complex rela-
important, as results of a risk assessment may be tionships and networks, since the spheres of pri-
expressed differently. For example, in financial- vate and business life are determined by various
related assessments, such as for insurance, one uses grids and lattices creating the relations and depen-
currency to express the magnitude of loss. When dencies among human beings and other entities.
risk assessment is used for public health, loss may This complexity shapes the organizations of the
be in terms of loss of life or a quality of life. 21st century, since they must cooperate with
When undertaking risk assessments, one should diversified workers and stakeholders and simulta-
also note that given the same level of risk, various neously possess the necessary financial and social
risks and hazards may be mitigated differently. capital to respond effectively to the dynamic busi-
For instance, a scenario with a large probability ness environment. Consequently, the mentioned
of loss and a low probability of occurring may multifactoral and multilevel organizations, as well
be treated differently from the scenario with a as their workers and stakeholders, are exposed to
low loss potential, yet with a high probability of risk factors at both internal and external levels.
happening. From a theoretical standpoint, these However, risk did not appear only in the 21st
scenarios may both be of approximately equal century—it has existed in human life since time
risk; however, they may be treated quite differ- immemorial. In premodern times, risks were con-
ently. This should be addressed appropriately in nected with diseases, wars, and weather-related
the documentation as well. catastrophes. With the development of civiliza-
tion, the catalog of risks started to undergo many
Christopher E. Marrion changes. The risks that could be controlled by
Independent Scholar human beings have been substituted with the ones
related to technological development. The origin
See Also: Fires; Prevention; Risk Analysis. of the term risk goes back to the 16th and 17th
centuries, to the times of Western explorers. Orig-
Further Readings inally, it referred to sailing in unknown waters.
Custer, R. L. P. and Christopher E. Marrion. “Design Later, its meaning was extended to denote various
to Manage Fire and Its Impact.” Extreme Event forms of uncertainty.
 Risk Society 841

There are many approaches to the issue of risk Taking the feature of group cohesion into
society. For example, risk society can be under- account, risks can serve both integrating and dis-
stood as the society absorbed with a future that integrating functions. They make the group united
creates risks. Another approach is to view risk in the face of difficulty and enhance mutual coop-
society as the society that deals with the hazards eration, but at the same time they create antago-
of modernization. It should be stressed, however, nisms and conflicts. As far as the methodological
that risk society is not more dangerous or hazard- level of analyzing risk society is concerned, risk
ous than other forms of society that have existed is usually associated with the spheres of life that
before. What is different in the 21st century in involve some change or danger, such as econom-
comparison with previous epochs is the individ- ics, health, sports, and transportation. However,
ual’s consciousness about various risks and their applying the postmodern perspective, picturing
consequences. Apart from the mentioned term the society as the one with no clear-cut boundar-
risk society, some researchers opt for the term risk ies, risks are a part of everyday life because of the
culture. The reason for the selection is the scope mentioned interrelation of domains and activities.
of meaning the term encompasses. Risk society
denotes a determinate, rule-governed, and hierar- Influence of Technology
chical group of individuals, whereas risk culture As has been mentioned above, risk is caused and
is indeterminate and noninstitutional. Risk soci- accelerated by the characteristics of modern times.
ety concentrates on norms and rules, whereas risk One of the factors shaping risk societies is tech-
culture pays attention to values. nology. However, the relation between technol-
ogy and risks is mutual and dynamic, since risks
Characteristics of Risk and Risk Society also determine technological performance. Tech-
As far as the characteristics of risks are concerned, nology enhances the appearance of risks, since
risks have mainly two components: the destructive new technological devices create risky situations.
consequences that are already visible and the ones An example of this influence can be the threat to
that may occur in the future. Thus, risks include privacy in online social media. At the same time,
both the present situation and the future predic- technology offers the possibility of quick knowl-
tion. Moreover, risks are not exclusively connected edge diffusion and information saturation and,
with one particular phenomenon or entity, but consequently, gives the individual the possibility
they create the domino effect or the boomerang to respond to risks in an active and effective way.
effect since they generate risks in several related Moreover, knowledge and technology give the
domains and entail those people and entities not person the option to turn incalculable risks into
directly involved in risky activities. calculable risks.
Risks enhance both positive and negative
actions and behaviors. Taking the detrimental side Classification of Risks
of risks into account, they often describe hazard- As far as the classification of risks is concerned,
ous behaviors or are associated with such emo- they can be also divided into external risks and
tions as fear or fright. Risks also can be linked manufactured risks. External risks are the ones
with positive aspects, such as the need to be atten- that happen unexpectedly in regular intervals,
tive or eager to accept and implement necessary and their appearance can be predicted and
changes. Additionally, risks may stimulate mak- insured. On the other hand, manufactured risks,
ing courageous decisions or creating innovative being the result of rapid human development at
ideas. Looking at the positive side of risks from the scientific and technological level, cannot be
a more individual level, some people need risk in predicted and insured, mainly because of the nov-
their daily activities because the adrenaline gives elty of domains and entities they appear in. Risks
them the necessary power to fight with everyday also can be divided into individual and group
issues or enables them to relax after demanding risks. Thus, the number of risks one is exposed
duties. Risks also give individuals the opportunity to depends on several individual and group fac-
to test themselves, both physically and psycholog- tors. Although some risks are connected with
ically, in new and even crisis situations. low social position, there are also certain risks
842 Risk Treatment

(e.g., the ecological ones) that concern every- fall into four broad categories: avoidance, mitiga-
one regardless of his or her financial situation. tion, acceptance, and transfer (AMAT).
Moreover, individuals have different levels of risk
acceptance that depend on several cultural, per- Risk avoidance: At times, an organization may
sonal, and situational features. wish to avoid some risks with high likelihood
and/or potentially devastating impact, because
Magdalena Bielenia-Grajewska the expected rewards may not justify the costs
University of Gdansk, Poland and SISSA, Italy of implementing any other treatment options, or
because some risks can only be treated by termi-
See Also: Bounded Rationality; Cognitive Novelty, nating the activities likely to generate them. For
Engaging; Crisis, Definition of; Disaster, Definition of; example, one may decide not to buy a property
Risk; Social Distancing; Social Media. or take over a business in order to avoid the
risk of unwittingly taking on any legal liabilities
Further Readings that might come with it, or choose not to travel
Beck, Ulrich. Risk Society: Towards a New by plane in order to avoid the risk of the plane
Modernity. London: Sage, 2005. being hijacked. However, sometimes the organi-
Beck, Ulrich. World at Risk. Cambridge, UK: Polity zation may not be able to avoid or eliminate the
Press, 2007. whole risk, so the organization will need to con-
Bielenia-Grajewska, Magdalena. “Corporate sider the implementation of control measures to
Networking.” In Encyclopedia of Social Networks, address any remaining risk. It is also vital to note
George A. Barnett, ed. Thousand Oaks, CA: Sage, that avoiding a risk might increase the severity of
2011. other risks and possibly result in failure to exploit
Denney, David. Risk and Society. London: Sage, 2005. any potential rewards.
Giddens, Anthony. “Risk and Responsibility.”
Modern Law Review, v.62/1 (1999). Risk mitigation: The purpose of risk mitigation
Lash, Scott. “Risk Culture.” In The Risk Society and is to reduce the level of risk exposure to a com-
Beyond: Critical Issues for Social Theory, Barbara fort zone for the organization, while continuing
Adam, ed. London: Sage, 2005. with the activity that is giving rise to the risk. This
comfort zone must be defined before embarking
on any mitigation strategy, since it forms the tar-
get against which the effectiveness of mitigation
can be measured. Risk mitigation can be achieved
Risk Treatment by reducing either the likelihood of risk occurring
or the impact of risk occurring or both. For exam-
Risk treatment is the process of identification, ple, there is a risk of objects falling at a construc-
selection, and implementation of appropriate tion site. The likelihood of objects falling can be
measures aiming to modify the likelihood of reduced by ensuring that the safer working prac-
occurrence or the impact of a risk. This process tice is adhered to at all times, while the impact of
follows the stages of risk identification and assess- objects falling can be mitigated by the compul-
ment in the risk management cycle. sory wearing of protective helmets.
There are two types of risk mitigation strate-
Identification of Risk Treatment Options gies: proactive and reactive. Strategies that seek to
Identified risks may have varying impacts on an reduce the likelihood of risk occurring are proac-
organization, because not all risks are downside tive, whereas those aiming to reduce the impact
(negative) risks carrying the prospect of loss or of risk occurring are reactive. Proactive strategies
damage. The risk identification and assessment involve preventive maintenance, audit and com-
process may also reveal substantial rewards arising pliance programs, enhanced supervision, contract
from taking certain risks, known as upside (posi- conditions, policies and procedures, equipment
tive) risks. In general, the risk treatment options testing, exercising of emergency plans, invest-
available to the management of an organization ment and portfolio management, staff training,
 Risk Treatment 843

technical controls, and quality assurance pro-

grams. These strategies may also result in total
risk avoidance if the likelihood of risk occurring
is reduced to zero. On the other hand, where it
is not possible to reduce the likelihood of a risk
occurring, reactive strategies need to be in place
to lessen potential damage or loss from the risk.
Early action that is taken to protect against the
worst effects of a risk can often make the risk
more acceptable if it occurs. Contingency plan-
ning, disaster recovery and business continuity
plans, off-site backup, public relations, and staff
training on emergency procedures are examples
of reactive strategies, as they are measures that
help organizations resume their business activities
after the realization of risk events that they have
little or no ability to control.

Risk acceptance: Risk acceptance, also known as

risk “tolerance” or “retention,” is the informed
decision to accept the risk (based on the results
of risk analysis and risk evaluation) and assump-
tion of full responsibility for this decision and any
subsequent consequences.
For some risks, risk acceptance may be appro-
priate, because the current risk exposure is within
the organization’s risk appetite and the cost of tak-
ing any other treatment action is disproportionate
to the potential reward. There may also be risks to
which exposure is beyond the organization’s risk A volunteer is covered from head to toe in protective clothing
appetite; however, they still need to be accepted and gear as she guts the kitchen of a flooded home in Bayboro,
because of the organization’s limited ability to North Carolina, October 21, 2011. Taking protective measures is
deal with them or because these risks present part of risk mitigation, which is one category of risk treatment.
extremely profitable opportunities or relate to a
process that is fundamental to the nature of the
organization. Deepwater drilling in the Arctic
Ocean is an example of such risk, that oil and gas Risk acceptance should always be backed up by
companies are willing to accept, although only for contingency strategies such as the development of
the development off Alaska’s Arctic coast; U.S. a risk-aware culture; incorporation of risk man-
government authorities project the risk of a major agement into routine project processes, with regu-
spill at about 30–50 percent, and that a worst-case lar risk reviews, reports, and updates; and taking
blowout could release some 1.3 million barrels (58 account of identified risk with agreed responses
million gallons) of oil. It is forecast that a major that will help the organization to cope with the
spill will travel with currents, in and under sea ice uncertainty that this risk acceptance may cause.
during ice season, and it will be virtually impos-
sible to contain or to recover. Even with robust oil Risk transfer: Risk transfer, also called risk financ-
spill response capability, in most scenarios far less ing, is another risk treatment option that aims at
than 10 percent will be recovered. Nevertheless, having another party bear or share some part of
more and more companies (and governments) are the risk through contracts, insurance, outsourc-
ready to accept this risk. ing, joint ventures, or partnerships. Although this
844 Risk Treatment

option seems attractive to most organizations Consequently, for a low-level gross risk with
and it is even argued as the best choice among low rewards and low controllability, the organi-
all risk treatment options, the use of risk trans- zation should select the “risk acceptance” option,
fer is mainly limited to financial risk exposure. whereas for a high-level risk with low control-
Risk experts argue that the reason for this is lability and low rewards, it should opt for “risk
that although it is possible to be compensated by avoidance.” Risks with high controllability lend
another party in the event of a risk occurring, it themselves to “risk mitigation” options, and risks
is difficult to enhance performance shortfalls by of low controllability and high rewards are more
transferring the risk, and it is certainly not pos- appropriate for “risk transfer.”
sible to recover the lost time. Also, it is important Another important criterion for the selection
to recognize that not all risks are transferable (for of risk treatment is the comparison of the treat-
example, reputational risks). In this case, organi- ment cost with the benefits obtained or expected.
zations may consider a “risk budget” allocated During this process of cost-benefit judgments, it is
against specific risks, with its size determined by important to consider all direct and indirect costs
the impact of the risk and agreed release condi- and benefits, whether tangible or intangible, and
tions defining when the contingency amount measured in financial or other terms.
should become available for use. Another way of
addressing these risks is through self-insurance or Implementation of Risk Treatment Options
the use of captives (owned or rented). Once the appropriate risk treatment option is
Risk transfer almost always involves a “risk selected, a risk treatment plan should document
premium” that needs to be paid, and it is impor- how the chosen treatment option will be imple-
tant that the costs of transfer must be at least mented. The information to be documented in the
balanced by the benefits to be received, or it is risk treatment plan should consist of the following:
not worth transferring the risks. Furthermore, it
is also important to note that risk transfer does • The reasons for selection of treatment
not eliminate or remove the risk; rather, it gives options, including expected benefits to be
the ownership and liability to another party. It is gained
therefore essential to ensure that the recipients of • The persons accountable for approving and
transferred risks are capable of managing the par- implementing the plan
ticular risks given to them. • Proposed actions
• Resource requirements
Selection of Risk Treatment Options • Performance measures and constraints
Selecting the most appropriate risk treatment • Reporting and monitoring requirements
options involves balancing the costs and efforts of • Timing and schedule
implementation against the benefits derived, with
regard to legal, regulatory, and other require- The completed risk treatment plan should be
ments such as social responsibility. An organiza- integrated in the risk management processes of
tion may consider and adopt more than one risk the organization and be discussed with the appro-
treatment option either separately or in combina- priate stakeholders.
tion. An example is the effective use of support
contracts and specific risk reduction strategies fol- Alexandros Paraskevas
lowed by appropriate insurance and other means Oxford Brookes University
of risk transfer.
The decision about the appropriate risk treat- See Also: Hazard Mitigation; Risk Analysis; Risk
ment option should first consider the risk as “gross Assessment; Stakeholders.
risk” (i.e., the risk level before any risk reduction
measures have been implemented), compare this Further Readings
against the cumulative rewards of the situation, British Standards Institution. BS31000: Risk
and then introduce a third dimension, which is Management: Code of Practice. London: British
the controllability of the risk. Standards Institution, 2008.
 Routine Emergencies Versus True Crises 845

Her Majesty’s Treasury. “The Orange Book: organization should be documented in incident
Management of Risk: Principles and Concepts.” reports. For example, a single worker injury may
London: HM Treasury, 2004. constitute an emergency, but a series of worker
International Organization for Standardization (ISO). injuries may point to an underlying worker safety
Risk Management: Principles and Guidelines. problem that could manifest into a major crisis
Geneva: ISO, 2009. in the form of a large accident, imposed safety
McCarthy, M. P. and T. P. Flynn. Risk From the CEO regulations and fines, a union strike, or acceler-
and Board Perspective. New York: McGraw-Hill, ated reputation loss resulting from perceptions of
2004. poor corporate responsibility.

Planning and Training

Emergency services are often summoned to per-
form remedial actions in an emergency. Emer-
Routine Emergencies gency services typically include fire service, police,
and emergency medical service personnel who
Versus True Crises train and prepare for responding to emergencies.
Because emergencies occur so frequently, emer-
Routine emergencies are incidents that threaten gency services are able to respond by following
life, health, property, or the environment and routine procedures. Average citizens may also
require remedial actions to prevent further dam- perform remedial actions in an emergency. Indi-
age. Emergencies develop quickly and have tan- viduals train to respond in an emergency by tak-
gible effects that must be remedied to minimize ing classes to perform cardiopulmonary resuscita-
harm. Emergency service personnel plan, prepare, tion (CPR) or to become Community Emergency
and train for variations of the typical emergen- Response Team (CERT) members. Depending
cies that occur in their jurisdiction so they can on the organization, professionals may also be
respond to each emergency in a routine manner. employed to respond to emergencies. For exam-
Emergencies happen often and on a reoccurring ple, a hazardous waste specialist may be called
basis, following a predictable pattern that rarely on to assist in the cleanup of a chemical spill at a
goes beyond the scope of the planned proto- hospital. A localized chemical spill can threaten
col for response. Crises, on the other hand, are the environment if not properly addressed. How-
unpredictable, nonroutine events that contradict ever, as long as the hospital fulfills stakeholder
stakeholder expectations and thereby threaten expectations by following routine procedures to
high-priority goals. Emergencies may escalate address the threat, a crisis will not occur.
into crises, but most crises are not triggered by In an organization, the crisis plan is typically
an emergency. For example, some crises evolve developed and enacted by the management team,
slowly and may be financial or reputational crises including representatives from each organiza-
that do not directly threaten life, health, property, tional department. In a municipality, emergency
or the environment. Also, whereas emergencies managers and executive-level personnel in emer-
are short-lived, crises can cause lingering effects gency response services typically develop both the
for years after the trigger event. emergency procedures and the crisis plans. When
Crisis managers must plan and prepare for an emergency overwhelms the routine emergency
emergencies that are likely to occur within their procedures, contradicting the stakeholder expec-
organization; however, the full crisis plan will tations of response capabilities, a disaster may be
rarely be needed to respond to an emergency. declared to request assistance from state, regional,
Because some emergencies can escalate into cri- or national sources. Disasters in which there is a
ses, all potential emergencies should still be iden- significant loss of life or an inordinate amount of
tified in the risk assessment section of the crisis damage are often identified as crises for the com-
management plan. Further, since a series of emer- munities in which they occur. Protocol for request-
gencies could be precursors to a developing cri- ing and reimbursing assistance should be detailed
sis, all emergencies within and surrounding an in the crisis planning process. Because crises occur
846 Routine Emergencies Versus True Crises

infrequently, all crisis plans should be tested and Even in a region where the type of emergency
rehearsed periodically to avoid dilapidation. is common, if the emergency overwhelms routine
emergency response protocol, the emergency can
When an Emergency Becomes a Crisis become a crisis. For example, the northeastern
The who, when, and where of an emergency may United States is prone to cold weather and even
be unknown, but the range of emergencies that blizzard conditions. However, in 2010, the region
are likely to occur in a given region can be eas- was hit with a series of snowstorms that over-
ily determined. Emergencies such as car crashes, whelmed routine response capabilities, halted
fires, and accidents occur across communities. traffic in some of the largest metropolitan areas,
Emergencies that threaten human life are consid- and forced the closure of most of the United
ered higher priority and are typically responded to States federal government. Although snow in the
more quickly than those that only threaten prop- northeast region is typical, the amount of snow
erty. Although an emergency may be a tragedy that fell during the storms was not typical, and
for directly affected individuals, such as a family the inability of municipal services to fulfill stake-
whose home burned down in a fire, the emergency holder expectations created a crisis. President
is still routine for fire service personnel, who Barack Obama dubbed the storms “snowmaged-
respond to fires on a daily basis. Weather-related don,” implying that the storms were apocalyptic
events typical for a region that can be responded in nature and clearly not routine emergencies.
to in a routine fashion would also be considered
routine emergencies. Rhetorical Nature of Emergencies and Crises
Routine emergencies in one part of the world Although the words emergency and crisis, and
may be considered crises in another. For example, even disaster and catastrophe are often used inter-
a blizzard in January that shuts down highways changeably, there are some clear semantic differ-
in North Dakota is a routine emergency. Bliz- ences. An emergency, as noted, requires immediate
zards are common in the northern plains and response to reduce threats to life, health, property,
occur periodically most winters. In this type of an or the environment. A disaster is typically trig-
emergency in North Dakota, emergency service gered by an emergency that has overwhelmed the
personnel are commonly dispatched to respond to local response capacity and caused a significant
car accidents, stalled vehicles, and cardiac arrest amount of damage. A catastrophe is evidenced by
victims who overexerted themselves shoveling the total failure of multiple critical infrastructure
snow. Although calls for emergency services are systems, often caused by a widespread disaster.
higher than on a clear day, the response will still Emergencies can lead to disasters that are often
be routine for a winter in North Dakota and not considered community crises, and catastrophes
likely overwhelm the response capacity of emer- are almost always considered a crisis for the
gency services. affected community, agency, or organization.
However, a blizzard in January in Florida— The word crisis, however, does not automati-
where snow is uncommon—would likely over- cally fit along the continuum from emergency to
whelm response capabilities and threaten stake- disaster to catastrophe. Crises do not follow a
holder expectations. A significant number of car predictable pattern; they are unpredictable, non-
accidents would likely occur because Floridians routine events. However, the most important dis-
are unaccustomed to driving in such conditions. tinction of crises from emergencies, disasters, and
Also, the cold temperatures and fierce winds that catastrophes is that crises are caused by a gap in
accompany a blizzard can cause additional health stakeholder expectations. Crises do not need to
risks, especially for those not used to dressing for involve death and destruction to threaten high-
cold weather. Thus, the same event may be con- priority goals. An event or series of events that
sidered a routine emergency in one region but a creates an expectation gap between the actions
crisis in another because of the region’s familiarity of an organization and the actions stakeholders
with the type of event and the ability of emer- expect of an organization can severely limit the
gency response personnel and community mem- operations or income potential of an organization
bers to cope with such an event. without causing damage to life, health, property,
 Routine Emergencies Versus True Crises 847

or the environment. Crises, unlike emergencies, See Also: Catastrophe, Definition of; Crisis,
can also be rhetorically construed. A rumor that Definition of; Disaster, Definition of; Disaster
is not based on any actual damage, can result in Declaration; Emergency, Definition of; Emergency
a crisis because the reputational loss threatens the Management Agencies, City and County; Impact,
high-priority goals of an organization. Thus, a Definition of; Incidents Versus Crises; Nonlinearity.
crisis can occur even if stakeholders just perceive
an organization’s actions to be out of line with Further Readings
their expectations. Boin, Arjen, Allan McConnell, and Paul T. Hart,
Although an emergency may trigger a crisis and eds. Governing After Crisis: The Politics of
a crisis may require an emergency response, rou- Investigation, Accountability and Learning.
tine emergencies and true crises are not synony- Cambridge: Cambridge University Press, 2008.
mous and should not be planned for in the same Mitroff, I. I. Crisis Leadership: Planning for the
manner. Crisis managers who plan only for emer- Unthinkable. Hoboken, NJ: John Wiley & Sons,
gencies will not be prepared to respond when the 2003.
crisis goes beyond the plan. Alternatively, if cri- Seeger, Matthew W., Timothy L. Sellnow, and Robert
sis managers do not watch out for routine emer- R. Ulmer. Communication and Organizational
gencies, they could miss the warning signs of an Crisis. Westport, CT: Praeger, 2003.
impending crisis. Tierney, Kathleen J., Michael K. Lindell, and Ronald
W. Perry. Facing the Unexpected: Disaster
Shari R. Veil Preparedness and Response in the United States.
University of Kentucky Washington, DC: Joseph Henry Press, 2001.
 S
Sabotage sense in reaction to changed economic/industrial
conditions. In this sense, the early usage of sabo-
Sabotage has different meanings in terms of its tage can be associated with capitalism.
political and economic aspects, motivations, goals, Today, the term sabotage is often used with ter-
targets, severities, methods, and causes. The term rorism to imply a human-initiated event within
sabotage has a widespread popularity in everyday the context of terrorism. The reason for the close
parlance, and certain/ordinary violent incidents relation between sabotage and terrorism is that
or destructions can also be described as sabotage. members of terrorist organizations use sabotage-
The elements/wording used to explain the term like incidents in order to obtain their politically
sabotage have been continuously changed and or religiously motivated aims. Given this context,
varied, depending on social, economic, and politi- terrorism and sabotage are thought of as sister
cal conditions of the environment. Before discuss- words in our modern communities. Whereas ter-
ing these elements, the origin and historical back- rorism is related to politically or religiously vio-
ground of sabotage is discussed first. lent activities, illegal and systematic in concept,
sabotage is an illegal activity that can also be real-
Origin of Sabotage ized by terrorists. The most important intersec-
In the history of humanity, incidents that can be tion of these terms is that they should both be
named as sabotage have always occurred, even called illegal rule-breaking behavior. The other
though people did not call them sabotage. None- important intersection of these terms is that it is
theless, the exact origin of sabotage can be traced difficult to quantify the social risks of such events.
back to 19th century. In the literature, sabotage
is derived from the French word sabot (wooden Theoretical Conditions of Sabotages
shoe), and it was first discussed at the end of 19th Even though terrorism and sabotage have been
century, with the French labor movement as a used interchangeably in the literature, sabotage
means of reaction. According to the story that has its own theoretical conditions that should be
gave birth to the word sabotage, French workers fulfilled in order to label an incident as sabotage.
threw their wooden shoes into the mowing and The main condition for an event to be counted
threshing machines to protest increasing mecha- as sabotage is that the incident should occur in
nization during the Industrial Revolution. Thus, a place/environment that has lack of freedom or
the word sabotage was first used in the modern autonomy for its residents. Incidents are arranged/

849
850 Sabotage

Investigators examine a derailed Iraqi Republic Railways locomotive for evidence of sabotage just south of Bayji, Iraq, June 5, 2010.
Years of insurgency and sabotage have damaged the infrastructure of the railway. The purpose of sabotage is to damage, destroy, or
subvert the operating system by targeting its infrastructure, its weakest point. As technology has advanced, sabotage has escalated.

organized in these kinds of places in order to take on the legitimation of (re)action. The amount of
over control. Sabotage can occur in two forms damage varies according to the scale of the sab-
within such places: either as a reaction to political, otage. For example, whereas simple sabotage is
social, or economic status quo (ultima ratio) or as carried out in such a way as to involve a mini-
an action (instrument) to undermine the source mum danger of injury, an environmental disaster
of an opponent’s strength (prima ratio). Sabotage or the theft of nuclear material caused by detailed
can occur also as an individual’s reaction to his or planned sabotage can be called a catastrophic
her environment since the goal of sabotage is not sabotage with high consequences. There are many
only to disrupt some aspect of the organization factors that affect the magnitude of sabotage. For
(particularly its system) but also to direct specific example, excellence in protection or prevention
harm toward an individual. measures, deterrent penalties, interest subjects,
power of conflict parties, and tolerance of dam-
Types of Sabotage age stemming from sabotage by the public (com-
The type of sabotage is often determined by its putability) are some of them.
consequences. In other words, destruction power
of sabotage determines its type and classification. Targets of Sabotage
In order to define the sabotage in the modern With the exception of individual sabotage against
sense, we must determine its current valid ele- individuals, the purpose of all sabotage is to dam-
ments. These elements vary according to the type age, destroy, or subvert the operating system. For
of sabotage, but the common element of all sabo- this reason, generally the infrastructure (its weak-
tage is destruction. The scale of sabotage depends est point) is targeted, which is effective against
 Sabotage 851

the perfect running of a system. As the systems virtual weapons without humanitarian or legal
relaxing everyday life have been developed and restriction.
the technology advances, usages of sabotage con-
tinue to escalate. The conventional attacks against Emrah Pehlivan
pipelines, which are established to meet the needs Independent Scholar
of emerging energy, and virtual attacks against
networks are some of them. See Also: Arms Control; Blame, Politics of; Chemical
Weapons; Civil War; Cyber Crime; Cyber Warfare;
Motivations, Causes, and Tools of Sabotage Denial-of-Service Attack; Department of Homeland
The motivating force of sabotage can be economic Security (DHS); Foreign Policy Crises; Fraud;
(profit) or political (i.e., autonomy, social revolu- Hijackings; Hostage Taking and Negotiation; Income
tion, recessions). Even the central motive of sabo- Inequality and Labor Unrest; Interstate War; Land
tage against a political target can be economic. A Mines; Missiles; Nuclear and Radiological Weapons;
paradox can also be experienced. For example, Nuclear Proliferation; Nuclear Risk; Poverty; Protest;
sabotage as a reaction against the victimization of Religious Violence; Riots; Strikes; Suicide Bombings;
human rights can emerge as a new crime against Terrorism; War Crimes; Weapons Trafficking.
humanity.
Depending on one or all of these motivations, Further Readings
there are different causes for sabotage, such as Allen, V. L. and D. B. Greenberger. “Destruction and
injustice, powerlessness, frustration, facilitation, Perceived Control.” In Advances in Environmental
or boredom, and amusement, but injustice stem- Psychology, A. Braun, & J. E. Singer, eds. Vol. 2.
ming from inequity between involved parties New York: Academic Press, 1980.
is the most frequently cited cause. The goal of Ambrose, M. L., M. A. Seabright, and M. Schminke.
this motivation is either retaliation with destruc- “Sabotage in the Workplace: The Role of
tion characteristics or restoration of equity Organizational Injustice.” Organizational Behavior
with warning characteristics. The relationship and Human Decision Processes, v.89/1 (2002).
between the severity of sabotage and the source Analoui, F. “Workplace Sabotage: Its Styles, Motives,
of injustice depends on the degree of unfairness and Management.” Journal of Management
and on the solution process problems between Development, v.14/7 (1995).
the conflict parties. Bunn, M. and G. Bunn. “Nuclear Theft and Sabotage
Conventional, biological, nuclear, chemical, or Priorities for Reducing New Threats.” IAEA
virtual weapons are the tools of sabotage. Cur- Bulletin, v.43/4 (2001).
rently, the most commonly used tools are conven- Crino, M. D. “Employee Sabotage: A Random or
tional or virtual weapons. Alarmingly, saboteurs Preventable Phenomenon?” Journal of Managerial
can acquire the possibility to commit sabotage Issues, v.6/3 (Fall 1994).
with nuclear or chemical weapons. Harbring, C., et al. “Sabotage in Corporate Contests—
An Experimental Analysis.” In International Journal
Conclusion of the Economics of Business, v.14/3 (2007).
Depending on the above elements and in the Hubbard, R. and G. Paquet. “Design Challenges
modern sense, sabotage can be described as the for the Strategic State: Bricolage and Sabotage.”
deliberate, purposeful, and scheduled disruption University of Ottawa. (2008). http://www
or breakdown of the economic, social, or politi- .gouvernance.ca/publications/08-09.pdf
cal system to achieve a designated economic or (Accessed March 2012).
political goal by applying asymmetric, not cal- Ibaba, I. S. and J. C. Olumati. “Sabotage-Induced Oil
culable and predictable, unexpected, military, or Spillages and Human Rights Violation in Nigeria’s
criminal violence; with haphazard, impersonal, Niger Delta.” Journal of Sustainable Development
symbolic or chaotic character, generally against in Africa, v.11/4 (2009).
the infrastructures of systems on the basis of Mui, V. L. “The Economics of Envy.” Journal of
secret, military, and technical methods, using Economic Behavior & Organization, v.3/26
conventional, biological, nuclear, chemical, or (1995).
852 Safety Policies

Safety Policies encourage employee participation, establish a

drug and alcohol program, and create achievable
Businesses, government agencies, and critical safety program goals.
infrastructure concerns need to have comprehen-
sive safety policies in place to protect people and Employee participation: Every employee, con-
physical assets. According to the U.S. Department tractor, or visitor must be aware of the safety
of Homeland Security, “critical infrastructure are policies when they are within the bounds of an
the assets, systems, and networks, whether physi- enterprise. Safety is a concern of all personnel,
cal or virtual, so vital to the United States that regardless of their role or position within the
their incapacitation or destruction would have a organization. Employees should be accountable
debilitating effect on security, national economic for their predefined area of responsibility and per-
security, public health or safety, or any combina- sonal actions. Clearly defined roles and respon-
tion thereof. The critical infrastructure sectors sibilities allow an enterprise to effectively man-
that apply to this include chemical, energy, and age resources and maintain production schedules.
nuclear reactors, materials and waste.” An oper- Personnel who are alert and well trained will
ational safety policy for an enterprise or critical ensure safe and efficient operations.
infrastructure concern must ensure operational
excellence, system integrity, and safety. These Administrative controls: Essential to the success
policies must consider both human-made threats of a high-performing enterprise is administrative
(terrorism, theft, vandalism) as well as natural controls. Easy-to-use controls will ensure clarity
threats such as earthquakes, floods, tornadoes, of operations, accuracy, and compliance.
and hurricanes.
Safety policies need to be applied to all enti- Communication: Accurate, complete, and per-
ties where there is a potential for loss. The U.S. petual communication develops trust and ensures
government considers the chemical sector as one learning. Open communication should be used
of its critical infrastructure elements with a great throughout all levels of the organization.
potential for loss. Other critical infrastructure ele-
ments include banking and finance, transporta- Continuous improvement: An environment that
tion, water systems, and the power grid. If there is fosters continuous improvement will strengthen
a cyber attack on the banking industry or power the safety of an enterprise. Lessons learned
grid, there may be loss of property and efficacy, should be shared throughout the enterprise to
but probably no human loss. Incidents at chemical improve safety, system integrity, and operational
plants, however, can easily escalate into situations excellence.
where human life is at stake. The chemical indus-
try is special because when an incident occurs at Asset management: The system components of an
one of its facilities, the consequences of the event enterprise should be designed and built utilizing
can be catastrophic and become an extreme event, industry standards and best practices. The enter-
as described by D. Sarewitz and R. Pielki. prise needs to ensure that safety, reliability, and
maintainability are designed into the system.
Developing an Effective Safety Policy
Regardless of the mission of an enterprise, there Community involvement: The enterprise must
are a number of elements required to develop an communicate potential hazards that may impact
effective safety policy. Those elements include: the local community, according to the Environ-
mental Protection Agency. A. Laplante pointed
Management commitment: The senior leader- out that an enterprise must identify hazard assess-
ship must support the safety policies of an enter- ment describing release scenarios, potential off-
prise. Leadership for safety goals and objec- site consequences, and a five-year accident history.
tives should be rewarded at all levels within It must describe prevention programs address-
the enterprise. Management should develop a ing the basic safety procedures, such as training,
policy statement, establish a safety committee, maintenance, and safety audits and emergency
 Safety Policies 853

response programs that cover response plans, include on-the-job training, job instructional
drills, and coordination with local planners. training, and regular reviews of safety topics.
Training should be given to all new employees,
Regulatory interaction: There are local, state, and employees transferring jobs, or those performing
federal regulatory agencies that provide guidance new tasks and as needed by best practices or to
for safety policy. reinforce the employee’s knowledge. Some duties
that expose the employee to specific hazards have
Role of Safety Committee their own training requirements.
The safety committee is the lead entity within an
enterprise that establishes and enforces safety pol- Elements of Safety Plans
icies. The goal of a safety committee is to have all Safety policies need to be captured in an action-
personnel involved with the company safety effort able plan. The safety plan will cover the following
perform in an active manner, such as conduct- phases, described by F. Flammini:
ing accident investigations or planning employee
safety training sessions. The committee can help • Assessment: The understanding of risks and
communicate safety information to everyone vulnerabilities as well as expected results of
in the enterprise and ensure that all employees possible mitigations. This can be achieved
understand how to work safely. Responsibilities by analysis, modeling, and simulation.
of the committee include the following: • Prevention: The reduction of risk by
predicting threat effects. This can be
• Regularly inspecting the facility to detect achieved by means of deterrence and other
unsafe conditions and work practices “passive” countermeasures (for example,
• Identifying and implementing industry best security by design).
practices • Detection: The capability of real-time
• Actively participating in safety and health recognition of abnormal conditions or
training programs and evaluating the behaviors. This can be achieved by means of
effectiveness of such programs active sensors and other technological tools.
• Assessing personal protective equipment • Response: The quick reaction to threats.
needs This can be achieved by adopting early-
• Planning safety promotions or incentives warning, situational-awareness, and
• Planning improvements to existing decision-support systems.
safety and health rules, procedures, and
regulations Each safety plan should have the following
• Overseeing emergency response elements, as defined by Regulations—Standards
preparedness, training, and drills CFR 29 of the Occupational Safety and Health
• Serving as a resource for safety questions Administration (OSHA) Part 1926, Construction
• Immediately investigating any workplace Safety and Health Regulation: basic safety rules;
accidents record keeping; housekeeping and sanitation; first
• Performing a job safety analysis aid; personal protective equipment; fire protec-
tion; hand and power tools; welding and cutting;
The safety committee will proactively mitigate electrical; ladders; scaffolding; guardrails, hand-
safety issues in the workplace, control the costs rails, and covers; material hoists; motor vehicles;
associated with accidents and workers’ compensa- material storage and handling; concrete, concrete
tion claims, establish training and education guide- forms, and shoring; and use of cranes and der-
lines, and increase personnel awareness of safety. ricks. Two critical elements of safety policy are
To ensure that personnel are educated on job the use of emergency response plans and process
hazards, proper job operating procedures, and safety management (PSM).
required personal protective equipment, the safety Typically, emergency response plans consist
plan should outline various training and educa- of the following interrelated and interdependent
tion methods depending on the job task. These elements:
854 Safety Policies

• A highly structured, common, to the facility; on-site/off-site alarms for

integrated crisis and emergency response personnel notification; and evacuation
organization, with clearly defined roles and plans, including routes, assembly areas, and
responsibilities for team members methods to account for personnel.
• Disciplined crisis and emergency response • The location of equipment used to monitor
management processes or test the air from an unplanned release.
• Tools to assist members of the response
organization to understand their roles and Oil, gas, chemical, and petrochemical facili-
carry out their responsibilities ties are required by OSHA to institute process
• Training programs to provide members of safety management for hazardous chemicals, for
the response organization with insight into which OSHA produced a standard. The PSM lists
what they must know and be prepared to extremely hazardous materials and their thresh-
do to anticipate, address, and, whenever old quantities. If a chemical plant has at least one
possible, prevent or mitigate crisis and of the chemicals at the threshold quantity, then it
emergency situations, and to carry out is required to implement PSM. The OSHA stan-
emergency response operations in a safe, dard requires chemical sites to do the following:
effective, and efficient manner
• Drills and exercises to allow members of • Create written plans to identify dangerous
the response organization an opportunity chemicals associated with processes and
to execute their roles and responsibilities, technology used in the hazardous processes.
apply response management processes, and • Conduct hazard assessments of unplanned
use tools in realistic, simulated crisis, and/or releases and develop worst-case scenarios.
emergency response situations These scenarios are consequence-based
reviews of potential outcomes of an
All-risks-all-hazards emergency response man- unplanned release.
agement plans should be designed to help ensure • Address preparedness, response, and
readiness to deal with incidents of all types. mitigation. Review hazard assessment and
response mechanisms.
Safeguarding Chemical Facilities • Develop operating procedures for of all
Chemical facilities are compelled by the U.S. chemical processes.
Department of Energy to provide emergency noti- • Train personnel on incident response.
fication of large quantities of extremely hazard- • Establish management-of-change
ous materials, based on the requirements of the procedures. The management-of-change
Comprehensive Emergency Response, Compen- process is used when there are any changes
sation, and Liability Act of 1980 (CERCLA). to the chemicals used, piping, equipment,
The CERCLA legislation stipulates that every technology, or facilities.
chemical site produce and maintain an Emer-
gency Response Plan (ERP). The plan requires the The PSM requires chemical facilities to use one
following: or more methods to conduct hazard analyses: what-
if, fault-tree analysis, hazard and operability study
• A 24-hour emergency coordinator and an (HAZOP), checklist, or failure mode and effects
alternate 24-hour emergency coordinator. analysis (FMEA). Safety policies are required to
Information about hours of operation and provide guidance for a safe and secure enterprise.
personnel information must be collected.
• The emergency response methods utilized Stephen C. Fortier
in the event of an unplanned release of an George Washington University
extremely hazardous substance, including
on-site response capabilities and levels of See Also: All-Hazards; Chemical Weapons; Critical
training of facility personnel; the identity of Business Functions; Critical Infrastructure; Cyber
fire, medical, and police in close proximity Security; Environmental Contamination; Hazard,
 Salvation Army 855

Definition of; Hazard Vulnerability Analysis; includes pre-crisis training, crisis response and
Hazardous Materials. relief, and post-crisis recovery. The Salvation
Army’s organizational structure permits immedi-
Further Readings ate, independent, local response to crises while
Flammini, F., ed. Critical Infrastructure Security, rapidly benefiting from the support of the broader
Assessment, Prevention, Detection, Response. organization and its liaisons with other relief
Boston: WIT Press, 2012. organizations, as well as regional, federal, and
Laplante, A. “Too Close to Home: A Report on international authorities. The Salvation Army’s
Chemical Accident Risks in the United States.” worldwide crisis management services are flex-
Boston: U.S. Public Interest Research Group, 1998. ible, adaptable, and scalable to the location and
Sarewitz, D. and R. Pielke. “Extreme Events: A scope of the crisis. The Salvation Army’s basic ser-
Research and Policy Framework for Disasters in vices are training, food service, shelter, emergency
Context.” International Geology Review, v.43/5 financial assistance, donations management, emo-
(2001). tional and spiritual care, emergency communica-
U.S. Department of Energy. “Reporting Releases tion, case management, cleanup and reconstruc-
of Hazardous Substances Under CERCLA & tion, and facilitating collaborative partnerships.
EPCRA.” EH-231-001/0490. Washington,
DC: U.S. Department of Energy, Office of Organization
Environmental Guidance, 1990. Established in the United States in 1880, the Salva-
U.S. Department of Homeland Security. “Critical tion Army began cultivating a reputation for pro-
Infrastructure.” http://www.dhs.gov/files/programs viding immediate emergency relief by its response
gc_1189168948944.shtm (Accessed August 2012). to the 1900 Galveston, Texas, hurricane. The Sal-
U.S. Department of Labor, Occupational Safety vation Army further established itself as a repu-
and Health Administration. Process Safety table relief organization by its response to the San
Management: An OSHA Compliance Manual. Francisco, California, earthquake of 1906. The
Neenah, WI: J. J. Keller, 1995. Salvation Army’s largest relief operation to date
U.S. Department of Labor, Occupational Safety and has been its response to Hurricane Katrina on
Health Administration. “Regulations—Standards the United States Gulf Coast in 2006. That effort
29 CFR: Parts 1910 and 1926: Safety Standards secured $400 million in donations, served over 10
for Fall Protection in the Construction Industry.” million meals, and contributed over 900,000 ser-
(1995). RIN 1218-AA66. http://www.osha.gov vice hours from Salvation Army personnel and vol-
/pls/oshaweb/owasrch.search_form?p_doc_ unteers. The Salvation Army’s annual expenditures
type=STANDARDS&p_toc_level=0 (Accessed approach $3 billion, with over 80 cents per dol-
August 2012). lar allocated to relief and social service work. The
U.S. Environmental Protection Agency (EPA). “The organization’s relief services are supported solely
Emergency Planning and Community Right-to- by donations. It consistently ranks among the most
Know Act.” EPA 550-F-00-004. Washington, preferred charities in the United States, as assessed
DC: EPA, Office of Solid Waste and Emergency by leading philanthropic journals. Peter Drucker,
Response, 2000. renowned management authority of the latter 20th
century, has called the Salvation Army the most
effective organization in the United States.

Training
Salvation Army During a crisis event, the Salvation Army relies
on trained workers to coordinate emergency relief
The Salvation Army is an international evangeli- and deliver fast, efficient service to survivors and
cal, Protestant, Christian ministry. It is present first responders. The Salvation Army’s disaster
in nearly 120 countries and territories and is the training program is designed to equip profession-
second-largest charity in the United States. The als and volunteers to serve during times of crisis.
Salvation Army’s approach to crisis management The training program was initiated in 2004 with
856 Salvation Army

the support of the Lilly Endowment. Courses are urgent needs: food, clothing, shelter, and medical.
conducted in a classroom environment and online. The Salvation Army accepts donations on behalf
The training program includes courses devel- of crisis survivors and is one of the nation’s leaders
oped by the Salvation Army and other partner in collecting, sorting, and distributing charitable
organizations such as the U.S. Federal Emergency goods. During crisis management, the Salvation
Management Agency (FEMA), whose expertise Army freely distributes donated items to survivors
is widely recognized. Disaster training courses through a network of temporary warehouses and
are rated according to difficulty. Basic training distribution centers. During crises when tradi-
includes general information and skill develop- tional communications networks are inoperative,
ment. Intermediate training is technical but appli- the Salvation Army provides emergency commu-
cable to a broad number of disciplines. Advanced nications through the Salvation Army Team Emer-
training encompasses information that is techni- gency Radio Network (SATERN) and additional
cal, specific to unique jobs or responsibilities, and coordinated amateur radio networks.
assumes that participants already understand rel-
evant technical terminology and principles. Recovery
When immediate needs have been met, the Sal-
Response and Relief vation Army’s crisis management strategy tran-
The Salvation Army’s unapologetic Christian mis- sitions from emergency assistance to long-term
sion is this: recovery and supporting survivors in the develop-
ment of personal disaster recovery plans. Often,
The Salvation Army, an international move- recovery service begins with the distribution
ment, is an evangelical part of the universal of Salvation Army cleanup kits, which contain
Christian Church. Its message is based on the many of the supplies necessary to clean up dam-
Bible. Its ministry is motivated by the love of aged homes and businesses. During catastrophic
God. Its mission is to preach the gospel of Jesus events, Salvation Army recovery and rebuilding
Christ and to meet human need in His name may continue for years, until homes and commu-
without discrimination. nities are fully rebuilt.

As an expression of its Christian foundation, the Partnerships and Collaboration

unifying element of the Salvation Army’s crisis In crisis events, the Salvation Army actively col-
management strategy is delivering spiritual and laborates with local and state emergency man-
emotional comfort to survivors and emergency agement agencies, nationally with FEMA, and
responders. The Salvation Army is a mass-care internationally with the United Nations. The Sal-
support agency that assists first responders but is vation Army also stands with other volunteer and
not itself a first responder. charitable crisis responders, including leadership
Perhaps the most familiar Salvation Army relief in National Voluntary Organizations Active in
services are hot meals and cold drinks served from Disaster (NVOAD). The Salvation Army is part
a Salvation Army mobile “canteen” to survivors of the U.S. Department of Homeland Security’s
and emergency personnel. Canteens are full-ser- National Response Framework (NRF).
vice kitchens-on-wheels that can prepare and serve
up to 1,500 meals daily. Specially equipped Sal- Richard Gifford
vation Army tractor-trailer kitchens can produce Independent Scholar
tens of thousands of meals per day. Additionally,
during disasters the Salvation Army may provide See Also: Agency Notification and Mobilization;
shelters for survivors with no other place to go. Collaboration; Coordination; Disaster Recovery;
During crisis management, the Salvation Army Emergency Management Agencies, City and County;
provides direct financial assistance to survivors Federal Emergency Management Agency (FEMA);
through a system of trained volunteers and profes- Pre-Crisis Training and Planning; Preparedness;
sional caseworkers. During the early stages of a State Emergency Management Agencies; Volunteer
crisis, this assistance is focused on survivors’ most Coordination.
 Scapegoating 857

Further Readings In the context of crisis management, scape-

Brook, Stephen. God’s Army: The Story of the goating is identified as part of a broader set of
Salvation Army. Philadelphia: Transatlantic crisis response strategies. Crisis response strat-
Publications, 1999. egies are the verbal messages and nonverbal
Jillets, Jeff. “Enduring Katrina: A Firsthand Look actions organizations use to address a crisis and
at the Salvation Army’s Disaster Relief Efforts.” the responsibility for the crisis. The scapegoat-
Weatherwise (September/October 2008). ing strategy refers to the intent of organizations
Salvation Army. “Disaster Relief Services.” http:// accused of wrongdoing to blame persons or
disaster.salvationarmyusa.org/aboutus/?ourservices groups of persons outside the organization. In
(Accessed March 2012). this case, scapegoating is part of a denial pos-
ture by which organizations try to remove any
connection between themselves and the negative
consequences of the crisis. In other cases, orga-
nizations have to bear parts of the responsibil-
Scapegoating ity but try to dissociate certain individuals (e.g.,
employees, the chief executive officer) or sub-
In the context of crises, companies, organiza- sidiaries of a company from the company itself.
tions, government officials, and celebrities are They become scapegoats of the crisis as the orga-
frequently accused of wrongdoing. A common nization claims that these individuals or subsid-
response is the intent to move away the blame for iaries acted on their own behalf and/or without
the crisis or parts of the crisis from themselves official permission or knowledge of the organi-
in order to reduce reputational damages and/or zation. In this context, scapegoating is part of a
financial losses. This kind of crisis response is differentiation posture of organizations.
identified as a specific rhetorical strategy known
as “scapegoating” or “shifting the blame” in the Theoretical Roots
crisis management literature. Several typologies of The research on corporate apologia was the first
crisis response strategies are available that include theoretical perspective that developed taxonomies
different forms of scapegoating. These typologies of crisis response strategies, including different
have their theoretical roots in corporate apologia, forms of blaming scapegoats. Apologia scholars
impression management, image restoration the- such as Keith Michael Hearit posited that orga-
ory, and situational crisis communication theory. nizations are perceived as individual persons and
This article includes definitions and descriptions defend themselves against allegations of wrong-
of different forms of scapegoating, the theoreti- doing. They do so by offering a self-defense dis-
cal roots of scapegoating, and several examples course to protect their reputation. When dealing
and recommendations for the use of scapegoating with charges of unethical behavior, they can take
as crisis response strategy. In most cases, scape- one of five postures: denial, counterattack, differ-
goating results in amplified reputational damages entiation, apology, or legal. The intent to blame
rather than protective effects for organizations scapegoats is reflected by certain variants of the
using this strategy. denial and the differentiation postures. When
A scapegoat can be defined as a person, a group companies do not accept any guilt for a crisis,
of persons, or an organization that is made to they can try to shift the blame to a scapegoat who
bear the blame for something negative in place did not act on behalf of the company (denial).
of somebody else. From a psychological perspec- In many cases, the company has to accept a cer-
tive, scapegoating refers to a hostile process in tain level of responsibility and might try to blame
which people blame someone else for their own employees or subsidiaries and dissociate them
misbehavior or something else they perceive as from the organization as a whole (differentiation
negative. It may also refer to projections of nega- posture). Those individuals or subsidiaries can
tive feelings—often based on inappropriate accu- then be punished, fired, or prosecuted. By doing
sations—toward a broader group of people not so, the accused organization tries to demonstrate
belonging to one’s own group. that the cause of the crisis has been eliminated.
858 Scapegoating

Case Studies in Scapegoating

In most cases, it is not recommended to use examples for the use of scapegoating and
scapegoating as a crisis response strategy unless its effects.
the organization is absolutely certain that it does
not bear some level of responsibility for the crisis. Union Carbide Leak, Bhopal, India, 1984
Evidence-based recommendations for the use A leak of methyl isocynate caused thousands of
of crisis response strategies were produced by deaths (estimates run from 3,800 to over 20,000)
situational crisis communication theory (SCCT). in Bhopal, India. The U.S. company Union Carbide
This framework suggests that stakeholders tried to blame its subsidiary Union Carbide India
attribute responsibility for a crisis to an Ltd., which was in control of the factory in Bhopal.
organization based on their perceptions of the The company tried to dissociate itself from the
crisis type (e.g., natural disaster, accident, or subsidiary. The results were public outrage among
mismanagement), the history of crises of an the Indian population, substantial negative media
organization, and the prior relationships between coverage, and several lawsuits.
the organization and its stakeholders (prior
reputation). Experimental studies produced Exxon Valdez Oil Spill, Alaska, 1989
evidence that the more stakeholders attribute The oil tanker Exxon Valdez, operated by Exxon,
responsibility for the crisis to an organization, the struck a reef and released more than 10 million
more negatively they evaluate the reputation of gallons of oil off the coast of Alaska. Exxon chose
that organization. If stakeholders observe a gap to blame and fire the captain of the tanker, Joseph
between their own attributions of responsibility Hazelwood, as he was intoxicated and set a risky
and the level of responsibility as publicly accepted course. However, the company had to admit that
by the organization, this will result in reputational it knew about the alcohol problems of Hazelwood.
damages and negative feelings of the stakeholders Therefore, the scapegoating strategy had only a
toward the organization. limited effect on restoring Exxon’s reputation, as
Therefore, SCCT recommends using the the company could have prevented the crisis by
scapegoating strategy as part of a denial posture appointing a more reliable captain.
only in situations when organizations are not
at all perceived as being responsible for the BP Oil Spill, Gulf of Mexico, 2010
crisis and when stakeholders are not in danger One of the largest oil spills in history happened in
anymore. However, as this is rarely the case the Gulf of Mexico in 2010, where almost 5 million
or difficult to assess with absolute certainty, barrels of crude oil were released from a seafloor
it is always a risky choice. Most case studies oil gusher that had been damaged by an explosion
in the literature are examples for the negative at the Deepwater Horizon drilling rig. During a
effects of the scapegoating strategy, as in most Senate hearing in May 2010, leading managers
cases its application resulted in public outrage, of the three companies involved—BP, Transocean,
negative media coverage, and the amplification of and Halliburton—blamed each other for being
reputation damages. Scapegoating often triggers responsible for the oil spill. As BP was the main
counterallegations by the one who was blamed company that developed and coordinated the drilling
(the scapegoat). This usually initiates a public project, the scapegoating strategy was the wrong
blame game that, because of its news value to choice. BP was perceived to bear a substantial part
journalists, receives substantial news coverage. of the responsibility. The Senate hearing triggered
Most stakeholders react with frustration and anger public outrage, especially among the population of
to those blame games, as the organizations in the Gulf Coast that was still suffering physically and
question are perceived as if they would not care for economically from the catastrophe. U.S. President
the real concerns of the victims or potential victims Barack Obama was cited by the media with
of the crisis. The following crisis cases are typical depicting the hearing as a “ridiculous spectacle.”
 Scenario Planning 859

Love Parade Panic, Duisburg, Germany, 2010 and/or security failures. Using a very aggressive
During the Love Parade festival in July 2010, form of the scapegoating strategy substantially
the largest techno music festival in Europe, a amplified the reputation damage that resulted from
stampede killed 21 people after mass panic the crisis, especially for the mayor of Duisburg
broke out in a tunnel. More than 500 participants and the police. Analysis of how stakeholders
were injured. The organizer, Lopavent Ltd.; the responded to that blame game on different social
police of Duisburg; the mayor of Duisburg, and media channels showed that they reacted with
authorities refused to take responsibility for the anger and frustration, as they perceived the three
crisis and blamed each other for the stampede organizations to bear some level of responsibility.

The work on corporate apologia stimulated a Schwarz, Andreas. “How Publics Use Social
great deal of research that produced a number of Media to Respond to Blame Games in Crisis
competing typologies of crisis response strategies. Communication: The Love Parade Tragedy in
Among the most prominent streams of research Duisburg 2010.” Public Relations Review, v.38/3
are impression management, the image restoration (September 2012).
theory (IRT) by William Benoit, and the situational
crisis communication theory (SCCT) by Timo-
thy Coombs and Sherry Holladay. Similar to the
work on apologia, scapegoating appeared in those
typologies as shifting the blame (IRT), denounce- Scenario Planning
ment (impression management), or scapegoating
(SCCT). Another variant of scapegoating is the Crisis management skills, expertise, and insights
claim of an organization that the wrongful act was into the scope, dynamics, and variables associ-
performed in response to another wrongful act of ated with managing a crisis situation are typically
another organization or person. As the wrongdo- embedded in scenario development. Scenarios
ing was provoked by someone else, this strategy exist to test the skills of managers, present new
was named provocation and is a form of evading and difficult problems to leadership teams, dem-
responsibility for the crisis (IRT). onstrate how groups and organizations function,
and replicate conditions, demands, constraints,
Andreas Schwarz and problems to be confronted when facing
Ilmenau University of Technology genuine real-world crises. Scenarios serve as the
foundational element of emergency and disaster
See Also: Blame, Politics of; Credibility; Crisis exercises and drills to verify readiness for, confirm
Communications; Public Image; Public Relations. overall preparedness for, and examine approaches
toward effective crisis management. Scenarios at
Further Readings their best describe as much of the environmen-
Benoit, William L. Accounts, Excuses, Apologies: A tal and physical features in a pre-crisis setting as
Theory of Image Restoration Strategies. Albany: possible, leaving only minimal realistic elements
State University of New York Press, 1995. to ambiguity and chance, such as weather, unex-
Coombs, William T. “Parameters for Crisis pected interruptions, diversions of key personnel,
Communication.” In The Handbook of Crisis and the like.
Communication, W. Timothy Coombs, et al., eds. Scenarios are most often developed for use by
Chichester, UK: Wiley-Blackwell, 2010. governments, military organizations, or large pri-
Hearit, Keith Michael. Crisis Management by Apology: vate-sector firms as part of a comprehensive exer-
Corporate Response to Allegations of Wrongdoing. cise meant to test decision making, challenge exec-
Mahwah, NJ: Lawrence Erlbaum, 2006. utive leadership, foster better problem analysis,
860 Scenario Planning

Case Study: Scenario Planning for a Multicar Accident

In a scenario development, Chief Thomas of the characteristics, and numbers of trained responders
Urbanville Fire Department wants to determine if his available, are clearly delineated in the scenario.
three fire companies, consisting of five trucks, three Any special constraints, barriers, limitations, and
pumpers, and three ambulances, can adequately obstacles should also be included. Scenarios
respond to a multicar accident on the interstate cannot capture every fact or risk dynamic, so some
highway that runs alongside his community issues will of necessity be ambiguous or undefined.
where one of the vehicles is a truck carrying some In the scenario, Chief Thomas outlines the role,
anhydrous ammonia and some spillage of that responsibilities, and overall tasks and objectives
chemical poses risks to the highway vehicles and he expects the different emergency leaders to
about 25 percent of the town of Urbanville. demonstrate and, in very general and broad terms,
He decides on a tabletop exercise where leaders what they must accomplish. He provides a general
representing police, fire officials, EMTs, emergency description of the accident site, a graphic map, and
operations center (EOC) staff, hospital staff, and communications equipment to simulate real-world
citizen volunteers representing local businesses, crisis communications. He then allows the group to
residents, and motorists are asked during a three- manage the crisis on their own in a fully interactive
hour discussion how they would likely respond and unscripted open discussion, then stops the drill
to this crisis. The scenario asks town leaders to after two hours of deliberation, group analysis, and
develop a response plan that minimizes casualties, discussion. The target group then reviews what was
property damage, and risks of extensive evacuation done during the drill and makes recommendations,
in addition to making decisions about closing the as necessary, to update the scenario for future use.
interstate itself to manage the crisis. The scenario outcomes designated for this event
The scenario is detailed enough for each are as follows:
player to understand the crisis situations they
are facing, and it outlines the expected—or most • Development of a viable response plan by
effective—outcome expected of key figures like experts that addresses key aspects of the
police, fire, and EMT personnel. It is a goal or crisis
objective that most scenarios include to provide • Expert leaders agree on tactical approaches
a metric for gauging the extent to which players and operational options to resolve the crisis
tried to achieve their assigned outcomes. Where • Experts discuss courses of action chosen
possible, all realistic aspects, such as buildings, and results observed during the crisis
intersections, highway features, chemical spill toxic exercise

promote sharper problem-solving skills, provide interfere with effective crisis management. Scenar-
novel or complex issues, or compel experts to ios also are designed to shed light on crisis com-
assess an unexpected or persistent and enduring plexity and the interdisciplinary nature of events
dilemma that often is associated with loss of life, where, for example, police, public health workers,
property, and extensive damage. Scenarios can be emergency medical techcnicians (EMTs), physi-
written to test leader abilities to size up a situation, cians, disease experts, and the Federal Bureau of
to determine if all key issues are understood before Investigation (FBI) may all be involved in deter-
a strategy or remedy is prepared, or to create a mining the locus of a mysterious pathogen out-
new environment of challenges raising issues never break that is felling teenagers in several communi-
confronted before. Scenarios also aim to uncover ties. Scenarios tend to drill operational experts on
dysfunctional patterns of behavior, unproduc- both routine and nonroutine situations where they
tive processes, and ineffective systems that may are expected to formulate pragmatic solutions in
 Scenario Planning 861

the midst of a crisis. Examples of this include pilot Scenarios Relevant to Crisis Management
training for landing jet aircraft without landing Scenarios most relevant to crisis management tend
gear, training managers how to deal with EMT to focus on five major areas of inquiry: (1) leader
response coverage in a major city where 20 percent behavior and decision making; (2) group problem
cuts in personnel and ambulances have occurred, analysis and strategy development; (3) confronting
and developing skills in a fire chief for handling a novel and unexpected crisis situations; (4) exam-
dangerously complex HAZMAT toxic release of ining organizational cooperation, communica-
poisonous gases in an urban environment adjacent tion, and collaboration in addressing a crisis; and
to a busy interstate highway. (5) assessing implementation and execution strat-
The overall purpose of a scenario is to replicate egies for resolving the crisis with an eye toward
and summarize enough key elements of a crisis overall successful crisis management from begin-
situation that reflects a snapshot of an emerging ning to end. Naturally, there are other variations,
emergency or disaster just seconds before it rip- but each of the first four is segmented on purpose
ens into a full-fledged crisis. The immediacy of to examine in some detail the issues that arise at
the scenario is intended to provide all the key ele- different stages of a crisis. The fifth approach tries
ments, background facts, terrain, resources, geo- to assess the overall performance of all elements in
graphic and meteorological details, situational settling and managing the crisis.
placement of buildings, equipment, people, and Scenarios aimed at assessing leader behavior
triggering events that precipitate the crisis itself. may focus solely on leader perceptions, deci-
Exercise participants are then launched into the sions, analysis, and collaborative managerial
situation with only their peers, their experience, decisions where the time period covered is the
and their perception to guide them. Sometimes a first eight hours of a disaster. Scenarios focused
scenario is used to validate a CONOPS (concept on organizational cooperation and communi-
of operations plan) involving a unique or novel cation steer their emphasis primarily to how
situation never confronted before. An example agencies, offices, and bureaucracies interact and
would be how to manage a disease outbreak in cooperate during a crisis at crucial times, such
a large urban area where a combination of local, as the first two days of a prolonged crisis. Sce-
state, and federal agencies and experts would be narios that raise unique and novel problems
involved in assessing the situation and supplying aim to examine how leadership teams mobilize
strategies and pathways for effective management and focus their expertise and resources to tackle
of the outbreak. unforeseen issues and develop creative solutions
A degree of ambiguity is always expected in to problems never encountered before.
scenario development, as humans do not pos- Realism and authenticity in scenario details,
sess perfect synoptic vision of real-life situations assumptions, operations, and requirements are
where key details may be left out. It is common normally articulated in the exercise design phase,
that eyewitnesses and experts miss or overlook with particular attention to any artificialities
integral details in sizing up the scope and com- that may exist. For example, multiday exercises
plexity of a crisis as it unfolds. Perfect knowledge that intend to force decisions on complex crises
of all the issues and variables in a real crisis is that cannot be resolved in 24 hours may be arti-
often impossible to attain, and crisis managers ficially reduced in an exercise scenario where a
must always do their best to examine all the rel- three-hour exercise period is meant to equal one
evant factors involved in getting an accurate and full day’s work. On the other hand, scenarios
comprehensive operational picture of the situa- that contain too many artificialities undercut the
tion. The key is including enough detail about overall purpose and objective of emergency exer-
the issues, operations, movements, placement, cises and erode the validity of the scenario in the
orientation, and disposition of people, buildings, minds of participants and players. Scenarios often
equipment, vehicles, response resources, and spell out in detail the circumstances, resources,
other ground truths essential to provide a com- staff, equipment, options, and overall situation
mon operational picture for all persons involved that a leadership team faces when an exercise is
in the exercise or drill. launched. This is done to minimize the creation of
862 Search and Rescue

missing “facts” or “ground truth” details during so that these functions can be assessed, observed,
an exercise, which may undermine the exercise and evaluated.
and its objectives.
Below are examples of broad situational sce- R. McCreight
narios that are most often used to test leadership George Washington University
skills of emergency and disaster managers. These
scenarios include the following: See Also: Disaster Drills; Exercises; Pre-Crisis
Training and Planning; Preparedness; Training.
• Environmental conditions, weather, town
maps, emergency resources, business and Further Readings
commercial structures at risk, and local Fink, Steven. Crisis Management: Planning for the
response capabilities, which may be part Inevitable. Lincoln, NE: iUniverse, 2000.
of a complex scenario where a midwestern U.S. Department of Homeland Security. “National
town must decide how it will deal with a Response Framework.” Washington, DC: FEMA
tornado of above-average ferocity given 45 Publications, 2008.
minutes of warning. U.S. Department of Homeland Security. “Securing
• Environmental conditions, weather, town Our Homeland: U.S. Department of Homeland
maps, industrial and commercial properties Security Strategic Plan.” Washington, DC: DHS,
at risk, and local response capabilities 2004.
may be part of a complex scenario where
an Atlantic coastal town with an adjacent
nuclear power plant must decide how it
will handle emergency staffing, evacuation,
protection, and sustainment of the plant Search and Rescue
and other key issues with two days warning
of an approaching category 3 hurricane. Search and rescue is a broad term applied to a vari-
• Environmental conditions, weather, ety of operations focused on locating and assisting
town maps, industrial and commercial persons who are in danger or distress. Search-and-
properties at risk, neighborhood and school rescue operations are conducted by many different
vulnerabilities, and local response capabilities organizations, from local law enforcement agen-
where a railway spill from seven tanker cars cies to international humanitarian organizations,
within one mile of town limits releases highly and specific search-and-rescue techniques have
toxic gases that eventually envelop the town been developed for many different situations,
and adjoining highways with deadly fumes from land searches for survivors of disasters (such
lingering for at least 10 hours. as earthquakes or floods) to searches for ships or
persons lost or in distress at sea. Although search-
Development of Crisis Scenarios and-rescue operations may recover property as
Development of crisis scenarios starts with an accu- well as persons, the highest priority is generally
rate assessment of the actual people, resources, accorded to saving lives of those in distress while
equipment, and external assistance that are likely also safeguarding the lives of the search team.
to be available when a specific emergency situation
begins. It then moves on to describe the situation, Maritime Search and Rescue
a location, identifying characteristics, and embed- Given the vast area covered by the world’s oceans
ded risks that the overall crisis manager must and the fact that much of this area is far from
weigh in formulating his or her operational strat- both territorial waters and established shipping
egy for managing and alleviating the crisis. Often, lanes, international cooperation is key to maritime
a scenario will include which specific emergency search and rescue. The International Convention
functions are to be tested or exercised, such as for the Safety of Life at Sea (SOLAS), adopted in
triage, staging, evacuation, or victim extraction. 1914, was the first international convention to
The scenario must provide enough information deal with issues of maritime search and rescue,
 Search and Rescue 863

along with many other safety issues. The SOLAS search-and-rescue areas, with each party to the
convention deals with many aspects of maritime convention being responsible for specific regions;
safety, such as ship construction, radio commu- this process was completed in 1988. Parties to
nications, and securing of cargo, and it has been the convention agree to a number of obligations,
modified and amended many times since 1912, including establishment of a basic search-and-res-
when it was motivated after the sinking of the cue service, creating rescue coordination centers
Titanic. Chapter V of SOLAS is the section most to be operated 24 hours per day, coordinating
relevant to maritime search and rescue, as it spells search-and-rescue operations with neighboring
out the obligation of ships to respond to others states, establishing detailed plans for search-and-
in distress. The rules of this chapter apply to all rescue operations, and continuing a search until
ships, including fishing vessels and private boats, there is no reasonable hope of rescuing survivors.
while many of the other regulations in SOLAS
apply only to merchant vessels. Land Search and Rescue
The International Convention on Maritime In land search and rescue, as in maritime search
Search and Rescue was adopted in 1979 and and rescue, the total area to be searched is gen-
came into force in 1985; this convention builds erally divided into segments, with different seg-
on the obligations specified in SOLAS for one ments assigned to different teams. Certain pieces
ship to assist another in distress, and it estab- of information can help guide and limit the
lishes an international system of maritime search search. One such piece is the point last seen (PLS),
and rescue. After adoption of the convention, the which is the last place a witness reported seeing
International Maritime Organization began the the person; this information is useful because it
process of dividing the world’s oceans into 13 helps establish the total area to be searched. For

Two soldiers from the Home Front Command’s Search and Rescue Company look for victims at a community center in Sderot, a
western Negev city in the southern district of Israel that was hit by a Kassam rocket, May 17, 2007. Over the course of about a week,
a barrage of over 100 Kassam rockets landed in the town and surrounding area; Hamas openly claimed responsibility for the attack.
864 Search and Rescue

example, if a hiker was seen at a particular point, beings emit scent particles that can be detected by
it is possible to calculate an upper limit for how a trained dog. Normally, teams consist of a search
far he or she could have traveled in the time since dog and handler, and each team is assigned to sys-
the sighting. The concept of the last known posi- tematically cover a particular segment of the area
tion (LKP) is similar but does not require eyewit- to be searched. Canine search-and-rescue opera-
ness identification, so may thus lack the time com- tions have several advantages: because they rely
ponent of the PLS; however, an article of clothing on their sense of smell, dogs can work effectively
or a unique shoe print could identify a location as at night and in heavily populated areas, and they
one the person being sought had passed through. are effective even in situations where sight is lim-
Several different search methods have been ited, such as heavy forest or in the debris left by
developed for land search and rescue; some require an earthquake, tornado, or flood.
trained searchers, while others can make use of
average citizens without particular training or Robot-Assisted Search and Rescue
expertise. The probability of detection (PoD) in a Robots are often used in search-and-rescue opera-
particular case refers to the likelihood of finding tions in hazardous environments such as damaged
the subject with a particular search method. Gener- buildings, when the lives of human and canine
ally speaking, more thorough search methods have searchers could be imperiled by entering the struc-
a higher PoD but are also more time-consuming; ture to search for victims. A search-and-rescue
organizing a search for a (presumed) living person robot is typically equipped with a camera and/or
often requires a trade-off between the most thor- sound-sensing equipment, providing information
ough methods and the quickest methods, to avoid to human searchers who can remain in a safe zone
locating a corpse rather than a live human being. outside the area of collapse. Search-and-rescue
A grid search, in which the search team forms a robots can maneuver in spaces too small for either
line and moves slowly through the search area, is humans or search dogs, move in zigzag patterns,
a thorough but slow type of search; a trained team and be mobilized to any point in the search site,
can cover one mile in about 3.5 hours. Keys to a increasing the probability of quickly locating vic-
successful grid search are maintaining even spac- tims near the center of the area; normally, human
ing among the team members and covering all the and canine searchers work from the perimeter
areas assigned while not avoiding difficult areas, inward. Robots can also bring food and water to
such as patches of thorns. A hasty search takes victims, increasing their probability of survival.
the opposite approach: a small team of trained The Oklahoma City bombing in 1995 increased
researchers moves quickly through the search area, interest in using robots for search and rescue. They
looking for clues of the locations of a lost person. were not used in that disaster, but many research-
Hasty searches are most useful when a high-prob- ers suggested ways they could have been employed.
ability area has been defined—essentially, when The World Trade Center (WTC) bombing in 2001
there is a high probability that the missing person is the first documented case of using robots for
is within that area. In a bastard search, the search search and rescue. In that crisis, robot search and
team looks in the obvious places for the missing rescue was coordinated by the Center for Robot-
person; this type of search is often combined with Assisted Search and Rescue and included scientists
the strategy of containment, in which searchers from universities, military operations, and private
station themselves in locations where the lost per- companies.
son is likely to appear, such as along a road.
Evaluating Search-and-Rescue Efforts
Canine Search and Rescue Search-and-rescue missions are often carried
The use of trained search dogs is an important out under hazardous conditions, such as during
tool in many search-and-rescue operations; in the storms at sea or through partially collapsed build-
United States alone, there are over 150 canine ings following an earthquake. Because the goal is
search-and-rescue units. Canine search and rescue generally to minimize loss of life, hazards to the
takes advantage of dogs’ sensitive sense of smell rescue team must be balanced against the possible
and the fact that both living and dead human lives saved through survivor rescues. Because no
 Search and Rescue 865

organization has unlimited resources for search- all missing persons still alive were located within
and-rescue missions, the optimal use of those 51 hours, and that by 100 hours, nearly all living
resources is also an issue in planning and evaluat- or deceased missing persons had been found. They
ing search-and-rescue efforts. also found that land searches were more likely
The U.S. Coast Guard has established a perfor- than water searches to locate survivors, and that
mance benchmark to evaluate its efforts in saving missing persons age 60 or older had a lower prob-
lives. Although the Coast Guard’s mission is mari- ability of being found alive. Although over 99 per-
time safety, the general principles of this bench- cent of missing persons still living were found in
mark can be applied to other types of search-and- 51 hours or less, over half (56.6 percent) of longer
rescue efforts. The benchmark is calculated as a searches also located a survivor, suggesting that not
percentage using the following equation: all searches should be abandoned at 51 hours, but
that the search manager should consider factors
LS / (LS + LLB + LLA + LUF) such as the age of the missing person and whether
the person was missing on land or on the water.
where LS = lives saved, LLB = lives lost before
notification, LLA = lives lost after notification, Sarah Boslaugh
and LUF = lives unaccounted for. From 2008 to Kennesaw State University
2013, the Coast Guard’s goal for this benchmark
has been in the range of 76 to 78 percent. See Also: Avalanches and Landslides; Blizzards;
The Coast Guard has also established two Earthquakes; Federal Emergency Management
more specific benchmarks. One is the percentage Agency (FEMA); Public Safety Canada; State
of mariners in distress who have been saved after Emergency Management Agencies.
the Coast Guard has been notified. This bench-
mark is calculated as Further Readings
Adams, Annette L., Terri A. Schmidt, Craig D.
LS / (LS + LLA + LUF) Newgard, Carol S. Federiuk, Michael Christie,
Sean Scorvo, and Melissa DeFreest. “Search Is
where LS = lives saved, LLA = lives lost after noti- a Time-Critical Event: When Search and Rescue
fication, and LUF = lives unaccounted for. Because Missions May Become Futile.” Wilderness and
lives lost before notification is removed from the Environmental Medicine, v.18 (2007).
denominator of this statistic, it returns a higher Benedek, David M., Carol Fullerton, and Robert
percentage of lives saved. From 2008 to 2013, the J. Ursano. “First Responders: Mental Health
Coast Guard’s goal for this benchmark has been Consequences of Natural and Human-Made
in the range of 83–84 percent. Disasters for Public Health and Public Safety
A third benchmark refers to property and is Workers.” Annual Review of Public Health, v.28
calculated as (2007).
International Search and Rescue Advisory Group
PS / (PS + PL + PUF) (INSARAG). http://insarag.org (Accessed July
2012).
where PS = property saved, PL = property lost, Israel Ministry of Foreign Affairs. “Kassam Rockets
and PUF = property unaccounted for. Strike Sderot—May 2007.” (May 20, 2007). http://
Annette Adams and colleagues undertook a www.mfa.gov.il/MFA/Terrorism-+Obstacle+to
study to derive a rule to help decide how long +Peace/Palestinian+terror+since+2000/Kassam
search-and-rescue missions should be continued. +rockets+strike+Sderot+-+Photos+-+May+2007
They examined all search-and-rescue missions in .htm (Accessed August 2012).
Oregon from 1997 to 2003; a decision rule was Kentucky Emergency Management. “SAR Field
developed on missions from 1997 to 2000 (1,040 Search Methods: Search Techniques Used by
searches involving 1,509 victims) and validated Trained Teams in the Field.” http://kyem.ky.gov
on searches from 2001 to 2003 (1,262 searches /teams/Documents/SAR%20Field%20Search%20
involving 1,778 victims). They found that nearly Methods.pdf (Accessed August 2012).
866 Severe Acute Respiratory Syndrome (SARS)

Ko, Albert W. Y. and Henry Y. K. Lau. “Intelligent for not informing the World Health Organiza-
Robot-Assisted Humanitarian Search and Rescue tion (WHO) of the outbreak in their country in a
System.” International Journal of Advanced timely manner despite many information requests.
Robotic Systems, v.6/2 (June 2009). The lack of cooperation and honesty exhibited by
Murphy, Robin, Satoshi Tadokoro, Daniele Nardi, the Chinese government during the onset of SARS
Adam Jacoff, Paolo Fiorini, Howie Chosen, and led to the disease spreading quickly to 32 coun-
Aydan Erkmen. “Search and Rescue Robotics.” tries and regions throughout the world. Despite
In Springer Handbook of Robotics, Bruno an increase in global cooperation by China, SARS
Siciliano and Oussamia Khatib, eds. Berlin: infected over 8,000 people and claimed 774 lives.
Springer, 2008.
National Association for Search and Rescue. “Canine Addressing the International Spread
Fact Sheet.” http://www.nasar.org/page/49/Canine To confront the international spread of SARS,
-Fact-Sheet (Accessed August 2012). international public health authorities issued
Petursdottir, G., O. Hannibalsson, and J. M. Turner. strong travel warnings and suggested that air-
“Safety at Sea as an Integral Part of Fisheries ports screen passengers departing from known
Management.” Food and Agriculture Organization infected areas for symptoms associated with the
of the United Nations (FAO) Fisheries Circular No. disease. Additionally, the health authorities insti-
966. Rome: FAO, 2001. tuted the use of basic public health techniques of
isolation and quarantine to stop the virus from
spreading. Isolation is the practice of separating
infected individuals from the general popula-
tion to prevent further transmission of a disease.
Severe Acute Respiratory Quarantine is a more precautious counterpart to
isolation and works to separate individuals who
Syndrome (SARS) may be infected but do not yet present symptoms.
It may be important to note that these techniques
Severe acute respiratory syndrome, or SARS, is are optimally carried out in a voluntary manner;
a severe form of pneumonia that first appeared however, the U.S. government has legal authority
in the Guangdong Province of China in late at the federal, state, and local levels to implement
2002. SARS is a viral infection that is primarily mandatory isolation and quarantine of individuals
transmitted through the respiratory droplets of or entire communities. These containment strate-
infected individuals, but it can also be transmitted gies appear to have been successful in stopping
through surface contact with the virus, which can the spread of the SARS virus. Since 2004, there
live up to six hours on some surfaces. Like other have been no new reports of SARS, although the
viral infections, SARS spreads quickly through WHO and the Centers for Disease Control and
close contact with infected persons and is particu- Prevention (CDC) remain vigilant to the possible
larly disturbing to health authorities because it is reemergence of the virus.
socially communicated and the initial symptoms
of the disease are similar to the flu and other com- Managing SARS
mon illnesses. At this time, there is no vaccine or For most crisis managers, managing a crisis such
treatment shown to consistently treat victims of as SARS begins at the community level with pre-
SARS, nor is there any rapid screening test that paredness planning and environmental surveil-
can help detect SARS in large groups of people. lance. Because of the widespread effects of a dis-
The mortality rate of infected persons is around 9 ease outbreak such as SARS, planning should be a
percent to 12 percent, although the rate increases collective effort between responder agencies and
dramatically for individuals over 65 years old. large community institutions. Containment facili-
The outbreak of SARS in China serves as a ties should be identified, and practices for operat-
reminder of government’s key role in the early con- ing these facilities should be developed on multiple
tainment of a disease outbreak in a global society. levels of threat, ranging from the identification of
The Chinese government was globally criticized the first case to complete community exposure.
 Severe Acute Respiratory Syndrome (SARS) 867

SARS is a nationally notifiable disease, and as If the situation continues to worsen to extreme
such, community health practitioners must remain proportions within a community and the above
vigilant in the immediate reporting of possible control measures do not appear effective in stop-
cases. If SARS were to reemerge, infected individu- ping the transmission of the disease, a community-
als should be isolated away from health care facili- wide quarantine may need to be implemented.
ties to prevent the spread of the disease to health This large-scale quarantine includes activity
care workers and other patients. Instead, isolation restrictions (i.e., staying in one’s home) for resi-
should be conducted in a designated facility or dents and using active monitoring for the entire
in the home of the infected individual. Sufficient community. Additionally, to limit travel in, out,
control measures should be developed and main- and within a community, security checkpoints
tained in order to prevent the exposure of others. may be necessary to prevent the further spread of
Next, individuals who may have been exposed the disease to other communities.
to the infected person or persons, known as con- Educating the public should be an ongoing
tacts, must be identified and monitored. Monitor- public health mission to supplement planning and
ing contacts can be conducted using either active surveillance. For example, providing information
or passive techniques. Both active and passive on how individuals can protect themselves before
monitoring require the establishment of direct and during an outbreak by using proper hand-
communication, usually regular telephone calls or washing techniques and coughing hygiene can
person-to-person meetings, between the contacts also help stop the spread of other similar health
and public health authorities. In passive monitor- concerns. The CDC and WHO have a variety of
ing, contacts are responsible for reporting any materials that should be helpful in the ongoing
symptoms to authorities, while active monitoring efforts to educate citizens and prepare a commu-
involves direct assessment of contacts by health nity for a disease outbreak such as SARS.
authorities. The decision to use active or passive
monitoring depends on how and where individu- JJ McIntyre
als are quarantined. Active monitoring is also more University of Central Arkansas
time-consuming and costly than passive monitor-
ing; however, active monitoring may provide more See Also: Epidemics; Infectious Disease; Influenza;
control over the accuracy of symptom reports. Pandemics; Preparedness; Public Health Surveillance;
If the number of cases continues to increase, Quarantine; World Health Organization (WHO), UN.
then more stringent measures of control may
need to be initiated. Exposed individuals should Further Readings
be quarantined at their residence or a designated Centers for Disease Control and Prevention.
facility. Additionally, exposed health care workers “Public Health Guidance for Community-Level
may need to be put on restricted duty, working Preparedness and Response to Severe Acute
only in a quarantine facility and remaining there Respiratory Syndrome.” http://www.cdc.gov
or in their homes when not on duty. (Accessed April 2012).
If the number of infections continues to grow Chang, C. “Optimal Control of SARS Epidemics
to the point where the source of the infection is Based on Cybernetics.” International Journal of
no longer identifiable, then social distance mea- Systems Science, v.38/6 (January 2007).
sures should be implemented at the community U.S. National Library of Medicine. “Severe Acute
or regional level. Places where individuals congre- Respiratory Syndrome (SARS).” http://www.ncbi
gate, such as schools, churches, work, libraries, .nlm.nih.gov (April 2012).
post offices, and public transportation facilities, World Health Organization. “Epidemic and Pandemic
should be closed, and social events such as con- Alert Response (EPR).” http://www.who.int
certs should be canceled. This technique is com- (Accessed April 2012).
monly referred to as the “snow day” approach. Zhu, Xia, Sengjun Wu, Danmin Miao, and Yunbo
This practice may need to remain in effect for Li. “Changes in Emotion of the Chinese Public in
approximately 10 days to stop the transmission Regard to the SARS Period.” Social Behavior and
of the disease. Personality, v.36/4 (May 2008).
868 Sewage Spill

Sewage Spill hand-to-mouth route, and can survive on surfaces

for many days. Sewage-borne pathogens can cause
The term sewage is used to describe the untreated a host of diseases, such as the following:
water-carried wastes that are excreted from homes,
offices, and industries. It includes fecal matter, • Bacteria: Cholera, typhoid fever, diarrhea,
urine, washing and kitchen wastes, and industrial cramps, tetanus, and leptospirosis. The
waste. It is also known as wastewater, and it is fun- typical bacteria that are sewage-borne are
neled to treatment plants through a network of cholera, E. coli, salmonella, typhoid, and
pipes called the sewer system. Sewage can also be shigellosis.
used to refer to raw sewage, septic tank waste, and • Viruses: Hepatitis A, which can cause
sewage sludge. Sewage spill is an overflow of this yellowing of the eyes and skin, inflammation
wastewater being transported in sewers or under- of the liver, and jaundice. Rotavirus can
ground pipelines into the environment. In U.S. cause fever, vomiting, and diarrhea.
terms, sewage spills occur when the wastewater • Fungi: Aspergillus, which can cause lung
being transported via underground pipes overflows infections and other respiratory illnesses.
through a manhole, cleanout, or broken pipe. Sew- • Parasite: Cryptosporidium can cause
age spills can cause serious health hazards, damage diarrhea, nausea, and fever. This can be
to homes and businesses, and threats to the envi- fatal in some cases, especially when found
ronment, local waterways, and beaches. in drinking water.
There are three main types of sewers used in
most cities of the world. They are sanitary sewers, Other illnesses that can be caused by exposure
stormwater sewers, and combined sewage systems to sewage include skin infections, asthma from
(sewage and storm water). Sanitary sewers carry inhalation of living or dead microorganisms, and,
sewage from private and business premises to sew- in rare cases, inflammation of the lungs.
age treatment plants. Stormwater sewers carry sur- In addition to the risk associated with the bio-
face runoff from rooftops, car parks, and streets. logical agents in sewage, chemical agents present
They include gutters, ditches, and underground in sewage, such as hydrogen sulfide gas, pesti-
pipelines. Combined sewers are open to surface cides, toxins, carcinogens, endocrine-disrupting
drainage and carry both sewage and stormwa- chemicals, and pharmaceuticals, can cause health
ter runoff. Sewage spills can occur in inflow and problem when humans are exposed.
outflow pipes in private or business premises as a Sewage spills also cause pollution of both
result of clogging or flooding of pipelines leading land and water. When sewage enters a river or
into the public sewer. Spills can also occur along waterway, it kills fish and a host of other aquatic
the sewer lines from blockage of the lines, struc- organisms as a result of reduced oxygen levels or
tural defeats from tree roots, or flooding. In some from direct toxicity. It reduces the water quality
cities of the world with combined sewer systems, and can lead to growth of algae blooms, causing
heavy rains can cause flooding of the sewer system, eutrophication.
resulting in sewage seepage into the environment.
Another point where spills can occur is at sewage Managing Sewage Spills and Cleanup
or wastewater treatment plants, possibly the result Sewage spills can spread very rapidly, especially
of flooding or process failures within the plants. during floods, so it is important to effectively deal
with spills with urgency to minimize the risk of
Health and Environmental Effects of Spills exposure to sewage. Where sewage spill is exten-
Sewage spills can cause serious health effects when sive, there may be a need to evacuate people from
humans are exposed. Sewage carries various dis- the affected areas, especially children and pets.
ease-causing organisms (pathogens) that are dan- There should be a proper mechanism for alert-
gerous to human health. The common pathogens ing people in the affected areas. The alerts should
found in sewage include viruses, bacteria, fungi, include any public health or environmental con-
and parasites like cryptosporidium. The patho- cerns and safety precautions that should be taken
gens are usually transmitted through ingestion, by the public. Where rivers or waterways have
 Shelter-in-Place 869

been affected, there should be alerts for no swim- response action is to protect people from expo-
ming. In the United States alone, 1.8 to 3.5 million sure to contaminated air or at least to lower the
people fall sick annually as a result of swimming risk of people’s exposure to contaminated air.
in sewage-contaminated waters. Where people’s Shelter-in-place means selecting a small, interior
homes are exposed, affected houses and furni- room with no or few windows and taking refuge
ture in serious spill cases should be professionally there, such as at home, at work, at school, or in
cleaned. Food items packed in paper or cardboard some other safe place in order to protect oneself
and home-canned foods should be disposed of, as from a crisis event or other dangerous incidents.
well as loose and unpacked foods such as fruits If a person cannot shelter inside a building, shel-
and potatoes. Industrially canned food can still be tering inside a parked vehicle with the ventila-
used but must be properly washed with detergent, tion system turned off is a safer alternative than
rinsed in plenty of clean water, and boiled for 10 remaining outdoors.
to 15 minutes where it is safe to do so. Alterna- People might need to shelter-in-place when
tively, they can be soaked in a solution of bleach chemical, biological, or radiological contami-
for 15 to 20 minutes. nants may be released accidentally or intention-
In the case of a sewage spill caused by flooding, ally into the environment. Sheltering in place is
it is advisable to get professional cleaners to help the normal mode to be utilized during an emer-
with cleaning of contaminated houses and apart- gency, and there are two modes through which
ments. Saturated walls, carpets, and upholstered shelter-in-place offers protections. First, lower
furniture should be removed for disposal or pro- peak indoor concentrations compared to outdoor
fessional cleaning. During sewage spills caused concentrations are encountered after a short-
by flooding, potable water sources are affected. term release because building structures limit
Responsible authorities should provide advice to indoor-outdoor air exchange. Second, sheltering
the population on what can be done with respect may reduce cumulative exposures through one
to accessing potable water. Drinking tap water or more mechanisms, including transformations
should be avoided, and where that is inevitable, of toxic chemicals on building surfaces and time-
the water should be boiled before drinking. dependent manipulation of ventilation rates.
Residents of an affected community might
Augustine Osamor Ifelebuegu be informed that shelter-in-place is being imple-
Coventry University mented through the traditional and new media,
including social media platforms, Emergency
See Also: Chemical Risk; Cholera; Environmental Alert System, warning sirens, Reverse 911, and
Contamination; Freshwater Demands and Shortages. National Oceanic and Atmospheric Adminis-
tration (NOAA) weather reports. In the United
Further Readings States, facilities such as nuclear power plants are
Babbitt, Harold. Sewerage and Sewage Treatment. required to be equipped with audio alert systems
Hoboken, NJ: John Wiley & Sons, 2010. that can be heard within a 10-mile (16-kilometer)
Silverstein, Alvin, et al. Smog, Oil Spills, Sewage, radius.
and More: The Yucky Pollution Book. Berkeley For example, in a chemical supply chain chemi-
Heights, NJ: Enslow, 2010. cal release, local officials provide guidance on
shelter-in-place and/or evacuation. Preexisting
public warning systems that issue shelter-in-place
or evacuation directives reduce negative conse-
quences. Deciding whether to evacuate part of
Shelter-in-Place a community or to shelter-in-place is one of the
most important questions in emergency manage-
Shelter-in-place is a term for emergency man- ment that is often made in urgency and under
agement short-term, nonevacuation strategies to pressure. Shelter-in-place is a fundamental com-
protect community residents’ health and safety. ponent of emergency preparedness, and knowing
The purpose of shelter-in-place as an emergency shelter allocations and resources availability helps
870 Shelter-in-Place

emergency management officials make a more to bring additional food and water supplies for
informed decision to direct the public to evacuate them; (6) ideally, have a hard-wired telephone
or to shelter-in-place. in the selected room—cellular telephone equip-
Most people in the United States had not heard ment may be overwhelmed or damaged during
of the term shelter-in-place until the September an emergency; (7) use duct tape and plastic sheet-
11, 2001, attacks on New York and the Penta- ing (heavier than food wrap) to seal all cracks
gon. Many wrongly consider the term to mean around the door and any vents into the room;
“drive to a shelter.” Shelter-in-place is a relatively and (8) keep listening to the radio or television or
new protective action, and there are numerous new media technology platform until told all is
cases where shelter-in-place has been successfully safe or told to evacuate. A typical shelter-in-place
used. For example, in the case of 70 tons of lique- kit should include, but not be limited to, mask-
fied chlorine released in Henderson, Nevada, on ing tape (2–3 inches wide), plastic film or sheets,
May 6, 1991, research showed that people who towels or sheets for sealing under the doors, bat-
sheltered in place were exposed to a much lower tery-powered radio and extra batteries, flashlight
risk of being contaminated than people who were and extra batteries, and bottled water or access
evacuated. to running water.
Officials make the decision to shelter-in-place
when reasonable assurances are presented that Public Education Is the Key
moving people out of their current residence, Industrial complexes help prepare the community
business, or school will put their health and for what to do if a chemical emergency occurs,
safety in risk more than allowing them to stay in and public education is the key. For example, the
place. Several factors are considered when decid- Wally Wise Guy program is taken into elementary
ing the effectiveness of a protective action such as schools to teach the concept of shelter-in-place.
shelter-in-place. These include but are not limited This shelter-in-place program uses a Wally Wise
to public education and preparedness, response Guy turtle, a costume-character mascot, to bring
time for all parties, chemical characteristics, home the message that it’s wise to go inside his
release time, weather and meteorological con- shell whenever there’s danger. This kids-targeted
ditions, and population density. Among them, public education program is linked to adults in
public education and preparedness is very impor- the community—who learn from the kids. Wally
tant. If publics are not properly informed and are is targeted to reach children from kindergarten to
not part of community dialogue about the haz- fourth grade, so Wally makes personal appear-
ards and options that they can choose to protect ances at elementary schools, day care centers,
themselves, their short-term safety and long-term community parades, sporting events, and other
health will be put at risk. civic events. Wally also has his own collection
There are numerous aspects to how to shelter- of marketing tools, including pens, mouse pads,
in-place, depending on location. For example, at screensavers, blogs, bags, and other promotional
home, following recommendations of the U.S. items with his name and shelter-in-place infor-
Department of Homeland Security, people at risk mation. Outreach comprises industry volunteers,
should do the following: (1) close and lock all nongovernmental agencies, emergency services
windows and exterior doors, and close the win- personnel, concerned citizens, and chemical
dow shades, blinds, or curtains if there is a dan- manufacturing groups. The Community Educa-
ger of explosion; (2) turn off all fans, heating and tion Task Force, a consortium of local emergency
air conditioning systems, as well as close the fire- planning committees (LEPCs), along the Hous-
place damper; (3) have a family disaster supplies ton Ship Channel, developed Wally, which has
kit and make sure the radio is working; (4) go to expanded to more than 106 member organiza-
an interior room without windows—in the case tions in 25 states.
of a chemical threat, an above-ground location In conclusion, shelter-in-place is a relatively
is preferable because some chemicals are heavier straightforward and quick emergency action plan
than air and may seep into basements even if the to implement because of the sudden and unantici-
windows are closed; (5) include pets and be sure pated nature of chemical releases or other incidents
 Sigma (Swiss Re) 871

and crises. Instructions to shelter-in-place are usu-

ally provided for durations of a few hours, not
Sigma (Swiss Re)
days or weeks. The effectiveness of shelter-in- Sigma is a series of research reports on the insur-
place can depend upon multiple factors, including ance industry published by Swiss Re, a large rein-
release condition, the quantity emitted, toxicity of surance company based in Switzerland. Several edi-
the chemical, release duration, and atmospheric tions are released each year. A report dealing with
transport and dispersion. Likewise, building char- catastrophic events impacting the insurance indus-
acteristics, such as leakiness of the building enve- try is published annually. This report is based on a
lope and the interactions between the toxic chemi- privately held database the company maintains that
cals and building surfaces, also affect the result. can be subscribed to. These reports indicate which
Besides these, human factors play an important portions of losses were insured losses. Certain crite-
role as well; for example, delay in notification and ria must be met for an event to qualify as the kind of
response, the timing of shelter termination, and major loss included in the study. The annual report
the knowledge of community residents to enact on catastrophic events is widely viewed as authori-
appropriate shelter-in-place behaviors. tative and is widely cited. Insurance companies may
base many important decisions on the projections
Michael J. Palenchar and findings of these reports.
University of Tennessee, Knoxville Swiss Re is the second-largest reinsurance com-
pany in the world. Reinsurance is the process by
See Also: Chemical Risk; Civil Protection; Cosmology which insurance companies contract with other
Episode; Crisis Communications; Emergency Public insurance companies to share in potential losses.
Information; Evacuation; Mass Care; Pre-Crisis Reinsurance is particularly important in insur-
Training and Planning; Preparedness; Protection; ing that catastrophic events do not impact single
Public Awareness and Education; Terrorism. insurance companies in a manner that would put
them at risk for default.
Further Readings Swiss Re was founded in 1863 and is head-
Centers for Disease Control and Prevention. “Learn quartered in Zurich, Switzerland. The company
How to Shelter in Place.” http://emergency.cdc.gov was founded after a large fire proved that there
/preparedness/shelter (Accessed May 2012). were no adequate insurance provisions for these
Coombs, W. T. and S. J. Holladay, eds. The kinds of losses. The company has offices in over
Handbook of Crisis Communication. Singapore: 20 countries. Swiss Re was one of the main insur-
Wiley-Blackwell, 2010. ers of the World Trade Center in New York City
Heath, R. L. and H. D. O’Hair, eds. Handbook in 2001. The company is widely diversified. In
of Risk and Crisis Communication. New York: 2011, Swiss Re was named China Reinsurer of
Routledge, 2009. the Year, indicating the role the company plays on
Mannan, M. S. and D. L. Kilpatrick. “The Pros and the international scene.
Cons of Shelter-in-Place.” Process Safety Progress, In 2005, Swiss Re acquired the U.S. reinsurance
v.19/4 (2000). company General Electric Insurance Solutions
Perry, R. W. and M. K. Lindell. “Preparedness for $7.4 billion. This move greatly expanded the
for Emergency Response: Guidelines for the company’s U.S. presence.
Emergency Planning Process.” Disasters, v.27/4 Swiss Re has maintained the Sigma database
(2003). since the 1970s. It is a limited-access database of
Sorensen, J. H., B. L. Shumpert, and M. B. Vogt. natural and human-made disasters available only
“Planning for Protective Action Decision to subscribers. Approximately 300 new disas-
Making: Evacuate or Shelter-in-Place.” Journal of ters are added to the database each year. Sigma
Hazardous Materials, v.109/1 (2004). requires that one of a number of criteria be met for
U.S. Department of Homeland Security National a disaster to be added to the database. Among the
Terror Alert Response Center. “Shelter-in-Place.” marks for inclusion are at least 20 deaths, 2,000
http://www.nationalterroralert.com/shelterinplace made homeless, or insured losses more than $14
(Accessed May 2012). million. The monetary thresholds are adjusted for
872 Sigma (Swiss Re)

inflation on a yearly basis. Sigma gives all losses summaries of yearly catastrophic events. Though
for an occurrence in U.S. dollars based on the much of the data on disasters is considered propri-
exchange rate at the end of the year. To adjust for etary by Swiss Re, the company’s Web site is a rich
inflation, the dollar values are figured using the source of information that can be freely accessed.
U.S. Consumer Price Index. The sources of data on disasters are not
Swiss Re publishes a number of Sigma stud- released by Sigma. It is thought that data are
ies each year. The name of the publication comes gathered from newspapers, insurance periodi-
from the Greek letter, which has several impor- cals, specialist publications, online reports, other
tant functions in math, including a designation for insurers, geographic and geologic sources, and
risk, a primary concern of the insurance industry. direct market contacts.
Recent issues of Sigma include: The Sigma report on the losses of 2011 noted
that the losses that year reflected an increase
• Understanding profitability in life in risk. This was noted to be especially true in
insurance emerging markets. It was also noted that flooding
• Natural catastrophes and human-made showed a lack of good flood hazard information.
disasters in 2011: historic losses surface The report indicated that Swiss Re will update its
from record earthquakes and floods flood hazard information to give the insurance
• Microinsurance: risk protection for 4 industry a clearer picture of the risk of losses from
billion people floods. This information could be used by insur-
• World insurance in 2008: life premiums ance companies to make decisions about cov-
fall in the industrialized countries, strong erages and policy rates. Data for 2011 differed
growth in the emerging economies from 2009 in that in 2009, Sigma reported that
• Scenario analysis in insurance catastrophes claimed fewer lives and that insured
• Insurance in the emerging markets: losses were down from the previous year. Sigma
overview and prospects for Islamic reported that despite historic insured losses, the
insurance insurance industry weathered the losses with no
undue burden on the industry as a whole. The
Sigma studies give analysis of economic issues massive tornado season in the United States was
as well as reporting on issues in insurance, rein- noted, as well as the milder-than-normal U.S. hur-
surance, and other financial services. Sigma is ricane season.
published in English, German, French, Spanish,
Italian, Japanese, and Chinese. Seven to nine stud- Ken B. Taylor
ies are published each year in the Sigma series. It New Orleans Baptist Theological Seminary
comes in print and online versions.
Of prime importance for crisis management, See Also: All-Hazards; Blizzards; Bureau for Crisis
each year one issue of the Sigma series presents Prevention and Recovery, UN (UNDP–BCPR);
data related to catastrophic events and risks over Catastrophe, Definition of; Disaster, Definition of;
the past year, with some outlook on the future. Earthquakes; Floods; Hurricanes, Typhoons, and
The report on natural and human-made disasters Cyclones; Risk Analysis; Risk Assessment; Tornadoes
occurring in 2011 revealed that the economic losses and Severe Thunderstorms; Tsunamis; Wildfire.
from these events were the highest in history. The
economic losses were $370 billion, with insured Further Readings
losses totaling $116 billion. The events included International Bank for Reconstruction and
the highest insured earthquake losses, with the Development and World Bank. Natural Hazards,
earthquakes in Japan, New Zealand, and Turkey. UnNatural Disasters: The Economics of Effective
Australia and Thailand suffered great floods with Prevention. Washington, DC: World Bank, 2010.
losses of property and life. Insured losses for the Swiss Reinsurance. “Natural Catastrophes and
year were the second highest in history. Man-Made Disasters in 2011: Historic Losses
The Swiss Re Web site gives extensive access Surface From Record Earthquakes and Floods.”
to Sigma reports in the form of podcasts giving Sigma No. 2/2012. Zurich: Swiss Re, 2012.
 Simulations 873

Swiss Reinsurance. Random Occurrence or with a crisis. When an actual crisis occurs it will
Predictable Disaster? New Models in Earthquake most likely not go exactly as it did in the simula-
Probability Assessment. Zurich, Switzerland: Swiss tion, but by preparing for a crisis through practice
Re, 2001. simulations, the crisis responders should be better
prepared for the situation.

Pre-Crisis Prevention and Planning Phase

It has become important to crisis managers to
Simulations properly utilize the planning options of the pre-
crisis phase of the crisis mitigation cycle. Avoiding
Preparation is one of the most important tools or preventing a crisis is one of the most important
a leader has during a time of crisis. In order for steps a crisis manager can undertake. During this
a person or an organization to realize how pre- stage, a crisis manager will research and design
pared they are for any given crisis, a test of the a plan that, it is hoped, will put the organization
crisis management plan needs to occur. One of in the best possible position to deal with a future
the best ways to test a crisis management plan, incident. If it has undergone a previous crisis
the leadership, and the team members is through where it has completed an extensive evaluation in
an active simulation. A simulation is an activ- the post-crisis phase, it will be able to adopt the
ity that gives participants the opportunity to go suggestions and recommendations for their crisis
through a real-life scenario in which they test plan. These experiences can be utilized in the cre-
their actual skills, plans, and resources in a set- ation of the simulation.
ting that is similar to what they would experi- Developing the simulation for use in the plan-
ence during an actual crisis. If designed correctly, ning phase will provide opportunities to train
a very good simulation will test every aspect of crisis team leaders, members of the community,
the crisis management plan. and other stakeholders in the proper procedures
Too often in the past, crisis management plans for handling a crisis. Preventive measures taken
were created on paper and stored in a gigantic during the planning stages will allow the crisis
binder in someone’s office, seldom looked at and managers to become more familiar with resources
even less likely discussed. It possibly may have available to them in human and fiscal capital and
been reviewed once a year or looked at, before to identify other resources at their disposal.
annual weather seasons such as hurricane, bliz- Continuous training in crisis management
zard, or tornado season. When an actual crisis has become imperative to the successful opera-
occurred, it was too late or too cumbersome to tion of a crisis management plan. Through the
utilize, with numbers on the contact list being out training process, team members become familiar
of date, people changing positions, or information with possible crisis scenarios, strengthen team
impossible to find. In order for a crisis manage- cohesion, improve performance speeds, and
ment plan to be properly utilized, the plan needs assist with stress management. By using simula-
to be routinely tested. Simulations provide the best tions in the educational learning environment of
opportunity to provide that test of the plan. the training process, team members get a chance
Simulations can be designed to meet the needs to deal with the uncertainty, threats, and other
of the participants. It can focus on general prac- issues, such as communications or resource allo-
tices or on a particular crisis scenario. Simula- cation, that occur in an actual crisis. Through
tions can be used to test policies and procedures the simulations, policies and procedures can be
and team readiness, build relationships, establish tested, personnel can be identified who need to
resources, and look for holes and discrepancies be added to the team or prioritized in the contact
in the plan. The simulations need to be designed list, vulnerabilities can be identified, organiza-
to give the participants a realistic understanding tional structures and relationships can be evalu-
of what they may actually experience during a ated, and credibility with stakeholders who are
genuine crisis. These crisis simulations will pro- aware of the tests can be increased. Crisis team
vide the team members actual experiences dealing members can be assessed from their simulation
874 Simulations

A responder surveys a simulated accident scene to quickly assess and triage potential survivors during training at the Center for
Domestic Preparedness (CDP) at its Chemical, Ordnance, Biological, and Radiological Training Facility in Anniston, Alabama, August
5, 2011. The CDP offers the only program in the nation featuring civilian training exercises in a true toxic environment that uses real
chemical agents. The advanced, hands-on training enables responders to effectively respond to real-world incidents.

performance and can learn from the experience test their plan; discover flaws, vulnerabilities, or
to better perform during an actual crisis. oversights in the plan; and correlate and connect
For crisis management training and evaluation, individuals or departments to specific activities if
simulations can take many forms. The two most a crisis were to occur. Tabletop exercises entail
common and useful of these simulations to those very low stress and allow for corrections to be
working with crisis management are tabletop made in the plan through the process. If there is
exercises and full simulations. a need for a correction, the tabletop exercise can
be paused and the policy or procedure changed.
Tabletop Exercises Tabletop exercises can be very beneficial for
For cost-effectiveness, tabletop exercises are often training. They can serve as ways to acclimate new
the most practical way to host a simulation for team members, create team cohesion, and hone
many crisis management administrators. Table- skills of veterans. Tabletop exercises have the flex-
top exercises are designed to bring together the ibility to be as simplistic or complex as the user
people who would be involved in handling a cri- needs them to be. They can be designed to be a
sis through a discussion-based platform. Often brief walkthrough at the end of a staff meeting for
done through simple “paper and pencil” meth- an individual department, or they can have a very
ods around a table or in a conference room, a detailed design involving members of the organi-
crisis scenario or case study is created, detailing zation, community members, and stakeholders.
the particulars of the incident. The participants
then examine and discuss the details of the sce- Full Simulations
nario, deciding how they would handle the crisis. Full simulations are opportunities for an organi-
Through this process, the participants are able to zation to fully test its crisis management plan. In a
 Simulations 875

full simulation, participants act as if an actual cri- financial costs than a tabletop exercise because of
sis were occurring, managing posts, responding in the expenditure of actual resources through the
person, and truly testing the actual execution of a simulation, and it also takes more time to plan
crisis plan. In a full simulation, many people and and to organize the event.
resources are involved. Personnel include those
in the organization, possible “actors” or partici- Simulation Design
pants to represent the victims or bystanders to the In order for simulations to be successful, proper
events, outside agencies that may be involved and planning and design needs to occur. Specific goals
called into service, and often outside evaluators to need to be created by the crisis management team,
critique the execution of the operation. and possible crises need to be evaluated that could
Hosting a full simulation offers the benefit of occur to the organization. Planners should uti-
allowing a more accurate test of the command lize a conceptual model such as the crisis matrix
structure and operation of the crisis management described by E. L. Zdziarski, J. M. Rollo, and
plan. If a mistake is made or a resource is not N. W. Dunkel. This model is designed to trian-
available, the participants have to navigate the gulate between level of crisis, types of crisis, and
situation and cannot pause to correct the mistake intentionality of crisis. The levels of crisis can be
or try a different plan of action. If there are any designated as a critical incident (often involving
discrepancies or flaws in the plan, they are iden- one person or a small group), an organizational
tified and the participants are tested on whether emergency (impacts everyone in the organiza-
they can devise a successful substitute or alterna- tion but is contained within the organization),
tive. Although the participants know that it is a and disaster (full-scale disruption that affects the
simulation and there is less pressure on them than organization and the community). The types of
during a real crisis, the experience still makes them crisis are linked into environmental, facility, and
more prepared, and the familiarity of choices will human crises. Finally, intentionality of the crisis is
benefit them in an actual crisis. categorized as intentional and unintentional.
Full simulations provide an excellent opportu- Planners of simulations can devise possible sce-
nity to test personnel on the crisis management narios by choosing from one aspect of each cat-
team. Even though the participants know that it egory of the crisis matrix. For example, a chosen
is not an actual crisis, their stress levels are ele- crisis could be a critical incident, human crisis, and
vated compared to a tabletop exercise. In the full intentional. The crisis manager then would devise
simulations, there are opportunities for the team a simulation around this, such as a person being
members to build and strengthen their cohesive- shot intentionally by a former coworker. The cri-
ness with each other as they mimic the situations sis manager could devise different simulations for
in the field or in the command center. each of the possible combinations of level of crisis,
Full simulations require a lot more planning type of crisis, and intentionality that relate to the
and coordination in the creation of the scenario. type of incidents the organization may face. The
Participants need to be notified in advance. If team members can then practice these simulations
there is role-playing involved, such as possible to become familiar with the execution of that par-
victims, the actors need to be trained in advance. ticular type of plan. When a real crisis occurs, by
Outside agencies need to be notified and coor- relating it back to the design of the matrix, they
dinated with if they participate in the event or can utilize and substitute as necessary but will
if they need to be aware that it is happening. have the foundation needed to facilitate dealing
In order to make sure an actual panic does not with the crisis to the best of their ability.
occur, if a full simulation may be witnessed by the
organization’s community or general bystanders, Steven McCullar
proper notice of the full simulation needs to be St. Cloud State University
given through the media and other communica-
tion methods. The public needs to know that this See Also: Agency Notification and Mobilization;
is just a simulation and that an actual crisis is not All-Hazards; Alternate Site, Corporate; Backup
occurring. A full simulation also involves more Facility; Civil Protection; Collaboration; Command
876 Simulations

Case Study: Campus Shooting Simulation

Since the shootings at Virginia Tech and Northern along with the handling of a barrage of outside
Illinois, many college campuses have hosted active phone calls that tied up key personnel who needed
shooter simulations to test their readiness for such to be handling other aspects of the situation.
an event on their campus. In these simulations, Communication and coordination issues stood out
the crisis management plans, crisis administrators, during the simulation as areas of concern.
students, faculty, staff, and local agencies are In the post-evaluation process, the institution
tested to see how they would respond if a shooter looked at data from outside evaluators along with
were to choose their campus for such atrocious discussion of their own experiences. The data
actions. were evaluated to see what they did correctly and
After recent rises in campus shootings such also what they could improve. It became apparent
as one in California, a community college in the that they needed to modify and change how they
southeast decided to run a crisis simulation to responded to students, especially interaction with
test its readiness. An active shooter scenario students through the Internet.
was designed and implemented in order for the By hosting a full-scale campus shooting
institution and outside evaluators to observe the simulation, this community college was able
response. The college coordinated with community to evaluate its crisis plan within the institution
officials and with a dozen police and emergency while also testing its readiness in case an actual
agencies in the planning of the event. The shooter were to come on campus. Even though
simulation was chosen to take place during the this simulation was planned out in advance and
institution’s spring break to minimize the disruption administrators were not surprised that it was
of classes and the impact on students, and proper happening, the crisis administrators were still able
media notice was given to those in the community to learn from the experience. Even being aware of
to make them aware that only a simulation was having an active shooter simulation on campus,
taking place. giving a chance for preparation, there were still
The simulation was carried out on campus, flaws and failures in the system. If a real crisis
and data were gathered to evaluate the response were to occur, there would be additional burdens
of the institution and the agencies. They found from the added stress of surprise, but by hosting
quickly that the actions occurred very rapidly a simulation, the institution hoped to be one step
and that decisions also had to be made quickly, closer to being prepared.

and Control; Contingency Planning; Coordination; Further Readings

Crisis Communications; Crisis Simulations; Curtin, T., D. Hayman, and N. Husein. Managing
Critical Applications; Critical Infrastructure; a Crisis: A Practical Guide. New York: Palgrave
Decision Making; Decision Making, Theories of; Macmillan, 2005.
Decision Making Under Stress; Disaster Drills; Nudell, M. and N. Antokol. The Handbook for
Emergency Management Agencies, City and County; Effective Emergency and Crisis Management.
Emergency Manager; Emergency Operations Center; Lexington, MA: Lexington Books, 1988.
Exercises; Groupthink; Hazard Mitigation; Incident Seymour, M. and S. Moore. Effective Crisis
Management; Logistics; Operational Plans; Political Management: Worldwide Principles and Practice.
and Organizational Leadership; Pre-Crisis Training London: Cassell, 2000.
and Planning; Preparedness; Prevention; Response Yusoko, K. P. and H. W. Goldstein. “Selecting and
Team; Risk Analysis; Risk Assessment; Scenario Developing Crisis Leaders Using Competency-
Planning; Situational Analysis; Strategic Plans; Based Simulations.” Journal of Contingencies and
Training; Volunteer Coordination; Vulnerability. Crisis Management, v.5/4 (1997).
 Situational Analysis 877

Zdziarski, E. L., N. W. Dunkel, and J. M. Rollo, eds. for success while also helping to ensure that the
Campus Crisis Management: A Comprehensive right tools, personnel, and procedures are in place.
Guide to Planning, Prevention, Response, and Both internal and external factors are equally con-
Recovery. San Francisco, CA: Jossey-Bass, 2007. sidered within a situational analysis. The process
Zdziarski, E. L., J. M. Rollo, and N. W. Dunkel. involves analyzing the state of the organization,
“The Crisis Matrix.” In Campus Crisis including its internal strengths and weaknesses,
Management: A Comprehensive Guide to as well as its external threats and opportunities.
Planning, Prevention, Response, and Recovery, It also identifies objectives and strategies for their
E. L. Zdziarski, N. W. Dunkel, and J. M. Rollo, implementation in a variety of fields.
eds. San Francisco: Jossey-Bass, 2007. Organizations select emergency planners or
crisis management teams to identify and mitigate
potential crises and develop an organizational cri-
sis management plan. These teams may consist
of a representative selection of relevant person-
Situational Analysis nel, such as employees, board members, volun-
teers, donors, and outside actors. They conduct
Situational analysis is a business strategic man- extensive research, analysis, testing, review, and
agement-planning tool that has been usefully revisions to create effective emergency response
adapted to the field of crisis management. Situa- plans. Their considerations include likely types
tional analysis identifies and evaluates the unique of crises, likely primary and secondary impacts
state of the environment and circumstances of these crises, and internal and external condi-
within which a person, organization, or program tions that may impact crises and organizational
is operating and how these elements interact with response.
one another in both the present and the future. The foundation of a crisis management plan
Situational analysis is used in both the planning consists of the mission statement, goals and objec-
and response phases of crisis management. Its tives, and strategies for implementation. A crisis
use results in an effective crisis management plan management plan’s objectives can be established
and response that considers the dynamic, com- prior to the situational analysis and adapted
plex nature of crises and the need for adaptability according to its findings, or the objectives could
in crisis management and response, and it allows be established upon completion of the situational
organizations to learn from past crises and miti- analysis to ensure their compatibility with its
gate future crises. findings. Both methods are commonly in use and
bring their own strengths and weaknesses. Some
Crisis Management Planning crisis managers prefer the former method because
Situational analysis in crisis management plan- the mission and objectives will be in line with the
ning is useful for both crisis avoidance and cri- organization’s present situation and history. Other
sis mitigation and is a vital beginning to the pro- crisis managers prefer the latter method because
cess of developing a thorough and effective crisis it provides greater opportunity for formulating a
response plan. Two key considerations to identify new vision that is not unduly influenced by the
in crisis management planning are the threats to organization’s present situation and history.
the organization posed by potential crises and the
opportunities for action and improvement posed SWOT Analysis
by potential crises. Organizations that can benefit The strategic business and organizational plan-
from crisis-management-based situational analy- ning method known as a SWOT (strengths, weak-
sis include businesses, nonprofits, governments, nesses, opportunities, and threats) analysis (or
first responders, emergency response units, fami- SLOT analysis), developed by Albert Humphrey
lies, and individuals. during the 1960s and 1970s, is a useful business-
Situational analysis aids in the development of planning tool that has been widely adapted to any
crisis management plans with clearly defined state- decision-making process in which there are clearly
ments of purpose, objectives, strategies, and criteria identifiable objectives. It is commonly adapted
878 Situational Analysis

for use in crisis management prevention, plan- performance review. A situational analysis would
ning, and preparation. Although SWOT analysis then seek to identify and evaluate those factors
is one of the most common components of situ- relevant to crisis management as well as the rela-
ational analysis, other methods are sometimes tionships among those factors.
employed as an alternative to or in tandem with a Internal and external factors to consider rel-
SWOT analysis. An enterprise-virtual representa- evant to crisis management include personnel
tion (EVR) analysis focuses on how organizations (employees and volunteers) and other potential
environmentally adapt to situations and has also actors; finances and other resources; technical
been found useful in crisis management. capacity and potential for development; legisla-
A SWOT analysis seeks to identify and evalu- tion; economic, social, and political climates; and
ate a potential project’s strengths, weaknesses community relations. The determination of which
(limitations), opportunities, and threats by gath- factors are relevant and critical in crisis manage-
ering thorough information for each of these tar- ment are variable between types of organizations
get categories. The use of SWOT analysis in crisis and crises.
management emphasizes the identification of vul- Another important category of consideration
nerabilities and threats as well as the evaluation involves the human impacts of potential crises.
of the plausibility and seriousness of identified Employee and volunteer availability, responsi-
vulnerabilities and threats. Important consider- bilities, reporting procedures, and contact infor-
ations include the possible effects of a potential mation are examples of internal human impact
crisis and the potential costs to the organization variables, while customer, client, or community
and its services, assets, image, personnel, and groups’ needs and accessibility and the avail-
other identified relevant factors. SWOT analysis ability of outside help are examples of external
also focuses on the identification of possible ways human impact variables. Situational analysis aids
to mitigate or minimize these effects. in the establishment of a clear chain of command
An organization’s strengths and weaknesses are that accounts for various contingencies when des-
considered internal factors, while opportunities ignated leadership may be compromised, as well
and threats are considered external factors. The as clear directives for when and how outside per-
analysis of strengths and weaknesses determines sonnel resources should be sought if internal crisis
those internal factors that provide an advan- management resources are overwhelmed.
tage or disadvantage over other organizations or Communication is yet another vital area of
projects, while the analysis of opportunities and situational analysis in crisis management plan-
threats determines the external factors that could ning. Internal and external communications man-
enhance or diminish an organization’s or proj- agers and spokespeople should be identified for
ect’s performance. Internal factors are under the the various crisis scenarios under consideration,
organization’s more immediate ability to control, and access to various categories of information
while external factors require an organization and means of communicating that information
to respond. SWOT analysis results are often in should be determined. Examples of key informa-
matrix form. A SWOT or other form of analysis tion include the place and time for assembling the
then provides a solid foundation on which to con- crisis management team, the work and emergency
clude the larger situational analysis and develop responsibilities of employees and other relevant
an effective crisis management plan. actors in various crisis situations, and the avail-
ability of services or facilities.
Areas of Consideration Objectives for effective communication include
The first areas of consideration generally focus the dissemination of clear and accurate informa-
on the crisis management plan’s goals and scope tion as needed to employees, outside authorities,
of coverage, as well as the delineation of what and the general public; the prevention of unneces-
constitutes a crisis and when the plan should sary panic; and the minimization or elimination
be implemented. Crisis managers, like strategic of rumors, exaggerations, and other forms of mis-
business planners, often first conduct an analy- information. This is especially vital in crises that
sis to determine the state of the organization or a engender widespread public attention and receive
 Situational Analysis 879

widespread media coverage. Effective situational situational analysis is another method of increas-
analysis and adaptation can also avoid public ing flexibility.
incidents of blame as people seek scapegoats in
the face of disasters or other crises. Crisis Management Response
Technological considerations may focus on the Situational analysis is critical not only to effective
state of an organization’s technological resources crisis management planning, but also to effective
and plans for technological growth and the poten- crisis management response during crisis situ-
tial emergence of new technologies in the field. ations. The general crisis management response
The crisis management team may also identify procedures developed during the planning stage
those technological or other physical elements need to be evaluated, supplemented, and adapted
essential to the implementation of emergency to meet the unique situational aspects of individ-
response or the resumption of normal operations. ual crises. Ineffective or nonexistent situational
The proximity, availability, and technological analysis can contribute to poor management of a
capacities of outside private, volunteer, or gov- crisis, often exacerbating the situation.
ernmental emergency response resources are also Crisis managers need to rationally analyze the
generally considered. situation and determine if it constitutes a crisis,
Examples of physical and geographical con- determine the scope and nature of the crisis, and
siderations are the location of the organization guide an effective and positive response. Situ-
and its constituency, the area’s infrastructure and ational analysis is a critical step in the process
resources, and the prevalence and types of natural of developing an understanding of how to best
disasters in that area. Local, national, or inter- respond to various crisis situations. Crisis man-
national political, economic, and sociocultural agers also use situational analysis in the determi-
situations and the identification of any conten- nation of when to safely begin rescue and relief
tious issues may also come into play. Examples operations and/or when to resume normal busi-
include legislative, regulatory, or other govern- ness operations.
ment actions and publicity surrounding industry The management of information flow is a
issues or failed industry oversight or conditions vital component of real-time crisis management.
that led to previous crises. Ongoing real-time situational analysis allows
An effective crisis management plan must fore- involved personnel to remain fully informed as a
most be flexible and adaptable in the face of the crisis unfolds and crisis conditions may change.
dynamic nature of both the internal and external An internal communications manager should be
factors identified through situational analysis and identified to inform internal actors as needed to
of the crises themselves. Situational analysis helps ensure worker safety, provide clear knowledge of
plan for the varying response levels necessary to when and where to report in various situations,
meet the varying magnitudes of potential crises as and counteract any misinformation or rumors.
well as establishing a clear determination and pro- Ongoing situational analysis also aids in the effec-
cedure for the involvement of external resources tive implementation of contingency plans, such as
or organizations when deemed necessary under chain of command when a crisis response leader
various scenarios. is unavailable or calls for outside agencies or
Allowances for adaptability, as well as periodic resources when local resources are overwhelmed
review, updating, and revision, will ensure the Levels of public knowledge and public inter-
flexibility of a crisis management plan. Emergency est in an unfolding crisis are another critical
drills, simulations, and field exercises are common variable that can be identified through real-time
methods of evaluating crisis management proce- situational analysis. The management of informa-
dures before their use in an actual crisis. The need tion flow’s impact on public opinion as related to
for an adaptable, flexible crisis management plan the company or program and its handling of the
that minimizes the potential impact of crises can current situation can be critical to successful cri-
also be achieved through the thorough consider- sis response as well as the successful resolution
ation of a variety of potential crisis scenarios. The of related legal and public image issues that may
inclusion of contingency plans identified through arise after the crisis has passed. An organization
880 Situational Analysis

spokesperson should be identified and available any contributing weaknesses that either were not
throughout a crisis to serve as a public face and detected or not recognized as contributing factors.
provide proactive, clear, and accurate informa- The success of post-crisis situational analysis
tion as necessary. depends on the establishment of open and accu-
Actual crises are directly impacted by the rate communication as well as avoidance of rush-
local conditions and the sometimes unpredict- ing to hastily drawn conclusions and the desire
able, always dynamic, and dangerous nature of to place blame. Questions to consider generally
crisis situations. These conditions often chal- include the effectiveness of all phases of the cri-
lenge even the strongest crisis management sis response, whether the formal crisis manage-
plans. Emergency responders may be forced by ment plan was implemented and to what extent,
local conditions to deviate from the formal cri- what adaptations or deviations were necessary
sis management procedures developed during the and why, and the identification of responses that
planning stage if they are to provide an effective could or should be improved. All internal and
emergency response. Over time, these deviations external personnel should be consulted in an
may become standard local practice not reflected open atmosphere without fear of punitive action
in the formal organizational crisis management in order to honestly gauge overall and individual
plan. The slow separation between established performances. The result will be a revised and
written crisis management procedures developed strengthened crisis management plan and a thor-
by a crisis management team or emergency plan- ough record that will help in the ongoing goal of
ners and those procedures employed by emer- avoiding or mitigating future crises.
gency response personnel or crisis management
team members during actual crises is defined as Marcella Bush Trevino
practical drift. Barry University
Taking situational analysis into account and
building in flexibility in the face of the dynamic, See Also: Business Continuity Planning; Business
localized nature of crises when developing crisis Impact Analysis; Business Resumption Planning;
management plans are important components in Practical Drift; Strategic Plans.
the avoidance of practical drift and its impact on
actual crisis response. Planning considerations Further Readings
include the most likely crisis scenarios, the most Bourgeios, L. J., III, Irene M. Duhaime, and J. L.
likely primary and secondary impacts, the level Stimpert. Strategic Management: A Managerial
and capabilities of available resources and emer- Perspective. 2nd ed. Fort Worth, TX: Dryden
gency responders, and the implementation and Press, 1999.
coordination of a multiagency response. Practical Canton, Lucien G. Emergency Management:
drift and emergency response delays are less likely Concepts and Strategies for Effective Programs.
when emergency responders have a flexible crisis Hoboken, NJ: Wiley-Interscience, 2007.
management plan that combines expert planning Clarke, Adele E. Situational Analysis: Grounded
knowledge with local conditions as their guideline. Theory After the Postmodern Turn. Thousand
The value of situational analysis extends Oaks, CA: Sage, 2005.
beyond the crisis management planning and Coombs, W. Timothy. “An Analytic Framework for
response phases. After a crisis has passed and nor- Crisis Situations: Better Responses From a Better
mal operations have been restored, the evaluation Understanding of the Situation.” Journal of Public
of the crisis situation and response often contin- Relations Research, v.10/3 (2009).
ues as organizations or governments seek to learn Gilpin, Dawn R. and Priscilla J. Murphy. Crisis
from the past crisis and improve planning and Management in a Complex World. New York:
response for the next crisis. Situational analyses Oxford University Press, 2008.
conducted during this post-crisis period can iden- Perrow, Charles. The Next Catastrophe: Reducing
tify early warning signs of the impending crisis Our Vulnerabilities to Natural, Industrial, and
that were either missed or recognized too late to Terrorist Disasters. Princeton, NJ: Princeton
aid in better future detection. It can also identify University Press, 2007.
 Smallpox 881

Tierney, Kathleen J., Michael K. Lindell, and Ronald are less likely. The origin of the smallpox virus can
W. Perry. Facing the Unexpected: Disaster be traced back in history. Its bad reputation as a
Preparedness and Response in the United States. devastating disease is the result of its fatal conse-
Washington, DC: Joseph Henry Press, 2001. quences on the affected population. It has killed
Wallace, Michael and Larry Webber. The Disaster millions throughout history, and nothing could be
Recovery Handbook: A Step-by-Step Plan to done for ill persons or their contacts until Edward
Ensure Business Continuity and Protect Vital Jenner developed a vaccine in 1798.
Operations, Facilities, and Assets. New York: In 1967 the World Health Organization (WHO)
American Management Association, 2004. started an intensified eradication program to elim-
inate smallpox from the world. In 1977, the last
naturally occurring case was reported in Somalia.
In 1979, the WHO confirmed the global eradica-
tion of smallpox, and in 1980 the WHO declared
Smallpox officially the eradication of smallpox.
The smallpox virus is kept in only two WHO
Although the World Health Organization (WHO) collaborating centers in the world: one in the
has officially declared that the world is clear of United States and one in the Russian Federation.
active cases of the historical disease of smallpox, It could not be confirmed whether there is any
it is still important to be prepared. Smallpox is a other stock kept illegally in other parts of the
viral and highly contagious disease. Its high infec- world. Keeping the WHO stock is mandatory for
tivity, fatality, and universal lack of immunity research purposes. Destruction of other stockpiles
make it a potential threat to both national and of the virus came in response to the international
international public health. fear of using variola virus in illegal acts like bio-
terrorism. However, there is still fear of creating
Definition and History of Smallpox the virus through advanced biological techniques.
Smallpox is a viral disease caused by the variola
virus, a member of the family poxviruses. The Significance of Smallpox
disease is strictly transmitted from human to Smallpox is included in the core list of the Aus-
human—no animal reservoir is known for small- tralian Group (an informal group of states aiming
pox. Infected persons show no symptoms for at impeding the spread of biological and chemi-
seven to 17 days, which is the usual incubation cal weapons) and the Centers for Disease Control
period. During this period, the infected person and Prevention (CDC) list of agents that pose a
cannot transmit the disease to others. This period threat to public health.
is followed by symptoms of the disease, the most This enlistment is supported by some factors
important of which is fever, which is followed by that make preparedness for smallpox a worthwhile
a rash two or three days later. During this stage, activity. These factors rely mainly on the historical
the ill person becomes highly infective to others. picture of this devastating disease that has killed
Transmission of the virus occurs mainly through millions throughout history, the high infectivity
the respiratory route by infected droplets, or of the virus, and the current lack of immunity to
aerosols, from ill persons. Transmission through the disease by most individuals all over the world.
infected materials, such as bedsheets or blankets, Besides, all the information known to date about
is possible but to a lesser extent than face-to-face the disease has been extracted mainly from studying
transmission. An ill person can be considered periods in which universal immunity to the disease
noninfective only after the falling of the last scab existed. Therefore, it is expected that if the disease
off the body. emerges, it will be more virulent, and consequences
Severity of symptoms differs among persons, of its spread could not be estimated on a confirmed
depending on many factors like previous immu- basis. Also, the spread of decreased immunity as a
nity to the disease. Two main types of clinical pre- result of various diseases, especially AIDS, makes
sentation of the disease are known: Variola major more persons vulnerable to dangerous complica-
and Variola minor. Other forms may present but tions of such a disease in case it appears again.
882 Smog

Treatment and Preparedness Further Readings

To date, there is no definite treatment for small- Ellison, D. Hank. Handbook of Chemical and
pox. The only intervention known to be effective Biological Warfare Agents. 2nd ed. Boca Raton,
is vaccination. Vaccination of infected persons in FL: CRC Press, 2000.
the early stage may prevent some symptoms or Marx, John A., Robert S. Hockberger, and Ron
lessen some consequences of the disease. Dura- M. Walls. Rosen’s Emergency Medicine. 7th ed.
tion of the immunological protection after vac- Philadelphia: Mosby Elsevier, 2010.
cination is debatable, but generally it is 10 years World Health Organization (WHO). “Biologicals:
or more. The smallpox vaccination has its own Smallpox.” http://www.who.int/biologicals/areas/
complications that vary in severity. Because of vaccines/smallpox/en (Accessed July 2012).
the complications of the vaccination, it should World Health Organization (WHO). “Smallpox.”
be administered when justified and its expected http://www.who.int/csr/disease/smallpox/en
benefits outweigh probable complications. As of (Accessed July 2012).
2012, there were some antiviral drugs undergoing World Health Organization (WHO). “WHO
laboratory investigations to study their efficacy Advisory Committee on Variola Virus Research.”
on the orthopoxvirus family. Geneva: WHO, 2010.
Smallpox as a potential threat to international
public health mandates some sort of prepared-
ness nationally and internationally. A smallpox
reemergence in the current world, with decreased
or no immunity to the disease plus easy travel, Smog
means a unique crisis with unexpected conse-
quences. Continuous debate exists over how far The term smog was originally coined to describe
the world should be prepared. One point of view a combination of smoke and fog. Today, the
sees that there is no need to hold a large stock- description has expanded to include a mixture
pile of vaccine for a disease that is not present in of noxious gases and particulate matter formed
active form. On the other hand, fear of reemer- when sunlight interacts with anthropogenic air
gence of smallpox, especially through bioter- pollutants, usually under higher temperatures.
rorism, occupies the minds of large numbers of This is better described as “photochemical smog”
researchers and decision makers. Preparedness on among the global scientific community. It is a
the national level should at least assure familiarity negative consequence of industrialization and our
of public health professionals and medical prac- modern-day lifestyle.
titioners with the disease early and the needed The principal component of photochemical
information to diagnose the disease and deal with smog is anomalous concentrations of ground-
it. Early detection of the disease is relatively easy level ozone, which is formed when anthropogenic
to the trained clinician because of the character- pollutants (mainly nitrogen oxides) react with
istic rash of the disease. Early detection, prompt reactive organic compounds in the presence of
isolation, and vaccination are the three pillars of sunlight. Photochemical smog can also be made
effective containment of disease spread. up of a host of other compounds including nitro-
Internationally, the WHO keeps a stockpile of gen dioxide, nitric acids, aldehydes, particulate
the vaccine in case of reemergence of the disease. organic and inorganic nitrates, and peroxyacetyle
In addition, the WHO continuously holds com- nitrate. Nitrous oxides and the reactive organic
mittees to follow the latest research about the compounds are precursors of ozone, the main
virus and medications under development. smog constituent. Ozone is a naturally occurring
atmospheric gas that is present in high concentra-
Mohammed Salah Basha tions in the stratospheric ozone layer, where its
Pepperdine University presence is critical in protecting the Earth from
too much ultraviolet radiation. It is also pres-
See Also: Biological Weapons; Cholera; Emergency ent at ground levels, with normal atmospheric
Medicine; Public Health Surveillance. concentrations ranging from 15 to 35 parts per
 Smog 883

billion in nonpolluted areas. High concentrations

at ground level cause photochemical smog, which
is a serious pollution problem and sometimes
characterized by atmospheric haze and accompa-
nying health effects.
Industrial emissions and vehicular exhaust
emissions are the main sources of nitrogen oxides
and reactive organic chemicals. They are emit-
ted into the atmosphere from natural sources like
wildfires, lightning, bacterial action, and vegeta-
tion, and from anthropogenic sources like emis-
sions from power generation, jet engines, motor
vehicles, incineration, fuel evaporation, solvent
usage, and other industrial processes. The reac-
tions between these pollutants to form photo-
chemical smog take place in high temperatures
in the presence of sunlight; hence, photochemical
smog is common on hot, sunny days.

Health Effects of Smog

Smog constituents, particularly ozone, have both
serious health and environmental effects. The
health effects of exposure include respiratory
illnesses such as cough, dryness of the throat,
and deep painful breathing, and, in some cases,
it may result in tissue injuries deep in the lungs
and premature aging of the lungs. There are also Smog pollutes the urban sky, as the sun sets over Connaught
a host of other effects, such as irritation from Place in Delhi, India. In many parts of south Asia, a rapid
particulates. There is a high risk of exposure for increase in air pollution from burning fossil fuels and biomass
children and adults with preexisting respiratory has worsened winter smog and extended its duration.
disease such as asthma and bronchitis. Heat and
humidity, which occur alongside smog, have a
synergistic effect in increasing the stress on the
cardio-respiratory systems. materials. Paintings, rubber, and coating dete-
riorate very quickly when exposed to pollution
Environmental Effects levels of ozone and other photochemical smog
Photochemical smog has serious environmental constituents.
effects on plants and animals. Pollution levels of
ozone in the atmosphere cause significant adverse Managing Smog Crisis
effects to horticultural crops, forest trees, and Photochemical smog occurs in various regions of
annual plants. Annual plants such as spinach and the world, particularly in highly industrialized
tomatoes are highly responsive to elevated con- areas, given enough sunlight, high temperature,
centrations of ozone. It causes dead patterns on and sufficient concentrations of the precursor pol-
the upper surfaces of leaves of trees and causes lutants. The lower-latitude areas are more prone
reduction in the rate of photosynthesis, water to smog crisis, though higher latitudes are also at
use efficiency, drought tolerance, leaf area, and risk during long summer days. Although smog is
flowering rates. Photochemical smog also affects common in urban cities, it not restricted to them
various materials, including plastics, metals, con- only, as smog and its precursors can travel con-
crete, and paintworks. Ozone is a strong oxi- siderable distances away from the urban pollut-
dizer and can chemically attack some of these ant source regions. Although the smoggiest cities
884 Social Distancing

in the world are in developing and emerging -environment-16438071 (Accessed August

nations like China and Mexico, smog is a prob- 2012).
lem that affects both the developed and develop- Turco, Richard. Earth Under Siege: From Air
ing nations. Smog crisis has been experienced in Pollution to Global Change. New York: Oxford
various cities in the United States, such as Los University Press, 1997.
Angeles, but also in London, Vancouver, and
many other cities across the continents.
In managing the consequences of smog epi-
sodes in any city or region, there is need for
effective smog alert mechanisms. As in most Social Distancing
parts of the world where weather alerts are used
to warn people of extreme weather events like Social distancing is a method of avoiding disease
flooding, smog alerts should be issued by des- and contamination that is spread by contact with
ignated national or regional authorities targeted and close proximity to other people. Although the
at the general population. The alerts should be proven method of quarantine is the strict separa-
accompanied by medical health advice on the tion of both diseased and undiseased, or contami-
potential risk associated with exposure to the nated and uncontaminated, social distancing can
constituents of photochemical smog. The general be used to continue to perform needed functions
public should be advised to take precautionary while offering some protection against the spread
measures to safeguard against ill health effects of disease and contamination. Crisis manage-
of exposure. ment can call for the use of social distancing in
The most vulnerable populations should avoid risk mitigation, but the use of social distancing in
strenuous activities and limit outdoor activities the crisis management command center can cause
during smog episodes. Where avoidance is not some communication problems. In the end, social
feasible, outdoor activities should be planned for distancing is a good method to avoid disease and
early mornings or late evenings, when the con- contamination.
centrations of photochemical smog constituents
are considerably lower. People are advised to Common Uses of Social Distancing
stay in well-ventilated or air-conditioned envi- At the beginning of every cold and flu season,
ronments. They should also drink plenty of fluids the recommendations are repeated: wash hands
to avoid dehydration. Where there are symptoms before touching the face or food, cough and
of ill health, medical attention should be sought. sneeze into shirt sleeves, use hand-drying paper
towels to open the bathroom door, and if pos-
Augustine Osamor Ifelebuegu sible, keep illness at home or wear a mask. Many
Coventry University germs and contaminants are spread through the
air in minute exhaled water droplets and transfer
See Also: Chemical Risk; Climate Change from hands to surfaces that others touch and thus
Adaptation; Crisis Communications. continue the transfer and spread. The best way
to avoid spread is quarantine, but social distanc-
Further Readings ing can be used to great effect while still allowing
National Research Council. Rethinking the Ozone people to function in various settings with others.
Problem in Urban and Regional Air Pollution.
Washington, DC: National Academies Press, Staying Home and Use of Hygiene
1991. A more severe form of social distancing is actu-
Silverstein, Alvin, et al. Smog, Oil Spills, Sewage, ally not going to the usual places where people
and More: The Yucky Pollution Book. Berkeley gather for unnecessary social events. People may
Heights, NJ: Enslow Publishers, 2010. decide to watch or listen to a church service on
Singh Khadka, Navin. “Pollution Rise ‘Worsens’ TV or radio to avoid the close congregation of
South Asia’s Winter Smog.” BBC News (January people. They may wish a relative a happy birth-
6, 2012). http://www.bbc.co.uk/news/science day with a phone call rather than a visit. A social
 Social Distancing 885

network site may be used to talk with a friend members of that protected area should go to
rather than meeting at a place where germs and another protected area until the repair is over
contaminants may be. Although these are the and the areas contacted by the repair person are
most effective means to distance oneself from decontaminated.
disease and contaminants, often they are not
accepted for places like work and home. Lesser Trusted Groups
forms of social distancing involve going to places Another strategy can be to form social distanc-
where people congregate for various reasons and ing groups that promise to help each other by
keeping a greater distance from those around performing activities that protect themselves and
you—at least three feet. their group, thus forming a trusted group. Group
Good hygiene plays an important role. Colds members admit when they’ve been exposed
and other exhaled germs and contaminants can to protect others in their group and wait the
be inhaled directly or fall onto surfaces where expected incubation period before having close
they can transfer to others by touch. On aver- contact with any group members. One person in
age, we touch our face thousands of times each the group may shop at the packed grocery store
day, transferring whatever happened to be on for the entire group, limiting the number of expo-
our hands to our face, eyes, or mouth. Avoid- sures of the group. If a child contracts the flu,
ing touching surfaces or wearing latex gloves a trusted group member who has already been
can keep contaminants from transferring to the infected could care for the infected child, keep-
hands and then to the face. Food should be pre- ing the original house and people free from infec-
packaged by known uncontaminated sources, tion. The group members work to protect each
such as at home, or be packaged prior to any other by helping with daily activities and isolating
known general contamination. It is helpful to eat themselves should they become contaminated.
wrapped foods without touching the food itself
with one’s hands. Other preventive steps include Organizations and Government
drinking from a covered container, not handling Organizations may choose to enact some social
cash or coins that may be contaminated, using distancing strategies by canceling events, closing
credit or debit cards, and not obtaining cash schools, rescheduling events, limiting attendance
from machines or banks. Avoid having things at events to only those directly involved, and lim-
delivered to the home or protected areas, and iting or suspending use of mass transit.
leave anything delivered to sit untouched for at Governments are working with nongovern-
least 24 hours. ment organizations to prepare everyone for possi-
Keeping a distance of at least three feet from ble implementation of social distancing strategies.
others who cough or sneeze or admit to being Personal preparedness is one of the main needs
sick can help. Wearing masks is good, but they of social distancing activities so that people can
should really be worn by the sick, as masks pre- be prepared. Schedules of supply purchases can
vent exhaled particulates from escaping into the help people stock up on supplies; the buy-one-
air and falling on surfaces. Surgical masks offer more program instructs people to get what they
some protection, but a full hood offers the best need and then buy just one item more so it can be
protection because it covers not only the mouth stockpiled.
and nose but also the eyes, which are another
point of entry to the body’s systems. Health pro- The Elderly
fessionals’ use of masks as a prevention measure Social distancing for elderly and disabled persons
has not been proven effective, but it also hasn’t presents a very complex situation that can only
been proven harmful, so if one must go to a place be addressed by multiple contingencies to care for
where there will be many people in an enclosed them. The social distancing group strategy helps
area, a mask might help. Anyone outside one’s with this, and with many levels of support, a
group should not be let into one’s home or social distancing concept using groups from busi-
other protected areas. If an outside repair per- ness, government, and faith-based organizations
son must enter a protected group area, all other can help keep the elderly and disabled safer.
886 Social Media

Crisis Management
The crisis management command center can also
Social Media
institute the need for social distancing. It is impor- Social media have emerged as a popular and pow-
tant for the key people managing the crisis to erful tool that empowers the public to engage in
avoid disease and contamination, making social effective communications before, during, and
distancing a viable practice. The use of technol- after crises. The rise in popularity and availability
ogy can aid in social distancing while keeping key of social media, in tandem with events like the
people informed and active in the crisis. Phones, Virginia Tech shooting in 2007, the H1N1 out-
intercoms, and the Internet can all help maintain breaks in 2009, the Haiti earthquake in 2010, the
communication while people are kept apart. Japanese earthquake and tsunami in 2011, and
hurricanes Irene and Lee in 2011, illustrate the
Conclusion usefulness of social media as a powerful tool that
In conclusion, social distancing can help people enables individuals to share information from
avoid disease and contamination that is spread anywhere and at any time.
by contact with and close proximity to other Throughout these events, social media were used,
people. Quarantine is a severe form of social first by the public and increasingly by response
distancing that is used under conditions of wide- organizations, to organize volunteer efforts, to
spread contamination. Social distancing facili- solicit resources and donations, to locate miss-
tates the continuation of work and required ing children and lost loved ones, to share and ask
activities while offering some protection against for information, to collaborate, and much more.
the spread of disease and contamination. Crisis These events were captured, in real time, through
management calls for the use of social distancing videos, photos, texts, Tweets, and profile updates
under the proper circumstances. Overall, social and comments sent from the field and shared
distancing is a good method to avoid disease and across the Internet, often before the stories broke
contamination. via traditional media. As technology and commu-
nications trends advance, so too do the opportuni-
William Lang ties to leverage social media for crisis management.
Independent Scholar Each event illustrates the momentum with which
the public, technology developers, government
See Also: Biological Engineering Risk; Centers agencies, and response organizations must adapt
for Disease Control and Prevention (CDC); Drug in order to harness the power of social media, the
Resistance; Ebola Virus; Epidemics; Health and possibilities of which are exponential.
Medical Response Scenarios; Influenza; Pandemics;
Quarantine. A Paradigm Shift
In April 2007, a gunman shot and killed 33 stu-
Further Readings dents over the course of several hours at Virginia
Colorado Department of Public Health and Tech. Before the gunman had stopped shooting,
Environment. “Social Distancing Support students were sharing information via text mes-
Guidelines for Pandemic Readiness.” http://www sages, instant messenger, blogs, radio, Facebook,
.cdphe.state.co.us/epr/Public/SDSSGL.pdf and phone as the university’s Web site crashed in
(Accessed March 2012). a surge of online activity. In the absence of official
Homeland Security Council. National Strategy information, confusion regarding the identity of
for Pandemic Influenza. Washington, DC: U.S. the shooter, the identities of the wounded, and the
Government Printing Office, 2006. number of students who had been killed ensued.
Landesman, L. Y. Public Health Management of For several hours, the only communication and
Disasters. Vol. 1, 2nd ed. Washington, DC: information sharing occurred via several social
American Public Health Association, 2005. media channels, without authentication from offi-
Lofgren, J. P. “Social Distancing to Reduce the cial sources.
Risk of Pandemic Influenza.” http://www.social Following the tragedy at Virginia Tech, social
distancing.org (Accessed March 2012). media began to gain traction as a meaningful
 Social Media 887

communications channel in emergencies, first by Web site where individuals could post and search
the public and the media, and then increasingly for information about found or missing persons.
by response organizations. Social media applica- In response to the devastation of the Haiti
tions in crisis management continue to advance, earthquake, the American Red Cross launched a
illustrated in several events since the shootings at text donation campaign. Partnering with cell pro-
Virginia Tech. viders to enable individuals to text “HAITI” to
In 2009, public health officials feared a large- 90999 to donate $10 to the American Red Cross
scale influenza epidemic as H1N1 cases were relief and recovery work in Haiti, the Red Cross
reported across the globe. While traditional meth- set a standard for future disaster relief efforts
ods of disease tracking and information sharing across the globe.
were used, social media became a critical ele- On March 11, 2011, a 9.0-magnitude earth-
ment in both the dissemination of H1N1-related quake hit Japan, triggering a tsunami of devastat-
information and the enhancement of surveillance ing proportions and nuclear crisis. As individu-
for early detection of outbreaks. The Centers for als shared information across the ocean, agencies
Disease Control and Prevention (CDC) quickly rushed to provide accurate messaging relating to
became a leader in leveraging social media tools a variety of health and public safety concerns.
like blogs, widgets, video, online badges, RSS, and The CDC embedded badges and buttons on sev-
podcasts for a variety of purposes, working with eral Web sites and encouraged placement on indi-
the Department of Health and Human Services to viduals’ profiles to provide information on radia-
create tools in a variety of formats and languages tion poisoning. Social media were also used in the
to provide consumers and partners with credible, United States to issue tsunami alerts and warnings
science-based information, like the availability of and evacuation information by agencies like the
flu shots, personal hygiene, and disease reporting. Pacific, West Coast, and Alaska Tsunami Centers
Google.Org and InSTEDD developed Google via Web sites, RSS, YouTube, Twitter, Facebook,
Flu Trends to monitor key words inputted into and other channels.
Google Search throughout the world—specifi- In the fall of 2011, government agencies, non-
cally aggregating key words relating to H1N1 profit and volunteer organizations, and private-
and flu-like symptoms. Google found that certain industry technology developers collaborated to
search terms were good indicators of flu activity support the planning for and response to Hurri-
and therefore leveraged the technology to aggre- cane Irene and Tropical Storm Lee, two storms
gate Google search data to estimate potential flu that caused severe flooding up and down the east
activity. They found they were able to maintain coast of the United States. Volunteers developed
better situational awareness earlier than was pro- vetted lists of official response agency Twitter pro-
vided by traditional surveillance methods. files. The American Red Cross trained digital vol-
Following the 7.0-magnitude earthquake in unteers, provided with digital verification badges
Haiti on January 12, 2010, individuals, volun- from Twitter, to monitor and provide updates via
teer organizations, and response agencies shared a variety of social media channels. New York City
information from the ground via SMS, Facebook, shared preparedness information like flood zone
and Twitter. Ushahidi, an open source software warnings and evacuation information via Face-
platform used for information collection, visu- book, Twitter, YouTube, and Web site widgets.
alization, and interactive mapping, set up a map The Florida Department of Emergency Man-
to capture information reported from the island. agement, in partnership with the Department
Volunteers helped capture information via SMS of Homeland Security Science and Technology
and through social media channels like Twitter, Directorate, created a Web service that aggre-
translating, vetting, and mapping the informa- gated the data from the Twitter list and mapped
tion. The National Institutes of Health developed the location of the each profile geospatially. The
blogs, widgets, and text messaging campaigns to result enabled response organizations from every
raise money in various languages, including Cre- state on the eastern seaboard to view, sort, search,
ole, English, and Spanish. Google developed the and analyze the information from within their
Haiti Earthquake People Locator, an interactive native mapping environments.
888 Social Media

Changing Expectations survey illustrated the public’s changing expecta-

In the aftermath of Hurricane Katrina, displaced tions and suggested that response organizations
Gulf Coast residents searched for loved ones need to adopt and develop social media as a stan-
online, looking through hundreds of Web sites, dard to enhance traditional response methods.
blogs, and social networking platforms, post- In late 2010, a group of individuals interested
ing messages and hoping that friends and family in the use of social media for emergency manage-
might find them amid a disorganized sea of vir- ment began exploring best practices and sharing
tual information. Since Katrina, social media have lessons learned. Using Twitter as a tool to orga-
exploded in popularity and application, advanced nize and host ongoing discussions, the group
by innovation and creativity born from the pub- established the hashtag #SMEM (social media
lic’s changing expectations for quicker and more and emergency management) as a beacon to iden-
robust response times and the need for greater tify the ongoing exchange of ideas in the hope of
government transparency. However, while the framing policy development and to accelerate the
public has embraced social media as a meaningful adoption and integration of social media into tra-
tool for communications and collaboration dur- ditional emergency management efforts.
ing emergencies, response organizations have been The group was invited by the National Emer-
hesitant to do so for a variety of reasons, including gency Management Association (NEMA) to
privacy, data ownership, security, rumor control, develop a social media summit to be held at the
accountability, validity and accuracy of informa- end of the association’s biannual conference in
tion, resources, and risk management concerns. Washington, D.C., in March 2011. During this
Despite these concerns, however, response organi- event, emergency management, social media, vol-
zations are beginning to realize the impact social unteer, and nonprofit leaders met to discuss the
media have on crisis management and are increas- role of social media in emergency response and
ingly turning to social media to share and search to identify and develop best practices, challenges,
for information and connect with citizens and possible applications, training opportunities, and
partners during all phases of a crisis. future development possibilities.
The public’s changing expectations have Following the success of the conference, Senator
pushed response organizations to discuss best Mark L. Pryor (D-AR) invited a panel of response
practices and lessons learned in the hope of devel- and social media experts to testify before the Under-
oping standards and guidance for the use of social standing the Power of Social Media as a Commu-
media for public safety and crisis management, as nications Tool in the Aftermath of Disasters hear-
illustrated by a slew of events beginning in 2010. ing held by the Senate Committee on Homeland
In August 2010, the American Red Cross hosted Security and Governmental Affairs, Subcommit-
the Emergency Social Data Summit, a gathering tee on Disaster Recovery and Intergovernmental
of leaders and experts from government, private, Affairs in May 2011. In his testimony, Administra-
nonprofit, and response organizations, to discuss tor Craig Fugate of the Federal Emergency Man-
how to leverage social media in disasters. At the agement Agency (FEMA) shared his thoughts on
summit, Red Cross leadership announced a sur- the importance of social media as a tool to engage
vey conducted earlier in the year to gauge the and empower the community and as a means to
public’s expectations regarding the use of social “quickly and specifically share information with
media by response organizations during a disaster. state and local governments as well as the public.”
The survey found that while the Internet was the In June 2011, the International Association
third most popular method for people to gather of Emergency Managers (IAEM) USA board
information during a disaster, after television and approved the formation of a new cross-disciplin-
radio, one-fourth preferred social media to let ary workgroup under the IAEM-USA commit-
their loved ones know they are safe. A majority of tee structure called the Emerging Technologies
those surveyed also believed response organiza- in Emergency Management Ad Hoc Committee
tions should regularly monitor social media, and (ETEM), which focuses on the role of technol-
39 percent expected help to arrive in less than one ogy in emergency management, including social
hour if a request was posted to social media. The media and other Web-based systems.
 Social Media 889

The Way Ahead of the #SMEM community who developed a Vir-

The collaboration, innovation, and hard work of tual Operations Support Team model for lever-
the community have pushed the acceptance and aging of digital volunteers in an operational
adoption of social media as a standard in crisis capacity, the Department of Homeland Security
management and disaster response. Social media Science and Technology Virtual Social Media
are increasingly used for a variety of purposes, Working Group, and many more help advance
including mitigation and preparedness, for the the use of social media for crisis management and
following: emergency response. In addition, the continued
advancement and proliferation of social media
• Education, training, and community technology and mobile technology enable real-
building time “field engagement,” providing responders
• Surveillance and situational awareness: to with the ability to find and share data directly
monitor, aggregate, visualize, and identify from the scene of an event, which may result in
trends better decision making and resource allocation,
• Correcting misinformation: to identify and and, ultimately, faster recovery.
respond to misinformation and rumors
quickly and to empower the community Sara Estes Cohen
to participate in the conversation and to Independent Scholar
ensure the accuracy of information shared
• Alerts and notifications: to augment See Also: Crisis Communications; Mass Media;
traditional communications channels used News Media.
for alerts and warnings
• Recovery and resilience: to empower Further Readings
the community to engage in ongoing American Red Cross. “Social Media in Disasters and
communications and collaboration and to Emergencies: Online Survey Report.” American
participate in recovery and preparedness Red Cross (2010). http://www.redcross.org/www
efforts -files/Documents/pdf/other/SocialMediaSlideDeck
.pdf (Accessed April 2012).
This fact is also illustrated by the American Crowdsourced Document, et al. “Hurricane
Red Cross, which on March 7, 2012, announced Irene: An Analysis of the Use of Social Media,
the launch of a Digital Operations Center (DOC), Crowdsourcing, and Crisis Mapping 2011.” http://
the first social media–based operation devoted www.scribd.com/doc/69178713/HurricaneIrene
specifically to humanitarian relief. In a press socialmediaAAR-v2 (Accessed April 2012).
release and a summit attended by multiple lead- Department of Homeland Security Virtual
ers of the disaster response and relief community, Social Media Working Group. “Next Steps
the Red Cross also announced the development Strategy.” Department of Homeland Security
of a digital volunteer program in support of the Science and Technology Directorate (2012).
center’s operations, where volunteers from across https://216.109.77.115/Documents/Virtual%20
the country will be trained to respond online Social%20Media%20Working%20Group%20
to questions from the public, distribute critical Next%20Steps%20Strategy.pdf (Accessed
information, and provide comfort and reassur- April 2012).
ance during emergencies. Information collected Department of Homeland Security Virtual Social
by the digital volunteers will also help the Red Media Working Group. “Social Media Strategy.”
Cross to identify trends in needs and to better Department of Homeland Security Science and
connect and allocate resources to those who need Technology Directorate (2012). https://216.109.77
them the most. .115/Documents/Virtual%20Social%20Media%20
Partnerships and collaboration efforts of indi- Working%20Group%20Social%20Media%20
viduals and groups across the response commu- Strategy.pdf (Accessed April 2012).
nity like Project Epic, Crisis Commons and Crisis Hessert, Kathleen. “Exercise 24: Social Media
Mappers, Humanity Road, Exercise 24, members Transforms Disaster Relief Efforts.” (2010). http://
890 Spaceflight

www.buzzmgr.com/X24/Exercise24_BuzzMgr Aeronautics and Space Administration (NASA)

_SocialMediaSnapshot.pdf (Accessed April 2012). and allowed some to question the agency’s ability
St. Denis, Lise Anne, Amanda L. Hughes, and Leysia to perform its mission successfully.
Palen.“Trial by Fire: The Deployment of Trusted
Digital Volunteers in the 2011 Shadow Lake Fire.” Challenger and Columbia
In Proceedings of the 9th International ISCRAM The space shuttle Challenger and Columbia disas-
Conference, Vancouver, Canada, April 2012, L. ters were involved in the two major spaceflight
Rohtkrantz, J. Ristvej, and Z. Franco, eds. http:// accidents in U.S. history. These missions not only
www.cs.colorado.edu/~palen/Home/Articles_by caused astronaut fatalities but also raised world-
_Year_files/TrustedDigitalVolunteersStDenis wide concerns for engineering crisis prevention
HughesPalen.pdf (Accessed April 2012). and decision management.
Starbird, Kate and Jeannie Stamberger. “Tweak the On January 28, 1986, the space shuttle Chal-
Tweet: Leveraging Microblogging Proliferation lenger, on Mission STS-51-L operated by NASA
With Prescriptive Syntax to Support Citizen (the 25th flight of the American space shuttle pro-
Reporting.” In Proceedings of the 7th International gram and the 10th flight of the Challenger), broke
ISCRAM Conference, Seattle, USA, May 2010. apart 73 seconds after liftoff from Kennedy Space
http://repository.cmu.edu/cgi/viewcontent.cgi?arti Center in Florida. All seven crew members died
cle=1034&context=silicon_valley (Accessed April as a result of inadequate escape systems after the
2012). explosion, including Christa McAuliffe, a celeb-
United Nations Foundation, UN Office for the rity as the first astronaut of the NASA Teacher
Coordination of Humanitarian Affairs, Vodafone in Space Project. The launch was broadcast live
Foundation, and the Harvard Humanitarian and drew significant nationwide attention. This
Initiative. “Disaster Relief 2.0: The Future disaster caused the first multiple in-flight fatalities
of Information Sharing in Humanitarian in the United States, leading to the suspension of
Emergencies.” http://www.globalproblems-global the shuttle program for 32 months.
solutions-files.org/gpgs_files/pdf/2011/Disaster Then-U.S. President Ronald Reagan appointed
Response.pdf (Accessed April 2012). the Rogers Commission to investigate the acci-
Wardell, Clarence, III, and Yee San Su. “2011 Social dent. Analysis showed the technical attribution to
Media and Emergency Management Camp: a faulty O-ring sealing the aft field joint on the
Transforming the Response Enterprise.” CNA right solid rocket booster (SRB). The cold weather,
Independent Research Funding (2011). http://www with a temperature below 53 degrees F (12 degrees
.wilsoncenter.org/sites/default/files/SMEM_Report C) on the launch day, caused the dysfunction of
.pdf (Accessed April 2012). the O-rings, which allowed pressurized hot gases
to leak from the SRBs, resulting in the structural
failure of the external tank and the disintegration
of the entire vehicle. The investigation further
pointed out the flawed organizational culture and
Spaceflight decision-making processes of NASA as the root of
the disaster and made nine recommendations for
Still in its infancy, spaceflight is a high-risk safety improvements in the space shuttle program.
endeavor that is constantly evolving and experi- In response to the recommendations, NASA rede-
ences leaps and setbacks. Although it is considered signed the SRB and established the Office of Safety
experimental flight by some, the broad tax-paying Reliability and Quality Assurance for manage-
publics of many nations show little tolerance for ment decision making. However, the space shuttle
the failures, deaths, and setbacks associated with Columbia disaster in 2003 reflected that NASA
spaceflight. Critics often will ask whether time, had failed to fully learn from the Challenger.
effort, and money devoted to spaceflight might be As the second space shuttle NASA had lost in
put toward social projects. Two well-known U.S. 17 years, Columbia disintegrated during atmo-
spaceflight crises have contributed to an increas- spheric reentry after the 16-day Mission STS-
ingly negative public perception of the National 107 (the 28th flight of the shuttle program) on
 Spaceflight 891

February 1, 2003. The loss of communication Space Law and Safety Standards
and tracking of the vehicle occurred 16 minutes Commercial spaceflight ventures and space
before scheduled landing at an altitude of about tourism are currently closer to reality than ever
203,000 feet over Texas and Louisiana. No sur- before. Virgin Galactic is by far the most pub-
vivors were found among the seven astronauts licized commercial space venture. With space-
on board. According to the Columbia Accident flight still in its experimental stages, the future
Investigation Board (CAIB), the catastrophe is uncertain. Advocates claim space tourism will
was rooted in both technical and organizational create cheaper, safer, and more efficient develop-
issues. The structural breakup was determined to ment of spaceflight technologies, however, pub-
have been caused by the damage of the thermal lic confidence in commercial spaceflight is yet
protection system in the left wing; the leading untested.
edge of the left wing was struck by a briefcase- Spaceflight and legislation still focus heavily
sized piece of foam insulating material from the on nation-states as actors. Under international
external tank early in the launch, which, how- space law, a nation-state ultimately retains juris-
ever, NASA ignored for further inspection. This diction and control over space objects on its reg-
disaster delayed the space shuttle flight operations istry and is charged with authorizing and exercis-
for over two years, including the construction of ing continuing supervision over its national space
the International Space Station. Both of the space activities; therefore, it is to be held responsible
shuttle disasters were criticized for the flawed for any disasters caused by spaceflight originat-
decision-making process. ing from its source. However, crisis management
techniques are varied and not standardized in
International Space Crises private spaceflight. Although international space
The main nation-actors in manned spaceflight are law addresses issues of liability, spaceflights are
the United States, Russia (former Soviet Union), not regulated. Most crisis management plans
and China. Engineering defects and flawed deci- in the private spaceflight industry (specifically,
sion-making processes would also cause non- space tourism) revolve around liability and insur-
astronaut fatalities and losses. In February 15, ance coverage. Appropriate insurance coverage is
1996, the Long March rocket with the Intelsat essential for licensing.
708 Satellite operated by Intelsat, a communica- However, insurance coverage is not standard-
tions satellite services provider, veered off course ized with regards to issues of personal liabil-
immediately after launch, causing fatalities in a ity, passenger liability, third-party liability, and
village near the Xichang Satellite Launch Center ancillary coverage. Without agreed-upon issues
at Xichang, People’s Republic of China. The acci- of insurance coverage and liability under inter-
dent raised a dispute over the nature and extent of national space and air law, the creation of crisis
the damage, as well as an international political management plans has been relatively incon-
controversy. sistent between actors or has been absent alto-
All Soviet-era space missions and current Rus- gether, leaving a gap that requires future research
sian missions revolve around the Baikonur Cos- and debate.
modrome, the world’s first and largest space
launch facility. Several historic spaceflights cen- Xialing Lin
tered from the Cosmodrome, including the launch Western Michigan University
of Sputnik 1 and Sputnik 2 (the first to carry a liv- Patric R. Spence
ing animal, a dog named Laika), the first manned University of Kentucky
orbital flight, and the first woman to be involved
in spaceflight. The Cosmodrome is located in the See Also: Air Traffic; Coupling; Decision
republic of Kazakhstan. This is also where the Making; Decision Making, Theories of; High
one and only flight of the Russian space shuttle Reliability Organization Theory; Impact Analysis;
Buran occurred. In 2002, a collapse of the hangar Interdependence; Normal Accident Theory;
that housed the Buran killed eight workers and Normalization of Deviance; Organizational Failure;
destroyed the only Soviet shuttle. Public Image; Structural Secrecy.
892 Spokesperson, Designating and Utilizing

Further Readings adept at handling media requests for information.

Garner, J. T. “Masters of the Universe? Resource The primary and backup spokespersons should
Dependency and Interorganizational Power also trade off on who is the 24-hour emergency
Relationships at NASA.” Journal of Applied contact for the media so someone is always avail-
Communication Research, v.34/4 (2006). able to respond. Both individuals should have the
Kauffman, J. “Lost in Space: A Critique of NASA’s authority to enact the crisis management plan.
Crisis Communications in the Columbia Disaster.” Ideally, the plan is enacted and spokespersons are
Public Relations Review, v.31/2 (2005). prepared to respond before the media call. Ste-
Seeger, M. W. “The Challenger Tragedy and Search reotypical judgments that public relations repre-
for Legitimacy.” Central States Speech Journal, sentatives are trained to lie and spin details have
v.37/3 (1986). deterred media outlets from wanting to quote
Stadd, C. and J. Bingham. “The U.S. Civil Space these primary spokespersons in media coverage
Sector: Alternate Futures.” Space Policy, v.20/4 of a crisis event. Thus, while the public relations
(2004). representative or communications specialist will
likely be the first point of contact, he or she must
work with the crisis management team to develop
the core organizational message and then desig-
nate and train additional spokespersons to deliver
Spokesperson, Designating that message.
For large events, and particularly in crises, the
and Utilizing chief executive officer (CEO), president, or high-
est-ranking official of an organization or entity
A spokesperson represents and speaks for an is expected to make a statement and respond to
organization or entity. Early literature on cri- media inquiries. Designating the organizational
sis management encouraged the use of a single leader as the primary spokesperson in a crisis dem-
spokesperson to provide consistency and avoid onstrates the seriousness with which an organiza-
confusion. The modern view encourages the des- tion or entity is handling a crisis. However, rising
ignation of multiple spokespersons who speak to the position of CEO is often not based on an
with one voice in the midst of a crisis. All poten- individual’s public speaking skills. Although com-
tial crisis spokespersons should be members of munication is essential in any leadership role, chief
the crisis management team and be prepared to executive officers are considered effective if they
develop and deliver a core organizational mes- increase the bottom line, be it through improving
sage. In addition to the core message, designated product quality, cutting costs, or expertly aligning
spokespersons also answer questions specific to mergers and acquisitions. Being able to respond
their area of expertise but should be careful not quickly and accurately to a barrage of media inqui-
to contradict the core message or the messages ries in a crisis is rarely part of the job description.
of other spokespersons. Maintaining a consistent Crisis case studies have repeatedly shown that the
organizational voice, regardless of the number of effectiveness of an organizational leader’s crisis
spokespersons used, is paramount in maintaining communication can alleviate or exacerbate the
organizational credibility in a crisis. effects of a crisis. Organizational leaders should
therefore have extensive media training.
Designating Spokespersons Additional spokespersons are needed to pro-
Traditionally, the primary spokesperson for an vide expert information in particular crises. For
organization or entity has been the most senior example, if the crisis involves a product failure,
public relations representative or communication the director of quality control or most senior
specialist. The press secretary for the president engineer could potentially answer specific ques-
of the United States is a prime example of that tions as to why the product failed and what pro-
position. However, since no person can be avail- cedures are being put in place to ensure a similar
able at all times, even the primary spokesperson crisis does not happen in the future. These sub-
should have a backup in place who is equally ject matter experts can serve as spokespersons by
 Spokesperson, Designating and Utilizing 893

providing detailed information, specific to their spokespersons need to appear pleasant on cam-
area of expertise, while still supporting the core era. This does not mean individuals need to be
organizational message. However, to do that, good-looking but that they appear credible and
these individuals must be part of the crisis man- kind. Spokespersons must look confident and
agement team and be trained to work with the present information with confidence to demon-
media. In practice, the CEO may present the offi- strate that they have control over the crisis. At the
cial statement by the organization in a press con- same time, spokespersons must be able to show
ference and then direct media questions toward compassion for those adversely affected by the
subject matter experts who can answer questions crisis. Confidence and compassion are delivered
specific to their department or area of expertise. through engaging eye contact, facial expressions,
In addition to designating spokespersons based hand gestures, and tone variation.
on expertise, research has shown that individuals An example of contrasting spokesperson quali-
believe spokespersons who look similar to them ties was evident in the Ford/Firestone crisis on
and share their cultural beliefs are more credible. September 6, 2000, when CEOs for both compa-
Everett Rogers’s research on diffusion of inno- nies testified before Congress. The lack of facial
vation and information supports this notion by expression and tentative monotone responses
demonstrating the importance of opinion leader from Bridgestone/Firestone CEO Masatoshi Ono
homophily in encouraging adoption of a message. compared to the scripted delivery of Ford CEO
Especially in crises that present physical harm to Jacques Nasser left Firestone looking incompetent
publics, having spokespersons or community liai- and Ford looking arrogant. Although both compa-
sons who can provide instructional messages for nies suffered considerable financial losses because
self-protection to racial and ethnic minority pop- of the crisis, Nasser’s display of confidence, while
ulations is key to reaching diverse publics often lacking compassion, still overshadowed Ono’s
most vulnerable to the effects of crises. Language seemingly embarrassed attempt to deny full respon-
barriers must also be considered. If organizations sibility while simultaneously admitting some tires
and entities operate in areas where multiple lan- were faulty. Ono was replaced as CEO of United
guages are spoken, spokespersons should be des- States–based Firestone the following month.
ignated who can not only translate the core mes- Spokespersons must also be able to respond
sage but also respond to specific cultural concerns. to questions confidently. Research has shown
A major benefit of providing the media with the public believes individuals who respond to
multiple spokespersons—from human resources questions with “no comment” are either hiding
representatives to product line managers—is that something or are ignorant about the answer. In
statements from multiple sources assist the media practice, the gap in the news story not filled by a
in adding depth to their coverage of the crisis spokesperson’s comment is filled by the comments
without seeking comments from outside individu- of another source, typically not one affiliated with
als who may not have the most accurate informa- the organization. By not responding to questions,
tion and are likely not privy to the core organiza- spokespersons allow the gap to potentially be
tional message or trained to work with the media. filled with inaccurate or negative information.
Organizations and entities should have policies Hesitations in responding to questions, such as
in place to discourage organizational members frequent disfluencies (“um,” “like,” “uh”) also
from communicating with the media without demonstrate a lack of confidence and make the
official designation as a spokesperson and proper spokesperson appear uncomfortable and unpre-
media training. Designating and utilizing multiple pared. For example, Caroline Kennedy’s 2009 bid
spokespersons requires consistent and constant for Hillary Clinton’s vacated U.S. Senate seat in
training and interview practice to enhance quali- New York ended almost before it began after a
ties of effective spokespersons. series of media interviews demonstrated her high
speaking anxiety and verbal tic of adding “you
Qualities of Effective Spokespersons know” into her responses an average of 10 times
Effective spokespersons are trained to dem- per minute. Although politicians often have press
onstrate specific qualities. Most importantly, secretaries, since they represent their constituents,
894 Spokesperson, Designating and Utilizing

President Barack Obama (center, right) and other White House staff meet with BP executives in the Roosevelt Room of the White House,
June 16, 2010, to discuss the BP oil spill in the Gulf of Mexico. BP CEO Tony Hayward (left, foreground), under intense pressure, made
a series of spokesperson blunders during the crisis that turned the public against him: making comments about his own difficulties,
making references to caring for the “little people,” and repeatedly pleading the Fifth Amendment during congressional hearings.

they must also speak on behalf of the constituents. spongiform encephalopathy, or BSE. Although
Kennedy withdrew her name shortly after pundits “mad cow disease” is not an appealing label, the
began counting her verbal tics in each interview. scientific jargon used to describe the condition did
While confidence demonstrates control, show- not increase clarity in the crisis and created the
ing compassion demonstrates a spokesperson is perception that the USDA was hiding behind big
kind. Responses that are overly scientific or stated words. So much outrage was induced by Winfrey
in anger can appear callous and cold to publics. saying she was “stopped cold from eating another
Training spokespersons to speak in layperson burger” that beef markets plummeted to 10-year
terms becomes particularly challenging when lows and a group of Texas cattle ranchers sued
working with subject matter experts. Subject Winfrey’s production company for defamation
matter experts are typically used to speaking in of beef. Hueston received additional criticism for
acronyms and area-specific jargon. In their day- his long-winded responses during the trial, where
to-day jobs, these experts do not need to explain he was also a witness for the plaintiffs. Hueston
the intricate details of their position requirements claimed most of his comments explaining the
to individuals outside the circle of colleagues who safety of American beef were cut out of the epi-
speak the same language. Overly jargon-laden sode, while Winfrey producers argued the com-
and scientific language can sound condescending ments were cut because they were exceedingly
and create confusion. The goal of crisis commu- critical of all other guests.
nication should always be to increase clarity and To show compassion, spokespersons must also
decrease confusion. maintain a calm composure in the midst of heated
In 1996, U.S. Department of Agriculture questions. In 2010, in the midst of the British
(USDA) official William Hueston appeared on Petroleum Deepwater Horizon disaster and ensu-
the Oprah Winfrey show to respond to claims by ing oil leak, primary spokesperson and CEO Tony
the Humane Society’s “Eating With Conscience” Hayward committed a series of spokesperson
campaign on mad cow disease. The only state- errors that made BP’s expressions of compassion
ments by Hueston that appeared on the show were and regret questionable. Although not his intent,
of him referring to mad cow disease as bovine statements such as “I’d like my life back” and
 Spokesperson, Designating and Utilizing 895

BP cares for the “little people” made Hayward to respond. Dressed in a shirt with an open col-
appear callous. Both of these statements were said lar, Domino’s USA president, Patrick Doyle, read
during grueling interviews that were undoubtedly a two-minute crisis response seated in front of
frustrating for Hayward. However, maintaining a single camera. The statement was straightfor-
composure and not lashing out in anger during ward and apologetic and identified the strategies
interviews is a spokesperson quality that must be used to ensure incidents like the one depicted in
developed. Hayward later sealed his reputation as the video will not happen again. In addition to
a dishonest leader attempting to hide BP’s grave Doyle’s YouTube response, he was also the voice
offenses when he repeatedly pleaded the Fifth behind the Domino’s @dpzinfo Twitter account.
Amendment in Congressional hearings when This account, separate from the company’s usual
asked to explain what led to the initial explosion Twitter account (@dominos), solely addressed
in June 2010. Hayward was replaced as CEO and issues and questions surrounding the crisis. The
primary spokesperson by the end of July 2010. tweets delivered by Doyle were informal and
Spokespersons must be trained to exude confi- thanked customers for their support. Although
dence and compassion throughout their commu- Doyle’s seemingly casual look and reading of the
nication. Delivery cues such as engaging eye con- quickly prepared script were still criticized, by the
tact, facial expressions, hand gestures, and tone time the story reached mainstream media, it had
variation, as well as essential dos and don’ts like shifted from food contamination to how compa-
responding calmly and clearly without hesitation nies can protect themselves in the YouTube era.
and scientific jargon, can assist spokespersons in Following the crisis, Doyle became the primary
providing an effective crisis response. spokesperson of Domino’s, conducting interviews
and appearing in television commercials.
Utilizing Spokespersons Regardless of the number of spokespersons
The primary duty of spokespersons in a crisis designated, their official positions within the
is to develop the organization’s or entity’s crisis organization, or in which venue they are utilized,
response message. This message must be clear all spokespersons must be trained to speak effec-
and concise and represent the organization’s goals tively with one voice. Contradictory, confusing,
and values. Members of the crisis management and poorly executed communication exacerbates
team, and particularly spokespersons, should be a crisis. Not everyone has the qualities needed to
involved in the creation of this message to ensure be an effective spokesperson; therefore, careful
all perspectives of the crisis management team consideration is needed to determine whom to
support the organizational message. Spokesper- designate and how to train them to best assist the
son duties may then include delivering speeches organization in meeting its goals while addressing
or statements, responding to media inquiries, the uncertainty of the crisis for affected publics.
conducting interviews, appearing on talk shows,
and testifying in court or before Congress. A more Shari R. Veil
recent duty of spokespersons is posting statements University of Kentucky
and responding to other posts on social media.
For example, in 2009, Domino’s Pizza had to See Also: Crisis Communications; Emergency
respond to a YouTube video of two employees Manager; Emergency Public Information; Mass
implying that they contaminated the ingredients Media; News Media; Public Image; Public Relations;
used in the pizzas and sandwiches they prepared Reputational Risk; Social Media.
and sold. Domino’s was hesitant to respond pub-
licly at first, not wanting to draw additional atten- Further Readings
tion to the video, and concentrated efforts on Arpan, L. M. “When in Rome? The Effects of
locating, firing, and having police apprehend the Spokesperson Ethnicity on Audience Evaluation
culprits. However, when views of the YouTube of Crisis Communication.” Journal of Business
video reached one million and consumer percep- Communication, v.39/3 (2002).
tions of Domino’s food quality shifted from over- Associated Press. “Foreign CEO Testimony Rare for
whelmingly positive to negative, Domino’s had Congress.” MSNBC (February 22, 2010). http://
896 Stafford Act

www.msnbc.msn.com/id/35527496/ns/business Act, the Federal Emergency Management Agency

-autos/t/foreign-ceo-testimony-rare-congress (FEMA) is responsible for coordinating, arrang-
(Accessed May 2012). ing, and disseminating relief to federally declared
Babinek, M. “Oprah Attorney Clashes With Cattle emergencies or disasters.
Expert.” Lubbock Avalanche-Journal (January 30,
1998). http://lubbockonline.com/stories/013098/L History of the Stafford Act
D0672.shtml (Accessed May 2012). The Stafford Act is established on approximately
Coombs, W. T. Ongoing Crisis Communication: 50 years of federal legislation. Prior to 1950, Con-
Planning, Managing, and Responding. 3rd ed. gress approved funding for disaster events on a
Thousand Oaks, CA: Sage, 2012. case-by-case basis. In 1950, Congress enacted the
“Kennedy’s ‘You Knows’ Become Political Fodder.” Federal Disaster Relief Act (P.L. 81-875), which
MSNBC (December 30, 2008). http://www.msnbc was designed to standardize the federal govern-
.msn.com/id/28438709/ns/politics/t/kennedys-you ment assistance process and focused entirely on
-knows-become-political-fodder (Accessed July disaster response. The Federal Disaster Relief Act
2012). was not meant to supersede state programs but to
McGregor, J. “Tony Hayward Is About to Get His provide additional assistance. Since local govern-
Life Back.” Post Business (July 26, 2010). http:// ments were unable to fully recover from major
www.washingtonpost.com/wp-dyn/content/art disasters, Congress passed the Disaster Relief Act
icle/2010/07/26/ AR2010072603042.html of 1966 (P.L. 89-769) and restructured existing
(Accessed July 2012). legislation to include recovery efforts. The Disas-
Veil, S. R., T. L. Sellnow, and E. L. Petrun. “Hoaxes ter Relief Act of 1974 (P.L. 93-288) outlined the
and the Paradoxical Challenges of Restoring Social procedures for a president to make a disaster
Legitimacy: Domino’s Response to Its YouTube declaration.
Crisis.” Management Communication Quarterly, President Jimmy Carter in 1979 issued Execu-
v.26/2 (2012). tive Orders 12127 and 12148. Executive Order
12127 created the Federal Emergency Manage-
ment Agency (FEMA), and Executive Order
12148 reorganized several organizations (civil
defense, federal preparedness, hazard and earth-
Stafford Act quake reduction, and disaster assistance) under
FEMA. Executive Orders 12127 and 12148 gave
The Stafford Act is formally known as the Rob- FEMA authority over the federal government’s
ert T. Stafford Disaster Relief and Emergency preparation, mitigation, response, and recovery to
Assistance Act (Public Law [P.L.] 101-707, 42 emergencies or major disasters. Several years after
U.S.C. 5121-5206) of 1988 as amended from the creation of FEMA, Congress ordered a study/
the Disaster Relief Act of 1974 (P.L. 93-288) and review of existing disaster programs and requested
its implementing regulations (44 C.F.R. 206.31- a clarification of the federal government’s author-
206.48). The Stafford Act is federal law provid- ity over nonmajor disasters. The resulting legisla-
ing statutory authority for the federal response tion was the Stafford Act of 1988, which amended
and relief to local and state emergencies and/or the Disaster Relief Act of 1974.
disasters occurring in the United States. The Staf- The Stafford Act was amended in 2000, with
ford Act specifies how an emergency or disaster the Disaster Mitigation Act (P.L. 106-390). The
is declared, how federal assistance is provided, Disaster Mitigation Act repealed FEMA’s histori-
and how state and local governments should cal ad hoc response and recovery focus and imple-
plan for emergencies or disasters, and it outlines mented mitigation requirements that focused on
state and local governments’ responsibilities to reducing losses for state, local, and tribal gov-
citizens. Federal resources under the Stafford Act ernments. This act also emphasized state, local,
are meant to supplement state and local resources and tribal governments’ planning, risk assess-
for recovery efforts, as opposed to providing all ment, leadership, and training as a condition of
financial and physical support. Under the Stafford receiving federal assistance. With the passage of
 Stafford Act 897

the Homeland Security Act of 2002, FEMA was are tornadoes, earthquakes, droughts, tsunamis,
incorporated under the Department of Homeland and explosions. Some examples of events not
Security Emergency Preparedness and Response considered under the Stafford Act are refugee cir-
Directorate. In 2006, Congress passed the Post- cumstances, riots, and radiological, chemical, or
Katrina Emergency Management Reform Act biological events.
(PKEMRA; P.L. 109-295), which renovated fed- Title II of the Stafford Act focuses on disaster
eral-level preparedness and management of disas- preparedness and mitigation assistance. Specifi-
ters. Also in 2006, Congress amended the Staf- cally, it provides the president with the authority
ford Act with the passage of the Pets Evacuation to provide technical assistance to states to com-
and Transportation Standards Act (PETS Act; plete comprehensive plans and provide funding
P.L. 109-308). This act, as a condition of receiv- for preparation activities, as well as revive emer-
ing federal assistance, mandates state and local gency operations plans (EOP) and pre-disaster
governments’ residential evacuation plans include hazard mitigation plans. Title II also includes pro-
plans for the evacuees’ household pets and service visions for readiness and use of the disaster warn-
animals. ing system. Under Title III, the president has the
authority to appoint a federal coordinating offi-
The Seven Sections of the Stafford Act cer and activate any federal agency’s employees,
The Stafford Act is made up of seven sections equipment, facilities, or other resources deemed
(Title SI–VII). The first section, Title I, focuses necessary for the disaster response and recovery
on the declaration process and the definitions of effort, with or without compensation.
an emergency and a major disaster. Under the Under Title IV, the president is authorized
Stafford Act, the president has the authority to to provide financial relief for housing-related
declare an emergency or a disaster. The process issues, such as mortgage or rental payments for
is the following: a governor must make a formal those experiencing financial hardship or people
request to the president for a declaration. Prior who have received eviction notices, and cover
to a governor’s making such a request, the gover- local governments’ loans. This also includes the
nor has to take the appropriate response actions reconstruction of federal buildings. Other relief
and has to execute the state’s emergency plan. programs include government food (commodi-
Next, the governor conducts a preliminary dam- ties and vouchers), relocation, psychological and
age assessment in order to determine the extent legal services, transportation, and more. Under
of damage the event has had on facilities and the Title V, a governor can request the president to
public. The information from the preliminary make available economic recovery funds, and the
damage assessment is sent to the president for a governor creates a Recovery Planning Council for
possible formal declaration. Based on the infor- long-term recovery plans. The president provides
mation provided by the governor, the president funds for the council and can authorize up to
may declare the event an emergency or a disas- $250 million for long-term recovery efforts. Title
ter, if so warranted. When a declaration has been VI is focused on emergency preparedness and is
issued, the federal government activates federal based on the Civil Defense Act of 1950. The basic
programs to assist the response and recovery difference between the two public laws is that
process. the term civil defense has been substituted with
Title I also specifies the difference between an the term emergency preparedness. Emergency
emergency and a major disaster. The different dec- preparedness is defined as mitigation, response,
larations result in different federal responses. An and recovery activities that include training and
emergency is viewed as being smaller in scale than exercises relating to emergencies and disasters.
a major disaster, requires less or limited federal Title VII authorizes the president to modify rules,
involvement, and is capped at no more than $5 regulations, and procedures in order to aid the
million per emergency. A major disaster is char- recovery process.
acterized as an event that warrants major disaster
assistance and requires significant federal involve- Andrew Hund
ment and resources. Examples of major disasters Umea University
898 Stakeholders

See Also: Department of Homeland Security Communication

(DHS); Disaster Declaration; Federal Emergency The organization has a responsibility to protect
Management Agency (FEMA); Policy Setting; Political its stakeholders and keep them informed of what
and Organizational Leadership. is happening during a crisis. The stakeholders can
become disenfranchised if they do not feel they
Further Readings have been kept informed or their needs have not
McCarthy, Francis. “Federal Stafford Act Disaster been met. In the modern era of instant access to
Assistance: Presidential Declarations, Eligible information and communication, organizations
Activities, and Funding.” Congressional Research need to have strategic plans to communicate with
Service (2011). http://www.fas.org/sgp/crs/home all their stakeholders. Stakeholders have the ability
sec/RL33053.pdf (Accessed April 2012). to find out about a crisis almost instantly and often
Moss, Mitchell L. and Charles Shelhamer. The much quicker than an organization would like
Stafford Act: Priorities for Reform. New York: in a crisis situation. Communication may go out
Center for Catastrophe Preparedness and through press releases, press conferences, e-mail,
Response, 2007. Web sites, phone, texts, blogs, and social media
U.S. Senate. “The Stafford Act: A Plan for the networks such as Facebook and Twitter. People
Nation’s Emergency Preparedness and Response often respond emotionally in crises, so the commu-
System: Hearing Before the Committee on nication needs to be clear, accurate, and precise.
Environment and Public Works, United States Depending on who the stakeholders are, different
Senate, One Hundred Ninth Congress, Second communication plans need to be devised for them.
Session, July 27, 2006.” Washington, DC: U.S. Internal stakeholders such as employees often
Government Printing Office, 2009. need very specific communication, such as how/
whether to continue their job or assist in the situ-
ation. Internal communication is communication
the organization may not want external groups
such as the media to hear about because of sensi-
Stakeholders tivity on subjects such as payroll, work schedules,
leave policies, designation of essential personnel,
The onset of any type of crisis has the ability to rumor control, proprietary information, internal
impact a large number of people. The crisis not phone numbers and e-mail, or secure informa-
only affects those directly involved; the actions tion. Internal communication is often best han-
and consequences often concern and have an dled through direct contacts such as meetings,
impact on the stakeholders in the organization. e-mails, bulletin boards, intranet, teleconferences,
For an organization, stakeholders are those peo- letters and memos, and phone calls.
ple or organizations that have a vested interest in Communication to external stakeholders has
what has happened and are affected by the deci- become essential for organizations; this often occurs
sions that the leaders in the organization make. through processes similar to those used for internal
If the stakeholders consider a situation a crisis, stakeholders but also includes the utilization of
then it often is and should be treated like one. outside media. Organizations need to be available
An organization has both internal and exter- to the media, be honest with them, and be will-
nal stakeholders. Internal stakeholders are those ing to disclose information about the crisis even if
who are often most dependent on the organiza- they cannot discuss every detail. Organizations can
tion, such as employees, students, trustees, and utilize external communications to distribute vital
stockholders. External stakeholders are often information, control rumors, promote understand-
those impacted by the actions of the organiza- ing, serve as a warning system, give evacuation
tion and could include consumers, outside agen- information, provide educational resources, and
cies, and the community. In order to be successful define responsibilities to external stakeholders. An
in crisis management, the organization needs to organization needs to be proactive with its external
treat its stakeholders with compassion, concern, communications to inform, answer questions, and
and sensitivity. relieve the tension of stakeholders.
 Stakeholders 899

Case Study: Stakeholders at Louisiana State University During Hurricane Katrina

In higher education, a college or university has had suffered damage to their homes and were
many stakeholders. These stakeholders include hosting friends and family members from the New
students, staff, faculty, trustees, legislators, donors, Orleans area. The staff members were responsible
community members and organizations, parents and for restoring university operations, assisting with
other relatives of the people who may be victims, the crisis management operation, volunteering, and
media, general public, fans, and corporate partners. preparing the campus for an adjusted start to the
During Hurricanes Katrina and Rita in 2005, academic schedule. Staff members had to adjust
the administrators at Louisiana State University their operations and procedures to allow an influx of
(LSU) received firsthand experience about the role students from other colleges and universities in the
stakeholders play during a crisis situation. New Orleans area to enroll at LSU.
Hurricanes Katrina and Rita landed on the Gulf The university staff were key in working with
Coast of the United States within weeks of each the Federal Emergency Management Agency
other, causing unprecedented destruction and (FEMA), the Federal Bureau of Investigation (FBI),
chaos. Although LSU, which is located in the capital the Red Cross, and other governmental agencies
city of Baton Rouge, a little over an hour from the in the crisis management operation by providing
coast, suffered damage from these hurricanes, it assistance, office space, supplies, and volunteers
also served as an evacuation center for the region, for the operation. The institution relied on these
especially for the city of New Orleans. stakeholders to assist with the crisis operation and
This unprecedented disaster taxed the region. to return the university to normal operations.
The administrators at LSU became instrumental
in assisting the community and playing a part in Students: The students at LSU had recently
handling a small portion of this disaster and the started classes when Hurricane Katrina slammed
recovery efforts. As LSU became the largest triage the coast. The students who lived on campus
center on U.S. soil, officials had to answer to and depended on the university residence halls and
rely on stakeholders to continue their operations. dining services for shelter and food. Facilities were
University classes and operations were suspended without power, and hurricane damage on campus
for a short time as the campus hosted federal had to be cleared to enable transportation. The
agencies, volunteers, and evacuees. Following is a administration needed to get these operations
partial list of stakeholders that LSU administration running as soon as possible to assist these internal
worked with and the relationship they had. stakeholders. Students took in friends and family
members from the New Orleans area, with these
Internal Stakeholders new “residents” living in their dormitory halls,
Three groups of internal stakeholders were key to apartments, and homes. Students also assisted
continued operation during the crisis. the university in the recovery effort by volunteering
with the crisis operation and triage center that had
Staff: When the hurricane was approaching, the been established on campus. The administration
general order of essential personnel was given to the committed to restoring normal academic
staff members. Essential members showed up as operations as quickly as possible to cause
in previous hurricane warnings, but the devastation minimum disruption to the academic cycle.
was not like anything that was seen before. After the
hurricane had passed through, the institution needed Faculty: As the hurricane approached, the
to find ways to locate and contact staff members faculty, like staff members, were told to stay at
about their return to service. With phone lines home unless they were essential personnel. After
down and cellular towers disrupted, it was found the hurricane, they returned to the campus as
that the easiest way to reach these stakeholders volunteers, assisting with the rescue efforts,
was through text messages. Many staff members (Continued)
900 Stakeholders

(Continued) communications to find out if their children were

utilizing their skills and knowledge. Faculty in safe. Communication was disrupted, as many
foreign languages volunteered as translators for people were without electricity and phone service.
evacuees who were of many different nationalities, Parents from the New Orleans area moved in with
and the agriculture school opened its doors for their children on campus and into the local Baton
the animals that were evacuated to the area. Rouge area. Some parents lived with their children
The institution relied on the faculty to modify for months after the hurricane. The university had
their class schedules for an adjusted semester to tell these stakeholders at a certain point that
with an influx of additional students. LSU was they would have to leave the residence halls as the
responsible for communicating with and locating institution returned to normal academic operations.
this stakeholder group after the hurricane and then
utilized these stakeholders to restore operations at Government Agencies: Among the most important
the institution. outside stakeholders were the local and national
governmental agencies. LSU had established past
External Stakeholders agreements with a health agency in town to let it
In addition, three groups of external stakeholders utilize facilities. This grew in magnitude because
reached out to support the university’s efforts. of the unexpected numbers of people who were
evacuated to the Baton Rouge area and the role
Alumni, Donors, and Fans: Alumni, donors, that federal agencies such as FEMA played on
and fans reached out to the university to assist campus. The chancellor of the university felt that
in recovery, providing medical supplies, food, as a state institution, LSU had a responsibility to
and volunteers for the rescue operation on the assist in the region with evacuation and recovery.
campus. Money was donated to assist in the
recovery effort, and a scholarship/grant fund was LSU’s relationship with its stakeholders became
established to help students who were affected. essential to the successful management of the
LSU communicated with these groups through the crises caused by Hurricanes Katrina and Rita.
media, e-mails, and the university Web page. In the aftermath of the hurricanes, the role and
communication process with the stakeholders was
Parents: Parents of the college students turned to examined and redesigned to be more effective and
the university’s Web pages, newscasts, and other more beneficial to both.

Stakeholders as Part of the Crisis Plan expertise on where they can assist, how they can
The stakeholders should be part of the process provide resources, and the best way to commu-
from the beginning and not an afterthought in nicate with them. Those stakeholders who might
the development and execution of the crisis plan. also be involved in assisting with the crisis situ-
The stakeholders can bring their expertise to the ation, if it were to occur, can demonstrate how
execution of the plan. They can provide valuable they could utilize those resources. Being part of
feedback on the crisis management plan and may the planning process builds trust between them
be able to utilize their particular networks for the and the organization.
benefit of the organization. By being involved in During an actual crisis, stakeholders often
the mitigation process, the stakeholders will know look to the organization for the most up-to-date
what to expect, understand the decision triggers information. They are interested in how the crisis
when they are made, and know how to respond. affects them and their relationship with the orga-
In the pre-crisis planning phase, stakeholders nization. The stakeholders may be able to pro-
can be an influence in assisting with the design vide assistance or resources through their unique
of the crisis mitigation plan. They can share their enterprises. Organizational leaders need to clearly
 State Emergency Management Agencies 901

communicate with their stakeholders and have civil defense context during World War I and
someone who can reach out, communicate, and more directly evolving during the Cold War after
organize them if needed. In the post-crisis opera- World War II. The latter especially connected the
tion, stakeholders can provide resources to assist national security mission to the local security mis-
with the cleanup in the aftermath. They can pro- sion, particularly with exercises with the scenario
vide support and help in the rebuilding process, if of a Russian bomb reaching the United States and
needed. Finally, stakeholders can be vital partners the use of a new technology, an elementary Emer-
in the evaluation of what happened during the cri- gency Broadcast System.
sis, because they can bring an outside perspective Large natural disasters, such as Hurricane
to the situation. Stakeholders can then be part of Andrew (1992), Midwest floods (1993), North-
the discussion about the reevaluation of the crisis ridge earthquake (1994), 9/11 (2001), and Hur-
management plan. ricanes Katrina and Rita (2005), have impacted
By being part of the decision-making process, the profession, leading to increased press cover-
stakeholders gain trust in the organization. With age; voluntary standards; extensive legislation;
trust between the stakeholders and the organiza- federal guidance; state actions; and new planning,
tion, they will believe and trust the organization if training, and exercise scenarios and efforts, all
an actual crisis occurs. strengthening the profession. During this time,
the number of emergency management degree
Steven McCullar and certificate programs in institutions of higher
St. Cloud State University education has grown from two to over 257. Many
young people are deciding early in their academic
See Also: Collaboration; Command and Control; studies to become emergency managers, to serve
Coordination; Crisis Communications; Evacuation; as interns in state emergency management agen-
Groupthink; News Media; Nongovernmental cies, and to devote themselves to building the
Organizations; Volunteer Coordination. profession.
The National Emergency Management Asso-
Further Readings ciation released its second annual report, titled
Coombs, W. T. Ongoing Crisis Communication: “Emergency Management Performance Grants;
Planning, Managing, and Responding. Thousand Providing Returns on a Nation’s Investment.”
Oaks, CA: Sage, 2007. The Emergency Management Performance Grant
Curtin, T., et al. Managing a Crisis: A Practical (EMPG) allows state, tribal, and local govern-
Guide. New York: Palgrave Macmillan, 2005. ments to make key investments to build capacity
Ulmer, R. R., T. L. Sellnow, and M. W. Seeger. and enhance the capability of states and localities
Effective Crisis Communication: Moving From to respond to disasters. For the EMPG in fiscal
Crisis to Opportunity. Thousand Oaks, CA: Sage, year 2011, the highlights include the following:
2007.
Zdziarski, E. L., N. W. Dunkel, and J. M. Rollo, eds. • 78 State and 2,866 local emergency
Campus Crisis Management: A Comprehensive operations centers helped officials
Guide to Planning, Prevention, Response, and coordinate efforts for 57,469 events using
Recovery. San Francisco, CA: Jossey-Bass, 2007. EMPG funds
• State and local emergency managers
conducted 6,156 classes related to
emergency management, reaching 135,534
personnel
State Emergency • Nearly 1 million participants took part in
3,890 state and local workshops, drills, and
Management Agencies functional full-scale exercises
• 3,089 citizen and community preparedness
Emergency management in the United States is outreach campaigns impacted 133,255,522
a relatively new profession, originating in the citizens across the nation
902 State Emergency Management Agencies

The Stafford Act is the prevailing legal frame- state emergency managers, as well as the entire
work for U.S. emergency management and the profession.
Federal Emergency Management Agency (FEMA), NEMA has a small, expert staff of 10 (eight
the lead federal agency for all such professional in Lexington and two in Washington, D.C.) who,
development, partnership building, planning, because of their close affiliation with the Council
training, exercises, standards, guidance, certifica- of State Governments, have an ongoing oppor-
tions, credentialing, accreditations, thought lead- tunity to work closely with other aspects of the
ership, and financial assistance/resource manage- larger state government context and to keep all
ment during large disaster events, once a state’s aspects of states’ governance issues and policies
governor requests FEMA assistance based on the informed on emergency management.
extent of a disaster being beyond the capability of Trina H. Sheets is the longtime director and an
the state to respond and recover. icon in the profession. Her staff includes a gov-
The state emergency management agencies ernment relations director and a legislative policy
form the backbone of emergency management in analyst in the D.C. office, a senior policy analyst,
the United States. The initial formation of these an administrative assistant, a meeting and mar-
agencies on a state-by-state basis began with the keting coordinator, and, for the EMAC Program,
adoption of the Emergency Management Perfor- a director, a technology analyst, an exercise and
mance Grant Program, providing a huge incentive training director, and a training assistant.
for a basic program of emergency management in NEMA is approaching its 40th anniversary as
each of the 50 states and six territories. FEMA- a vibrant, substantive, transparent, and trusted
appropriated funds paid 50 percent of the salaries organization, effective in building the profession
of emergency managers for counties as well. of emergency management and responsive to the
In 1974, state emergency managers created a increasing challenges of all hazards in a rapidly
professional organization, the National Emer- changing environment. According to NEMA, its
gency Management Association (NEMA), which six areas of major focus are as follows:
has served as a unified voice, thought leader, and
professional advocate supporting a wide range of • Strengthening the relationship with
activities and efforts, including an annual confer- Congress and federal agencies
ence; annual policy forum; monthly newsletter; • Developing strategic partnerships with key
weekly newsletter for state directors; biennial organizations and individuals impacting the
survey reports on the profession; substantive Web profession
site; effective convener; large resource library • Tackling emergency management issues
on emergency management books, articles, and through proactive committees
materials; and a strong voice for the emergency • Holding two national and annual
management profession, especially state emer- policy conferences per year, providing
gency managers and staff. presentations by thought leaders
Additionally, NEMA has several key profes- • Serving as an information sharing and
sional publications, including the State Emer- support network
gency Management Director Handbook, Model • Offering professional development and
Interstate Mutual Aid Legislation, and Are You training to state emergency managers and
Ready to Lead? A Public Official’s Primer on All- senior staff, honing their practical and
Hazards Emergency Management. strategic leadership skills
NEMA is an affiliate of, and housed with, the
Council of State Governments Center in Lexing- Paraphrasing the late Speaker of the U.S. House
ton, Kentucky, and at the Hall of States Building of Representatives Thomas P. “Tip” O’Neil, who
in Washington, D.C., along with the Emergency said, “All politics is local,” in the case of emer-
Management Accreditation Program office and gency management, “All disasters are local.”
the Emergency Management Assistance Com- Therefore, the importance of state emergency
pact office, creating a strong center of gravity for management agencies cannot be overstated. These
building the profession and the representation for agencies derive their power and authority through
 State Emergency Management Agencies 903

their own governors. State governors have consid- • Leading the Presidential Disaster
erable authority through their own state constitu- Declaration request process
tions, during emergency situations specifically, in • Implementing effectively state and federal
most states, such as the ability to suspend regu- assistance
lations, order evacuations, commandeer private
property, call up the National Guard, and impose The leader and manager of the state emergency
curfews, to name a few potential actions. Also, the management team is commonly referred to as the
Tenth Amendment to the U.S. Constitution con- state director. According to NEMA surveys, in 34
tains language designating public safety and wel- states, that position is appointed by the governor
fare as a responsibility of the states. States were and may also serve as the director of homeland
given police powers to protect the public. security. Typically, this person is a domain expert
These state emergency management agencies and a trusted adviser and friend to the governor.
vary greatly from state to state, in size, organi- NEMA lists the general responsibilities of the
zational framework, status, and authority. They state director as follows:
interface closely with related disciplines such as
the fire service, law enforcement, public safety, • Establish and maintain an integrated
emergency medical services, and related non- statewide emergency response structure
profits. At the same time, the federal government • Establish and maintain an effective
largely sets the agenda for emergency manage- organization, including plans, staff,
ment, especially for the funding, other resources, facilities, and equipment
and priorities. • Gauge, monitor, and support improvement
FEMA is the leading agency in the development of the emergency management capabilities
of frameworks for planning, training, and exer- of local governments
cises now with the Presidential Policy Directive • Continuously assess and improve state
8 (PPD-8, 2011) guidance, producing an updated emergency management capabilities
National Response Framework, a new National • Develop an effective public information
Disaster Recovery Framework, and a proposed capability and establish media relations
Preparedness Framework, along with scheduled • Develop effective coalitions and volunteer
Frameworks for Mitigation, Prevention, and agencies, nongovernmental organizations,
Protection. business, and industry
State and territorial governors and their state • Plan for the whole community, including
emergency management agencies form a team children, the elderly, the poor, the disabled,
approach for emergency management in the fol- and pets
lowing ways: • Serve as the state coordinating officer
during emergencies declared by the
• Conducting risk assessments to understand governor, facilitating the acquisition and
the hazards, threats, and vulnerabilities of application of state and federal resources
jurisdictions in their state upon request by impacted jurisdictions
• Knowing the state laws and authorities for • Serve as the governor’s Authorized
disaster and being ready to executive them Representative, during the recovery process,
• Assessing the state’s emergency resources channeling and coordinating federal
and capabilities recovery aid and assistance to impacted
• Developing and implementing the state jurisdictions
emergency operations plan
• Encouraging the public sector and private FEMA’s Comprehensive Preparedness Guide
sector to collaborate with each other, as (CPG), Version 2.0, is the general guidance docu-
well as the nonprofit sector, following ment for state, territorial, tribal, and local govern-
FEMA’s organizing concept of “the whole ments in developing plans, especially for emer-
of community,” to include children, elderly, gency operations, integrating the subnational plans
the poor, functional needs, and pets with those of FEMA, such as the National Incident
904 State Emergency Management Agencies

Management System (NIMS) and the National • Laws and authorities

Response Framework. The basics, environment, • Hazard identification, risk assessment, and
principles, types, format, and functions of state consequence analysis
planning are covered with some best practices and • Hazard mitigation
guidance, including the weaknesses of templates, • Prevention
lessening relevance, ownership, and creativity. • Operational planning
The National Disaster Recovery Framework has • Incident management
been released for guidance to states, localities, and • Resource management and logistics
tribes. Additionally, the PPD-8 guidance is under • Mutual aid
development at FEMA to provide a guide for gen- • Communications and warning
eral preparedness including those at the state level • Operations and procedures
and a Preparedness Framework, out for comment, • Facilities
with a Mitigation Framework being planned. • Training
Further, FEMA has developed a “whole of • Exercises, evaluations, and corrective action
community” philosophy, approach, guidance, • Crisis communications, public education,
and organizing principle—called “principles, con- and information
cepts, and pathways.” This guidance was devel-
oped over the last couple of years and captures The National Fire Protection Association
best practices, lessons learned, and ideas vetted (NFPA) has a similar set of voluntary standards
from “research, conferences, listening sessions, for emergency management and business continu-
and direct feedback from state, territorial, tribal, ity, NFPA 1600, though without an accrediting
and local representatives, academia, nongovern- process such as EMAP. Each of these documents
mental organizations, community members, and is updated every three years. The current edi-
the private sector.” tions are for 2010, and the next is currently being
Three principles represent the foundation set updated for publication in 2013.
forth for establishing a whole of community Currently, over half of the states and a number
approach to emergency management: of localities are EMAP accredited, as follows:

1. Understand and meet the actual needs of • Alabama

the whole community • Arkansas
2. Engage and empower the whole • Arizona
community • City/County of Jacksonville/Duval, Florida
3. Strengthen what works well in • Colorado
communities on a daily basis • District of Columbia
• East Baton Rouge Parish, Louisiana
Voluntary standards are increasingly recog- • Florida
nized and used throughout the profession of emer- • Georgia
gency management and at the national, state, and • Illinois
local levels. • Indiana
The Emergency Management Accreditation • Iowa
Program (EMAP) works closely with states and • Louisiana
local jurisdictions in offering training and con- • Maryland
ducting assessments in preparation for the nec- • Massachusetts
essary evaluations for accreditation. FEMA has • Michigan
provided funding on several occasions for nation- • Mississippi
wide reviews of state programs. These standards • Missouri
are intuitive and practical, as follows: • Nebraska
• New Jersey
• Program management • New Mexico
• Administration and finance • New York
 Stock Market Crises 905

• North Carolina they differ is often in the duration of the market

• Ohio decline. Bear markets tend to unfold over months
• Orange County, Florida or years and are often embedded in larger eco-
• Pennsylvania nomic upheavals. In these cases, the bear market
• Pierce County, Washington is not itself the “crisis” but rather one element of
• City of Providence, Rhode Island a larger pattern. The most dramatic recent exam-
• County of San Diego, California ple is the bear market in stocks that lasted from
• South Carolina mid-2008 to spring 2009. Although the market
• Tennessee suffered steep losses, these were part of a much
• Utah larger complex of debt-fueled crises in the bank-
• Vermont ing and housing sectors.
• Virginia The phenomenon of a stock market crash
differs largely in the speed and violence of the
Conditionally accredited programs have a decline. In contrast to the relatively slow pattern
number of areas in which to attain compliance of losses in a bear market, a market crash typi-
during a nine-month conditional accreditation cally takes place in a short period of time, is not
period; then they will be reviewed for full accredi- tied to any one fundamental cause, and leads to
tation, including California; Denver and Colo- calls for greater controls to address the pattern of
rado Springs, Colorado; Miami-Dade, Florida; behavior particular to that crash. The following
and Oklahoma. examples illustrate this pattern.

Kay C. Goss The Crash of 1929 and the Great Depression

World Disaster Management Foundation The difficulty of identifying the causal relation-
for Higher Education Accreditation ships between stock market crises and broader
in Emergency Management economic crises is exemplified by the Great Crash
of 1929 and the Great Depression, which are
See Also: Federal Emergency Management Agency closely linked in historical accounts of the period.
(FEMA); National Fire Protection Association (NFPA) After a rapid expansion of stock prices through
1600, 2007, and 2010; National Incident Management much of the 1920s, fueled by a combination of a
System (NIMS); National Response Framework. strong economy and speculative investor behavior,
the market became increasingly volatile in the fall
Further Readings of 1929, with several days of significant declines
Emergency Management Accreditation Program. preceding the Black Friday plunge of more than
http://www.emaponline.org (Accessed July 2012). 9 percent on October 24. The market fell by
Federal Emergency Management Agency. http://www another 12.8 percent the following Monday and
.fema.gov (Accessed July 2012). an additional 11.7 percent on Black Tuesday for
National Emergency Management Association. http:// two of the three largest percentage declines in the
www.nema.org (Accessed July 2012). market’s history. The market reached a tempo-
National Fire Protection Association. www.nfpa.org rary low on November 13, followed by an interim
(Accessed July 2012). rally of nearly 60 percent, before it began to drop
again. By mid-1932, the market was 89 percent
below its September 1929 peak, a level it would
not regain until 1954.
The Great Depression is generally viewed
Stock Market Crises as having begun in 1929 with the Great Crash,
though the causal role of falling stock prices
There is no formal delineation between bear remains a point of historical debate. For exam-
markets and market crises, or crashes. The two ple, the drought and dust bowl conditions that
phenomena overlap in their description of peri- plagued farmers in 1930, leading to widespread
ods of significant losses in equity markets. Where defaults on agricultural loans and bank failures,
906 Stock Market Crises

were an independent factor. That said, the actions the value of a stock market index and its deriva-
by the Federal Reserve to control speculative activ- tive value in the futures market. In cases where
ity in the stock market involved tightening credit one market moves more quickly than the other,
conditions that also contributed to the failure of traders will usually trade away the price discrep-
the U.S. banking system. Moreover, the effects of ancy, in the process moving the stock market and
plunging stock prices on both corporate employ- futures markets into closer alignment. As a result,
ment and widespread sentiment are widely cited at times when influences such as portfolio insur-
as factors in the severity and persistence of the ance trading drive down the futures market, the
resulting downturn. resulting arbitrage opportunity makes selling the
The policy response to the joint stock market stock market an attractive trade. These technolo-
and economic crashes incorporated a combina- gies together have been cited by both academic
tion of public sector spending to support demand and government studies (see, for example, the
and regulatory constraints on market specula- Brady Report listed below) as key factors in the
tion. The latter included legislation such as the market crash.
Glass-Steagall Act, which required the separation Although the 1987 crash is remembered for
of commercial and investment banking activities, its severity, it did not have a lasting effect on
and the Securities Exchange Act of 1934, which either the broader market or the economy. The
led to the creation of the Securities and Exchange Dow Jones Industrial Average ended the calendar
Commission to act as overseer of U.S. financial year with an 11 percent gain and recovered to its
markets. pre-crash high within two years. Moreover, the
broader economy posted positive gross domestic
Black Monday: The Crash of 1987 product (GDP) gains in every quarter of 1987 and
Although referred to using similar terminology as 1988, with growth of more than 10 percent in the
the 1929 crash, the market event in 1987 occurred fourth quarter of 1987.
under very different circumstances. The stock The New York Stock Exchange responded to
market began sliding on Wednesday, October 14, Black Monday by instituting trading curbs. The
and continued falling through Friday, declining curbs have evolved over time but have maintained
an unusually large 9 percent for the week. The the general feature of halting trading for a period
crash on Monday, October 19, called Black Mon-
day, began when markets opened in Hong Kong
and rippled westward across Europe to the United
States. The Dow Jones Industrial Average then fell
by more than 22 percent on Black Monday, the
largest single-day decline in percentage terms in
its history.
Although a number of macroeconomic and
market causes have been explored, one of the
most commonly cited is the increasing use of new
trading technologies, such as portfolio insurance
and market index futures. Portfolio insurance
was an automated strategy designed to sell secu-
rities (typically index futures) when holdings in
an investor’s portfolio fell below a specified price
in order to protect that investor’s total portfolio
value. On October 15, for example, the Brady
Report on the crash asserted that portfolio insur-
ance trading was significant during the final hour The Wall Street bull in New York is a symbol of bullish (optimistic)
of the trading day. trading, but economic crises can turn the market bearish (a slow
Index futures are often used by arbitrage trad- pattern of losses). On some occasions, the market has experienced
ers seeking to capitalize on differences between a crash, which occurs over a shorter period of time.
 Strategic Plans 907

of time that varies with the intensity of the price to which it was linked followed suit. The anoma-
drop. As of the first quarter of 2012, the exchange lous trades in individual shares were ultimately
was set to impose a maximum one-hour halt to invalidated.
trading for a drop of 1,200 points in the Dow The Flash Crash has fueled long-standing con-
Jones Industrial Average and a maximum two- cerns among regulators and market participants
hour halt for a drop of 2,400 points. A drop of about the impact of algorithmic trading, which is
more than 3,600 points would lead to a halt in part of a constellation of practices (such as trad-
trading for the entire day. ing on “dark pools”) that are transforming equity
markets. The Commodities and Futures Trading
The Flash Crash of 2011 Commission (CFTC), which regulates futures and
The most extreme example of a stock market other markets, announced the creation of a new
crash decoupled from economic fundamentals committee to examine high-frequency trading
was the Flash Crash of 2011, during which the early in 2012. In France, the government has pro-
market fell by more than 5 percent in less than five posed a set of transaction taxes that include a tax
minutes and returned to its former level nearly as targeting high-frequency trading. The taxes await
quickly. The entire crash and recovery took place approval by the French parliament.
in roughly 20 minutes.
As in the case of Black Monday, technology Jason Windawi
played a central (and more definitive) role in Independent Scholar
attribution of the Flash Crash. In this case, the
culprits were high-speed algorithms that execute See Also: Cascading Crisis; Crisis, Definition of;
thousands of trades a second, much faster than Debt Crisis.
humans can trade. Subsequent research by a gov-
ernmental panel found that one large investor Further Readings
used an algorithm to hedge a position using stock Carlson, Mark. “A Brief History of the 1987 Stock
market futures, which it traded on the Chicago Market Crash With a Discussion of the Federal
Mercantile Exchange’s computerized Globex Reserve Response.” Discussion Paper. New York:
Platform. The trades caught the attention of other Federal Reserve Bank of New York, 2007.
investors’ algorithms, leading to a spiral of sell- MacKenzie, Donald. “How to Make Money in
ing, buying, and reselling that ultimately pushed Microseconds.” London Review of Books, v.33/1
prices of contracts down by more than 5 percent (May 19, 2011).
in less than five minutes. This fall in turn trig- Presidential Task Force on Market Mechanisms and
gered the exchange’s automated trading curbs, Nicholas Brady, Chair. “Report of the Presidential
which imposed a halt in trading of five seconds. Task Force on Market Mechanisms.” Washington,
This was enough to halt the plunge in the futures DC: U.S. Government Printing Office, 1988.
market, and more orderly trading resumed when U.S. Commodities Futures Trading Commission and
the halt was lifted. Securities and Exchange Commission. “Findings
The results were different in the equity mar- Regarding the Market Events of May 6, 2010.”
kets to which the index contracts were linked. A http://www.sec.gov/news/studies/2010/market
separate set of arbitrage programs at work in the events-report.pdfmmission (Accessed April 2012).
U.S. equity market trading individual stocks (as
opposed to entire indices) then began rapid-fire
trading based on the impact of the futures trad-
ing on the equity markets. The results were both
chaotic and extreme, with values of some shares Strategic Plans
(such as those of Accenture) falling to one cent
while others (such as those of Sotheby’s) soared A strategy is defined by Oxford Change Manage-
to $99,999. The market went on to recover, how- ment as “a set of agreed principles for the allo-
ever, as the futures market rose in the wake of the cation of scarce resources in a specific context
imposed stop to trading, and the equity market to create the most value.” Strategic plans and
908 Strategic Plans

the planning process form a key management to be flexible as the external context demands and
approach for international humanitarian and to not be bound only by the diktats of the strategic
development organizations. Strategic plans chart plans, presence of clearly laid-out plans certainly
the course for the organization by outlining its is very helpful in moving toward a larger goal/
aspiration for change, value system, and scope of purpose. John Bryson, who focused on strategic
operation, all set within a certain time frame. This plans for nonprofit organizations, summarizes the
article outlines the importance of strategic plans benefits of strategic plans as giving organizations
for international organizations, the key compo- the ability to do the following:
nents in a plan, the process involved in develop-
ing a plan, some of the best practices in develop- • Think strategically
ment and use of the strategic plan, and further • Clarify future direction
resources to help the reader. A case study exem- • Make today’s decisions in light of their
plifying a successful strategic plan development future consequences
process is also included to provide a practitioner’s • Develop a coherent and defensible basis for
perspective into strategic plans. decision making
• Exercise maximum discretion in the areas
Importance of Strategic Plans under organizational control
One of the key documents in organizations, a • Solve major organizational problems
strategic plan helps provide guidance to managers • Improve performance
toward agreed objectives. It also helps employees • Deal effectively with rapidly changing
and departments within the organization move circumstances
purposefully and cohesively in the work they do • Build teamwork and expertise
and helps them relate to a broader vision lead-
ing to staff motivation. Strategic plans also help Components of a Strategic Plan
senior managers make difficult decisions at times Key sections in a strategic plan are vision, mission,
of crisis (Case Study 1). Although it is important objectives, outcomes, strategies to achieve these,
and resource needs. Depending on the context and
scope, as well as organizational preference, strate-
gic plans can be for one year, three years, five years,
or longer. For large international organizations,
Case Study 1: Health Care
there could be strategic plans at multiple levels: one
Strategic Planning in India
for the broader organization, one each at region
Faced with a massive disaster in India, country and country levels. Department/unit level (e.g.,
managers of a large international organization monitoring and evaluation department, human
were faced with the options of providing life resources department, finance department, etc.)
primary health care and other services, and the strategic plans are also not uncommon, deriving
field team as well as the government lobbied from the broader organization-level strategic plan.
strongly for starting programs. However, looking The most common sections in a strategic plan
at the strategic plan, it was clearly outlined and corresponding activities to develop those are
(and reasoned) that the organization will not as follows:
be involved in health care interventions but
will respond to the root causes of poor health Analysis of internal environment: This includes
by improving sanitation by and safe water and a review of organizational achievement over the
hygiene promotion. This was explained to the past years to determine the way forward. A com-
staff and the government, and the decision mon tool called SWOT analysis (strength, weak-
was made not to implement health programs. ness, opportunity, and threat) is used with teams
Availability of a strategic plan clearly helped the in this process in order to objectively evaluate the
senior managers in making the difficult decision situation against reality and draw recommenda-
and also convinced the government. tions from the same. This is a crucial process that
determines the strength of the strategic plan.
 Strategic Plans 909

External environment: Recognizing that the development organizations have identified focus
organization works in the context of an external program areas in which they tend to specialize,
milieu, analysis of the external environment is while also implementing a broad range of other
important. This includes developing understand- interventions. For example, some organizations
ing on a wide range of issues, for example, the focus specifically (and invest significantly) on
policies and plans of the government for the host issues such as health, food and nutrition, logistics
country (see Case Study 2), donor priorities and management, disaster risk reduction, gender, pro-
funding environment, operational contexts (e.g., tection, governance, and so on. In development of
security, access to program areas, disaster vul- strategic plans, these specialized areas are given
nerability), work of other actors, and whether prominence.
there is opportunity for collaboration or risk of Inclusion of cross-cutting issues (issues that
duplication. are important and need to be considered and
included in all program activities) adds strength
Identification of the target audience/beneficiary: to the strategic plan by making sure the orga-
There is a need for clearly identifying the target nization is able to improve quality of its work
audience for an organization so as to identify by being sensitive to those issues. Some exam-
programs that would serve them and strategies ples of cross-cutting issues include the environ-
to reach them. Some organizations put specific ment (making sure that the environment is not
emphasis on population groups that are consid- degraded and, if possible, enriched through
ered most vulnerable within a given context, for program activities), HIV/AIDS (prioritizing and
example, people living with human immunodefi- focusing on the special needs of this group), and
ciency virus and acquired immune deficiency syn- gender (making sure that women and men are
drome (HIV/AIDS), orphans and minors, people equally involved in decision making and existing
with disabilities, women, and elderly populations. gender imbalances are addressed).

Identification of program areas: These form the Strategies to implement programs: A broad range
core business of the organization in a given coun- of strategies are adopted by international organi-
try or region and are determined by undertaking zations to implement their program activities, and
needs assessments at the field level and discussions this is a key consideration during strategic plan-
with beneficiaries, consultations with different ning. These depend on the organization’s focus,
stakeholders, review of secondary information, mandate, capacity, and issues it wants to deliver on
discussions within the organization at different as well as operational environment and resources
levels, and so on. Most of the humanitarian and available. Examples include direct implementa-
tion of activities by opening offices and having
staff on the ground, working with local partner
organizations (local nongovernmental organiza-
tions [NGOs], local authorities), working through
Case Study 2: Government Censorship
advocacy and lobbying processes, and capacity
In an east African country, the government decided building of local organizations.
that organizations (national and international)
working on issues such as protection, rule of law, Resources necessary to deliver the strategic plan:
gender empowerment, gender-based violence, civic This is of crucial importance, as the success of
engagement, and democracy will be banned from the strategic plan depends on the availability of
operating. It was therefore extremely important for and feasible plans for mobilization of required
organizations developing strategic plans to work resources, both internal and external. Examples
within this reality. Several organizations had to of resources include financial, technical, and
change their strategies, stop from operating in the human capacity needed to make the strategic plan
country, or develop innovative strategies in order to a reality. The plan needs to outline these in clear
continue their work. terms, along with responsibilities for team mem-
bers, potential donors (funding), and timelines.
910 Strategic Plans

Indicators of success: These are outlined in order • Level of detail required: whether the plan is
to help measure the achievements against the plan aimed to cover the broader mission, goal,
and make changes as may be necessary. objectives, and strategies or whether it is
expected to also provide other details, such
Timeline for the Plan and as geographic focus, financial ambitions,
Midterm Plans for Review and plans for specific units within the
organization and so on.
Work plans: Work plans break down the broader • Extent of participation: from team
strategies into specific tasks, with assigned time members, external actors, and so on.
frame and responsibilities of team members.
Achievement of each of these activities contributes A range of tools are available and can be used
toward realization of the overall strategic plan. in development of strategic plans based on the
above issues and others.
Vision and mission: These two components are the Case Study 3 explains the process involved in
anchors that provide the plan its most important development of a five-year strategic plan for the
purpose—aspiration and scope for the organiza- International Rescue Committee (IRC) for its
tion. The word vision outlines what the organiza- work in Kenya.
tion wants to be or how it wants the world to be
(an “idealized” view of the world). It is a long-term Good Practices
view and concentrates on the future. It can be emo- Strategic plans can only be as useful as the orga-
tive and is a source of inspiration. For example, a nization and staff choose to make them. There are
charity working with the poor might have a vision many experiences of well-researched and well-
statement that reads “A World Without Poverty.” written plans not really being used in decision
The word mission defines the fundamental pur- making, and in many other functions, the plan
pose of an organization or an enterprise; it suc- was intended to support as a guide. Some of the
cinctly describes why it exists and what it does to good practices in development and use of strate-
achieve its vision. For example, the charity above gic plans are described below:
might have a mission statement such as “provid-
ing jobs for the homeless and unemployed.” • Keep the plan based on reality to the extent
possible: Although it is great to have lofty
Strategic Planning Process ideas and aspirations, too much can make
A large number of processes, tools, and approaches a strategic plan lose its relevance in actual
are used in development of strategic plans. Some work the organization is doing, thereby
of the key factors that contribute in deciding the adding less value. Plans must be based on
approaches are the following: the reality of the organization’s past and the
current context in which it is working.
• Time available to develop the plan • Keep strategic plans brief, simple, and
and period for which the plan is being free of jargon. Lengthy documents with
developed. For example, a strategic plan for excessive use of rhetoric and jargon make
the next 10 years will require much more a strategic plan less attractive as a useful
thorough analysis and rigorous discussion document for staff. The language must be
compared to a plan that is for one year. direct and easy to relate to.
• Scope of the plan: whether it is for the • Be willing to change and be honest in
larger organization or for a specific unit/ the strategic planning. Development
department. of a strategic plan offers an excellent
• Context: whether the organization is opportunity for organizations to understand
focused on emergency or development what is working, what needs to change, and
context and how much the context has what opportunities can be embraced. These
changed since the last plan was prepared. changes must be reflected as accurately
as possible in a strategic plan. This may
 Strategic Plans 911

Case Study 3: Strategic Planning Process for Kenya, International Rescue Committee (IRC)

The IRC has been working in Kenya since 1992, held two-day workshops at each of the field
implementing programs focused on assistance to offices to understand the findings and delve
refugees, vulnerable Kenyan communities living in into issues through a series of presentations,
arid regions, and urban centers. The organization focus group discussions, and sharing. These
embarked on a five-year strategic planning process workshops helped senior management team
for Kenya with the primary purpose of developing a get clarity on issues, challenged field teams
clear plan for its work in the country and a broader on their recommendations, and deepened
vision that staff can relate and contribute to, derive team participation.
decisions from, and be motivated by. 4. Discussions internally within the
The following processes and activities were organization: A large number of meetings
carried out in development of the strategic plan. were held with a range of internal team
The entire process took over nine months. members at regional and head offices
(technical advisers, security leads,
1. Decision and information sharing: The operations leaders, etc.), seeking their
strategic plan derived from the larger advice and input in the process. This helped
organizational guidance to all country in creating an organizational buy-in for the
programs to develop country-specific country-level strategic plan and process.
strategic plans. The senior management 5. Country-level drafting meetings: Based on
team for the country program discussed the the findings and recommendations from
broad steps and activities that will be carried the above, a smaller group of senior staff
out in development of the plan. An all-staff drafted various sections of the strategic
communication was sent out to this effect. plan. Discussions back with the field teams,
The plans were also shared with the regional head office, and regional office continued
and head offices. This helped in bringing throughout this stage. This helped in
the larger team together on the plan and crystallizing ideas into clear plans.
awareness of the process. 6. Country-level strategic plan workshop and
2. Field level analysis: Each of the four offices finalization: A two-day workshop culminating
of the IRC in the country took up an external the above processes and activities
and internal analysis exercise (a set of resulted in the draft plan being presented,
questions and guidance were provided to discussed, debated, and redrafted. This
the field offices to ensure this) involving made sure the country senior management
a cross-section of staff at the office held had complete engagement, buy-in, and
meetings with local authorities at the district ownership of the plan.
level, line ministries, other organizations, 7. Sign-off and dissemination of the plan: The
and community leaders. Reports were then plan was then presented to the senior leaders
prepared and shared with the country office, within the organization, and approval was
answering the key questions and providing received. The plan was then shared with
broad recommendations. Similar processes all staff within the country program. Senior
were carried out at the country-office level in staff took on the responsibility to share the
Nairobi, including meetings with a range of staff with various stakeholders who had
donors, government officials, and partners. contributed in development of the plan. Plan
This helped the field teams to articulate dissemination helped ensure feedback and
issues from external actors, including support from staff as well as external actors.
beneficiary communities and their own views. 8. Inclusion of the plan elements and
3. Field level workshops: Following the above integration: Components and directions
exercise, senior staff from the country office (Continued)
912 Strategic Plans

(Continued) An annual work plan was also developed,

provided within the strategic plan were drawing from the strategic plan with
systematically integrated in development activities, timelines, resources needed, and
of program sector plans, staff performance indicators. It is crucial that a strategic plan
objectives, fund-raising and communication become a part of the normal functioning
plans, operation development plans, staffing of the organization rather than just a
plans for the country program, and so forth. document.

require sacrifices (e.g., letting staff go, taken from the broader strategies form
closing offices, starting new programs, a connecting link that staff can relate to
working harder to raise funds, partnering immediately. Other examples of integrating
with others, and so on), and managers must strategic plans are decisions on staffing
be willing and committed to make them. structure, inclusion in staff performance
• Review strategic plans and measure objectives, or fund-raising plans.
achievement against them. Contexts change
often, sometimes dramatically, requiring Prafulla Mishra
strategic plans to be reviewed and revised to International Rescue Committee, Somalia
be meaningful. This is especially important
for plans that are developed for the longer See Also: Contingency Planning; Decision
term (three years or longer). Also important Making; Incident Action Plans; Nongovernmental
for managers is to regularly (e.g., every six Organizations; Operational Plans; Operational
months) review the achievement against the Readiness; Political and Organizational Leadership;
strategic plans to measure achievement and Pre-Crisis Training and Planning; Risk Analysis;
refocus resources as needed. Stakeholders; Sustainability.
• Participation in strategic planning.
Of crucial importance for a successful Further Readings
strategic plan is the element of ownership Bryson, John M. “A Strategic Planning Process for
by staff, partners, and others as relevant. Public and Nonprofit Organizations.” Long Range
Involvement of staff and other stakeholders Planning, v.21/1 (1988).
in development of strategic plans therefore Burns, Paul. Corporate Entrepreneurship: Building
is a vital first step in ensuring that they an Entrepreneurial Organisation. Basingstoke, UK:
are aware of the content of the plan, have Palgrave Macmillan, 2005.
contributed to it, and therefore remain Canton, Lucien G. “Emergency Plans: Are They
accountable and committed to achieve it. At Really Necessary? Five Steps to Better Response
the same time, it is also important to draw a Operations.” Risk, Hazards and Crisis in Public
balance between participation and decision Policy, v.2 (2011).
making. Managers leading strategic plans Elliott, Dominic, Ethne Swartz, and Brahim Herbane.
must be able to make appropriate decisions Business Continuity Management: New York:
that will help in achievement of the strategic Routledge, 2010.
plan rather than conceding to specific group Oxford Change Management. http://www.oxford
interests within the organization. change.com/welcome/images/articles/strategy_%20
• Integrate the strategic plan in the for_international_organisations.pdf (Accessed
organization’s work. It is important that the April 2012).
strategic plan be directly linked to activities Waugh, W. L., Jr., and G. Streib. “Collaboration and
of the organization at a practical level. Leadership for Effective Emergency Management.”
Work plans that outline specific activities Public Administration Review, v.66/1 (2006).
 Strengths, Weaknesses, Opportunities, and Threats (SWOT) Analysis 913

Strengths, Weaknesses, organization, and the organization can only take

measures to modify (optimize or minimize) their
Opportunities, and Threats likelihood of occurrence or their impact. Techno-
logical developments in the field of security and
(SWOT) Analysis the rise of religious fundamentalism are examples
of such risk factors.
SWOT is an analytical tool for strategic manage-
ment planning devised in the 1960s by Albert S. SWOT Matrix
Humphrey, a business consultant at the Stanford The SWOT matrix can also be used as a match-
Research Institute. It analyzes the organization ing tool that helps risk managers to combine these
in terms of strengths, weaknesses, opportunities, risk factors and develop four types of strategies:
and threats, usually represented in a 2 × 2 matrix. SO, WO, ST, and WT.
The first two concepts look at the organization’s “SO” strategies utilize the organization’s inter-
internal environment and conditions, whereas the nal strengths to take advantage of external oppor-
latter two analyze its external (meso- and macro-) tunities. An example is for an organization that
environment. The assumption underpinning this has embedded a strong environmental culture in
tool is that once the strengths and weaknesses of its business activities and practice to take advan-
the organization have been elaborated and the tage of government incentives to “zero” its car-
opportunities and threats identified, appropriate bon footprint.
strategies can be developed for the organization “WO” strategies aim at reducing the organiza-
to achieve its strategic objectives. tion’s internal weaknesses by taking advantage of
The SWOT analysis is also a useful tool for risk external opportunities. For example, the organi-
management in the stage of risk identification and zation has long ago identified that the computer
analysis. It can be used as a framework for the systems supporting daily customer orders and
development of alternative risk strategies and can storing customer data for customer relationship
therefore be effectively used in pre-crisis planning management are becoming antiquated and soon
and preventive crisis management. will be obsolete (internal weakness). Cloud com-
When constructing the 2 × 2 SWOT matrix, puting is an external opportunity that may resolve
the first two quadrants are normally occupied by this issue.
Strengths and Weaknesses, and the lower two by “ST” strategies capitalize on the organiza-
Opportunities and Threats. From a risk manage- tion’s strengths to modify the likelihood of
ment perspective, strengths and weaknesses are occurrence or the impact of an external threat.
competencies (or upside internal risk factors) and For example, the organization can capitalize on
vulnerabilities (or downside internal risk factors) the expertise of its managers in the legal, internal
of the organization that are, however, within its audit, and risk management divisions to mini-
control and can be affected by appropriate man- mize the impact of a new regulatory framework
agement action. For example, the existence of on the organization.
rigorous safety standards and of a strong crisis “WT” strategies are usually defensive strategies
culture is within the control and influence of the aimed at reducing internal weaknesses and avoid-
organization and are strengths (upside factors) ing external threats. An example is the increased
on which it can capitalize in order to achieve its threat for cyber attacks (something that is beyond
strategic objectives. On the other hand, increased the organization’s control) combined with lax IT
debt from building new sites, although also within security standards in the organization.
the control and influence of the organization, is a SWOT offers two advantages in the risk
vulnerability (downside factor) that needs to be analysis process. First, it encourages a balanced
minimized or eliminated so that it will not hinder approach in the identification of not only upside
the organization in achieving its strategic objec- and downside risk factors but also internal and
tives. Similarly, opportunities and threats are external. Second, with the matching process, it can
upside and downside external risk factors, the provide a starting point for interesting and some-
sources of which are beyond the control of the times creative risk strategies by revealing possible
914 Strikes

relationships between the various risk factors. Background

However, its analytical usefulness is limited, as it Although strikes have been occurring for centu-
does not explicitly state the relative importance ries, the term was first used in the English-speaking
of the various risk factors that would allow their world in reference to a group of London sailors who
distinction in terms of their severity. It can, there- staged a series of demonstrations in 1768, crippling
fore, only be effectively used in conjunction with a fleet of merchant vessels by removing their sails
risk mapping, influence matrices, and other more as part of a dispute with the ships’ owners. Most
quantitative tools, such as dependency modeling, strikes today are undertaken by labor unions as
real option modeling, or event tree analysis. part of collective bargaining, the process through
which an employer and a group of its employees
Alexandros Paraskevas endeavor to reach agreements regulating working
Oxford Brookes University conditions. Collective bargaining agreements set
wage scales but may also set forth working hours,
See Also: Operational Readiness; Risk Analysis; Risk training opportunities and responsibilities, health
Assessment; Risk Treatment. benefits, safety procedures, overtime pay and pro-
cedures, grievance processes, and rights to partici-
Further Readings pate in company governance. When the parties are
Andersen, Torben J. and Peter W. Schrøder. Strategic unable to reach a collective bargaining agreement,
Risk Management Practice: How to Deal unions sometimes use strikes as a last resort, stop-
Effectively With Major Corporate Exposures. ping work when, or after, a labor contract expires.
Cambridge: Cambridge University Press, 2010. Collective bargaining agreements may contain
Chapman, Robert J. Simple Tools and Techniques for a “no strike” clause, which means that no work
Enterprise Risk Management. 2nd ed. Hoboken, stoppages may occur during the period for which
NJ: John Wiley & Sons, 2011. the labor contract is in effect.
U.S. Department of Agriculture (USDA). SWOT Strikes generally involve workers refusing to
Analysis: A Tool for Making Better Business attend their jobs and may include a form of pro-
Decisions. Washington, DC: USDA Risk test called “picketing,” in which striking work-
Management Agency, 2008. ers gather outside their place of work with signs
demonstrating dissatisfaction with their employer.
Picketing may occur to increase public awareness
of the strike, to place pressure upon the employer
to bend to the wishes of the union, or to dissuade
Strikes other workers from returning to work. In certain
circumstances, workers may decline to strike, but
Strikes are work stoppages caused when employ- instead “work-to-rule,” meaning they fulfill the
ees refuse to work in response to employee griev- minimum requirements of their jobs but no more.
ances regarding wages, working conditions, or In the United States, private-sector employers and
other issues. Strikes first became an important tool their workers’ unions are regulated by the National
of labor unions during the Industrial Revolution Labor Relations Act (NLRA). Pursuant to the
and have evolved to serve as a significant means NLRA, strikes are designated to involve either eco-
by which workers can achieve their goals. Strikes nomic issues or unfair labor practices. In the event
are often used by workers and labor unions to of a strike involving economic issues, an employer
seek change, be it economic, political, or social. may not fire striking workers but may permanently
Although often brought against privately or pub- replace them with other workers. If a strike is over
licly owned companies, strikes can also be used to unfair labor practices, however, the employer
pressure governments to achieve political change may not replace employees who strike and must
or policy modifications. Both labor and manage- fire any employees hired as strikebreakers when
ment devise crisis management policies and pro- the striking employees return to work. A general
cedures to deal with strikes, and such programs work stoppage involving multiple unions directed
are often hotly contested. against the government is called a general strike.
 Structural Secrecy 915

Strikes can be detrimental to both labor and man- Although unionized private-sector employees in
agement. Workers do not get paid during strikes the United States have the right to strike, employ-
and, under certain circumstances, can be replaced ers may choose to permanently replace them, an
by other workers. These work stoppages can also act sometimes referred to as “union busting.”
be harmful to employers because they disrupt busi- Public-sector employees working for the federal
ness and may drive customers to competitors. As a government have the right to join trade unions
result, both unions and management may attempt but are prohibited from striking. In 1981, faced
to plan a strategy to deal with strikes, both before with a strike by members of the Professional Air
they are declared and during the work stoppage. Traffic Controllers Organization (PATCO), Presi-
dent Ronald Reagan fired striking workers, caus-
Strike Strategies ing the dissolution of the union. Since the 1980s,
When a union declares a strike, one goal is to strikes have decreased in frequency, in part as a
stop the employer from being able to operate as result of union member fears regarding their abil-
it normally does. Because of this, strikebreak- ity to return to work following a strike.
ers—either union members who choose to cross
the picket line and return to work or temporary Stephen T. Schroth
employees brought in to combat the work stop- Knox College
page—are detrimental to the union’s goals and
encouraged by management. Strikes are some- See Also: Air Traffic Control; Blame, Politics of;
what predictable insofar as they follow the expi- Business Continuity Planning; Civil Protection;
ration of a union collective bargaining agreement. Disruption of Organizations; Income Inequality
Employers who produce goods that are sold to and Labor Unrest; Political and Organizational
the public may therefore increase production in Leadership; Protest.
the weeks or months leading up to a strike, in
order to stockpile goods that can be offered for Further Readings
sale during the strike. Companies also may pur- Bronfenbrenner, K., S. Friedman, R. W. Hurd, R. A.
chase strike insurance, which pays them when a Oswald, and R. L. Seeber, eds. Organizing to Win:
strike occurs, thereby minimizing losses occurring New Research on Union Strategies. Ithaca, NY:
as a result of the work stoppage. Cornell University Press, 1998.
While union members are engaged in a work Kenworthy, Lane. “Rising Inequality, Public Policy,
stoppage, their employer may hire replacement and America’s Poor.” Challenge, v.6 (2010).
workers to maintain business operations. This Milkman, R. and K. Voss. Rebuilding Labor:
action puts pressure on striking workers, who Organizing and Organizers in the New Union
not only lose the wages they might earn if not on Movement. Ithaca, NY: Cornell University Press,
strike but also may question whether they will 2004.
be permanently replaced. To counter this threat,
striking workers often attempt to inhibit the
use of strikebreakers through a variety of meth-
ods. These methods include creating picket lines
where strikebreakers enter the place of employ- Structural Secrecy
ment, discouraging strikebreakers from continu-
ing employment with management, raising the Structural secrecy refers to the concealment of
cost of hiring temporary workers, or using pub- information by the structural features of orga-
lic relations firms to increase public support for nizations: their size, complexity, geographic dis-
the strike. Companies faced with such tactics persion, social distance between members, and
often increase costs for security near the place of the specialization of knowledge, tasks, and lan-
employment to facilitate strikebreakers’ entrance guage. The concept was first articulated by soci-
and egress from the facility and by seeking court ologist Diane Vaughan in her 1998 study of the
injunctions to prohibit activity they deem inap- National Aeronautics and Space Administration’s
propriate and threatening. (NASA) fatal decision to launch the space shuttle
916 Structural Secrecy

Challenger, which broke up shortly after launch becomes segregated by specialization of knowl-
in 1986. A malfunction in one of the shuttle’s solid edge and tasks. To continue the coffee shop exam-
rocket boosters led to the disintegration of the ple, one cashier can more effectively share orga-
vehicle and loss of its crew shortly after launch. nizational information with a fellow cashier than
Subsequent investigation revealed that NASA had with a delivery person, a supply chain manager, or
been aware of the flaw in the solid rocket boost- a corporate accountant. Along with the division
ers that caused the tragedy but had misjudged the of labor comes social distance through hierarchy.
risk it posed. Vaughan concluded that a contrib- Messages traveling through a status hierarchy can
uting factor to this misjudgment, and hence the be distorted on the way up as well as on the way
tragedy itself, was structural secrecy. down. A subordinate may be tempted to conceal
As Vaughan described it: bad news from a superior, or minimize its extent,
for the sake of saving face. Alternately, informa-
Secrecy is built into the very structure of orga- tion traveling up a hierarchy might be ignored
nizations. As organizations grow large, actions or minimized. This process can also happen in
that occur in one part of the organization are, reverse. Additionally, information from the top of
for the most part, not observable in others. Di- the hierarchy can be distorted as it travels down,
vision of labor between subunits, hierarchy, passing through several layers of interpretation by
and geographic dispersion segregate knowledge managers at intermediary positions in the organi-
about tasks and goals. Distance—both physical zational structure. Finally, inconsistent or incom-
and social—interferes with the efforts of those plete execution of reporting requirements across
at the top to “know” the behavior of others an organization can conceal information as it
in the organization—and vice versa. Special- crosses boundaries within the organization—con-
ized knowledge further inhibits knowing. The cealing information while presenting the appear-
language associated with a different task, even ance of transparency. As Vaughan noted in 1999,
in the same organization, can conceal rather structural secrecy not only increases the possibility
than reveal. Changing technology also inter- of crisis through failures of knowledge, but also
feres with knowing, for assessing information simultaneously “minimizes the ability to detect
requires keeping pace with these changes—a and stave off activities that deviate from norma-
difficult prospect when it takes time away from tive standards and expectations.”
one’s primary job responsibilities. Also—and
ironically—rules created to communicate more Implications for Crisis Management
information can result in knowing less. Rules Though they seem chaotic, most crises are in fact
that guarantee wide distribution of informa- organized, one way or another—that is to say,
tion can increase the paperwork on individual they emerge and unfold along the lines of failure
desks so that a lot is not read. Executive sum- in organizations. Often, these precipitating fail-
maries, although effectively conveying major ures can be prevented, or their effects minimized,
points, condense and omit information, selec- through effective information sharing. Vaughan,
tively concealing and revealing. building on work by Barry Turner (1976), has
shown that organizational failures are rarely if
The major sources of structural secrecy can ever “bolts from the blue” but grow out of an
be categorized as stemming from either size or incubation period, during which intelligible sig-
complexity. First, consider size. In a large orga- nals of impending failure are broadcast through
nization, dispersed over a wide geographic area, the organization. If these signals are weak, mixed,
information flow is limited between members. For or dismissed, disaster is more likely to follow. For
instance, a cashier at a coffee shop in Seattle can example, Vaughan (1996) described the role of
communicate more easily with a coworker stand- signal processing and structural secrecy as a con-
ing next to her than with her counterpart at a tributing factor to NASA’s decision to launch the
shop in New York. This limitation is compounded Challenger in a description of a teleconference
as complexity is added to the organization. As between engineers and managers on a teleconfer-
the division of labor is increased, information ence on the eve of the launch:
 Suicide Bombings 917

Engineers were aware that conditions for the Short, J. F. and L. Clarke, eds. Organizations,
impending launch created an unusually ele- Uncertainties, and Risk. Boulder, CO: Westview
vated risk of catastrophic failure because of Press, 1992.
long-recurring problems with the seals that Turner, B. Man-Made Disasters. Oxford:
kept hot gases from leaking uncontrollably Butterworth-Heinemann, 1976.
from the solid rocket booster, but these con- Vaughan, D. The Challenger Launch Decision.
cerns were obscured by structural secrecy: The Chicago: University of Chicago Press, 1996.
engineering discussion [on whether or not to Vaughan, D. “The Dark Side of Organizations:
launch the shuttle] was undermined by struc- Mistake, Misconduct, and Disaster.” Annual
tural secrecy at the outset because participants Review of Sociology, v.25 (1999).
were in three locations. As the teleconfer- Vaughan, D. “Rational Choice, Situated Action, and
ence got underway, the original technical cul- the Social Control of Organizations.” Law &
ture, bureaucratic accountability, and politi- Society Review, v.32/1 (1998).
cal accountability exacerbated this structural
secrecy by affecting both the production and
exchange of information. Instead of an irrefut-
able signal that matched the engineers’ sense …
the result was weak and missing signals inca- Suicide Bombings
pable of altering the scientific paradigm sup-
porting the belief in acceptable risk. Suicide bombings are not new; indeed, there is
evidence that they have occurred in one form
Structural secrecy can also obscure both legiti- or another for the last 300 years. For instance,
mate and illicit activity; the unauthorized activi- during World War II, Japanese kamikaze pilots
ties of a rogue employee (or group of employees) deliberately flew their planes, loaded with explo-
may be unintentionally hidden until they result in sives, into Allied military ships. However, since
catastrophic failure for the organization. Crisis the first occasion in 1981, when explosives were
managers should be keenly aware that the struc- carried and detonated while on the person, they
ture and processes of an organization can be as have become increasingly popular over the last 20
effective at passively concealing critical informa- years or so as various terrorist groups around the
tion as deliberate activity by individuals. Spe- world, notably Hamas, Islamic Jihad, the Tamil
cial attention should be paid to the content and Tigers, and the Kurdistan Workers’ Party (PKK),
enforcement of reporting practices and mitigat- have used them as a method of attack. Such
ing against secrecy generated by the geographic, groups have used a range of methods to carry the
technological, and cultural characteristics of the bomb other than on the person, such as various
organization. kinds of motorized road transport, including gas-
oline tankers, bicycles, small boats, and airplanes.
Ryan Hagen The Institute for Counter-Terrorism (ICT)
Columbia University has defined suicide bombing as an “operational
method in which the very act of the attack is
See Also: Bureaucracy; Crisis Communications; dependent upon the death of the perpetrator.”
Groupthink; Information Asymmetry; Information It is used because it is a relatively simple and
Vacuums. low-cost operation, requiring no escape route;
it increases the likelihood of mass casualties and
Further Readings extensive damage, since the bomber, or the person
Beamish, T. D. Silent Spill: The Organization of detonating the device remotely if not the suicide
Industrial Crisis. Cambridge, MA: MIT Press, bomber, can choose the exact time and location of
2002). the attack; and it has an immense impact on the
Hutter, B. and M. Power, eds. Organizational public and the media.
Encounters with Risk. New York: Cambridge In order to gain the maximum public-
University Press, 2005. ity for their cause, unless they are targeting a
918 Suicide Bombings

Five hijacking terrorists used American Airlines flight 77, a Boeing 757-223 traveling at 530 miles per hour and carrying 10,000
gallons of fuel, essentially as a suicide bomb to hit the Pentagon in Washington, D.C., on September 11, 2001. An aerial photograph
taken on September 14, 2001, shows some of the destruction of the west face of the building. The attack followed similar attacks
using aircraft on the Twin Towers of the World Trade Center in New York City.

high-profile individual, as the Liberation of Tamil International Airport, Moscow, by a suicide

Tigers Eelam (LTTE) did twice in assassinating bomber; seven months later, it was the United
the Indian prime minister, Rajiv Gandhi, and the Nations Building in Nigeria.
president of Sri Lanka, Ranasinghe Premadasa, By far the most suicide bombings have taken
suicide bombers tend to target facilities that will place in areas of insecurity, such as Israel, Sri
afford them the maximum number of casual- Lanka, Iraq, Pakistan, and Afghanistan, but there
ties. Thus, in 1983, a single suicide bomber in have been some such attacks in liberal democra-
a truck packed with explosives was able to kill cies, and many more have been foiled by the vigi-
242 soldiers in a single attack on the U.S. Marine lance of Western intelligence and law enforcement
barracks in Beirut; in a separate attack in the agencies. For instance, in 1997, a double-suicide
same city, another suicide bomber was able to bombing planned for the New York City subway
kill 58 French paratroopers in a single explosion. system was prevented literally hours before it was
If the facility is also an iconic location, that is due to take place. Two years later, a person who
an added bonus. In 1998, the U.S. embassies in was planning to detonate a bomb in a terminal of
the Kenyan capital, Nairobi, and the Tanzanian the Los Angeles International Airport was arrested
capital, Dar es Salaam, were subjected to sepa- in possession of bomb-making equipment. And
rate but simultaneous attacks by suicide bombers then, of course, on September 11, 2001, 14 ter-
driving trucks laden with explosives. In excess rorists used three planes as suicide bombs by fly-
of 220 people were killed, most of them Kenyan ing them into the Twin Towers in New York and
and Tanzanian nationals, although the targets the Pentagon; a fourth plane was prevented by
were plainly American. In January 2011, 37 peo- the crew and passengers from reaching its poten-
ple were killed and 173 injured at Domodedovo tial target. In December 2001, Richard Reid was
 Supply Chain 919

overpowered by cabin crew and passengers as he See Also: Air Travel; Perimeter Control; Terrorism;
tried to explode material contained in his shoe Threat Detection; Transportation Security.
while on a flight from Paris to the United States.
In July 2005, four suicide bombers mounted coor- Further Readings
dinated attacks on the London subway system. Dzikansky, Mordecai, Gil Kleiman, and Robert Slater.
The reasons why people, both male and female, Terrorist Suicide Bombings: Attack Interdiction,
become suicide bombers are many and varied; Mitigation, and Response. London: Tay;or &
consequently, it has been extremely difficult to Francis, 2012.
build a profile of suicide bombers. Some have Hassan, Riaz. Life as a Weapon: The Global Rise
been well educated, having gained a university of Suicide Bombings. London: Taylor & Francis,
education; others were poor. Some exhibit clas- 2010.
sic or conventional suicide traits; others are moti- Kik, Paul. “The Truth About Suicide Bombing.”
vated by their beliefs. Boston Globe (December 5, 2010).
Security experts are still grappling with the
problem of what can be done to prevent a sui-
cide bomber from reaching a target. Airports have
fairly sophisticated security systems, metal detec-
tors, and explosive detection machines, including Supply Chain
X-ray machines and portable explosive trace detec-
tion machines, to check both people and luggage, The Association for Operations Management
which were initially introduced in response to the (APICS) defines the term supply chain as the
increasing number of hijacks. Other forms of trans- “processes from the initial raw materials to the
port, such as ferries, trains, and buses do not have ultimate consumption of the finished product
such security. In those countries that have suffered linking across supplier-user companies” as well as
regularly from acts of terrorism, shopping centers “functions within and outside the company that
and hotels are likely to have metal detectors but enable the value chain to make products and pro-
little else. High-profile targets in areas where the vide services to the customer.” More specifically,
threat is greatest are also likely to have one or more supply chain refers to suppliers, manufacturing
perimeter controls. Increasing the number of road- facilities, distribution centers, warehouses, cus-
blocks to stop both pedestrians and vehicles, par- tomers, raw materials, work-in-progress inven-
ticularly in the vicinity of iconic targets, is another tory, finished goods, and all related resources
measure that is often introduced. Perhaps the most involved in meeting customer and organizational
successful way of preventing suicide bombers from requirements. The term supply chain invokes
achieving their objectives is through the careful images of products or materials moving from sup-
collation and dissemination of intelligence. pliers to manufacturers to distributors to retailers
The potential of being confronted by suicide to customers along a “chain.” Related informa-
bombers places law enforcement officers in a tion and resources flow in both directions of the
dilemma. In most liberal democracies, a warning supply chain.
should be given before any police officer consid- The term supply chain may imply that only one
ers using deadly force. However, the mere shout- source is involved at each stage; however, a manu-
ing of a warning will make the suspect bomber(s) facturer and/or organization may receive material
aware that they have been identified as such, and from several suppliers and, in turn, supply several
the likelihood is that they will detonate the bomb distributors. Hence, many supply chains are net-
immediately. In addition, there are devices used by works and more accurately identified as “supply
law enforcement officers, such as mobile phones networks” to describe the structure of most sup-
or Tasers, that could detonate it. ply chains.
Supply chains vary based on sector- and orga-
Tony Moore nization-specific demands. The supply chain
Institute of Civil Protection facilitates and provides resources and materials,
and Emergency Management beginning with the acquisition of raw materials
920 Supply Chain

and extending through the delivery of products or Major supply chain risks include, in no spe-
services to the end user. cific order, physical incidents impacting supplier
Supply chain components may include sup- or logistics to include supplier and organization-
pliers, vendors, facilities, manufacturing, logis- ally owned facilities; financial failure of supplier;
tics, transportation, distribution, wholesalers, data security/informational technology incidents;
and other functions associated with end-user supplier quality failure, product recall, or con-
fulfillment. tamination; supplier litigation issues; regulatory
Other terms used to describe supply chain concerns; breach of intellectual property rights;
include resource chain and value chain, although counterfeit products; pandemics; war; terrorism
supply chain is among the most common terms and other geopolitical concerns; and failure of
used. These and other associated terms apply to service provision by internal or outsourcing part-
business, nonprofit, and public sectors. ner organizations for any other reason.
Logistics is an important aspect of the supply Supply chain disruption ramifications can
chain. Logistics is the process of obtaining, pro- affect short-term and long-term sales, revenue,
ducing, and distributing materials and products and profit. A company’s reputation and goodwill
associated with the organization’s products and/ can be positively enhanced when supply chain
or services. Logistics includes departments and disruptions are minimized or mitigated and the
functions, including planning and coordination, end use customers are unaffected. Further, there
associated with physical movement and opera- may be opportunities to gain market share when
tions to include supply acquisition and material less prepared competitors are adversely affected
transportation. Logistics is responsible for ensur- by supply chain disruptions and dissatisfied cus-
ing the most effective and efficient acquisition, tomers seek alternative providers.
mobilization, and use of resources to minimize Supply chain risk management (SCRM)
cost. Additionally, logistics can include movement involves understanding the organization’s depen-
of personnel. dency, complexity, and mitigation of possible
supply chain disruption. SCRM must be detail
Supply Chain Risk Management oriented to ensure that production and service
Beyond the massive loss of life, injury, and prop- demands are fulfilled while considering and
erty damage, every major automobile manufac- managing global concerns. The term global con-
turer worldwide experienced supply chain dis- cerns encompasses both worldwide (geographi-
ruptions as one of the results of the March 2011 cal locations and ramifications) and comprehen-
Japanese earthquake, tsunami, and nuclear crisis. sive (internal and external enterprise-wide risk
Toyota Motor Corporation reported losses of management factors) such as economic, politi-
more than $1 billion in profits as a result of dis- cal, geographical, and crisis events. Crisis events
ruptions from these events. include intentional (e.g., terrorism, espionage,
The March 2011 events constitute a “cascading theft), natural (e.g., floods, earthquakes, hurri-
event.” A “cascading event” is when one event canes, tornadoes), and technical (e.g., utility and
generates one or more other events. The Japanese technical service disruptions, hazardous materi-
earthquake generated a tsunami, and these two als incidents) risks.
events caused the Fukushima Daiichi Nuclear The SCRM process includes utilizing supply
Power Station nuclear crisis. chain best practices addressing identification of
Hurricane Katrina in 2005, the eruption of the critical suppliers, identification of supply chain
Eyjafjallajökull volcano in Iceland in 2010, fail- risk; inventory risks, mitigation of supply chain
ing infrastructures such as the I-35 bridge col- vulnerabilities; and monitoring and auditing of
lapse in 2007, terrorist attacks such as 9/11, and suppliers.
more recent plots involving air cargo shipments The mitigation of supply chain vulnerabilities
filled with explosives shipped to the United States includes supply chain contingency plans for criti-
via Europe and the Middle East remind us that cal suppliers. Additionally, it includes testing of
even localized disruptions can escalate rapidly contingency plans involving internal and external
and impact U.S. global economic activity. stakeholders. It is important that the company
 Supply Chain 921

and its critical suppliers have appropriate contin- complex; balancing efficiencies with vulnerabili-
gency plans. ties requires effective risk management and can
Inventory vulnerabilities must consider just- have both organization-specific and worldwide
in-time inventory ramifications. Just-in-time ramifications.
inventory management seeks to maximize effi-
ciency by having minimal inventory available Marc Glasser
to meet the near-term demands, resulting in University of Nevada, Las Vegas
reduced costs and increased profits. However,
just-in-time inventory management increases See Also: American Society for Industrial Security
vulnerability and possible negative ramifications (ASIS) SPC.1-2009; BS 25999; Business Continuity
to supply chain disruption, as there is little no Management; Business Continuity Planning; Business
or excess inventory available. Just-in-time inven- Impact Analysis; Business Resumption Planning;
tory management must consider supply chain Cascading Crisis; Commodity Shortages; Contingency
vulnerabilities and failures and balance just-in- Planning; Contingent Coordination; Coping Capacity
time inventory efficiencies with inventory vul- and Response Capability; Impact Analysis; Logistics;
nerabilities. Just-in-time inventory mitigation Manufacturing Risks; National Fire Protection
measures include increasing available critical Association (NFPA) 1600, 2007, and 2010; Pre-
supplies beyond just-in-time inventory levels Crisis Training and Planning; Pre-Impact Planning
and/or contingency supplier options. Process; Preparedness; Prevention; Recovery Time
Supply chain stakeholder cooperation can be Objective; Resiliency; Resource Collapse; Resource
facilitated through technology and communica- Management; Response; Risk Analysis; Scenario
tions. Computer hardware, software, and tele- Planning; Security; Simulations; Strategic Plans;
communications can be used to efficiently man- Trigger Events; Vulnerability.
age and monitor the supply chain. Integration of
internal and external data is vital to effective sup- Further Readings
ply chain management. However, access and use Association for Operations Management. http://www
of supply chain internal and external data must .apics.org (Accessed May 2012).
consider protection of proprietary data and orga- Chopra, S. and P. Meindl. Supply Chain Management.
nizational competitive advantages. 2nd ed. Upper Saddle River, NJ: Pearson Prentice-
During his January 2012 State of the Union Hall, 2004.
Address, President Barack Obama announced a CNN Money. “Toyota Predicts $1.6 Billion Profit
U.S. National Strategy for global supply chain Drop.” CNN (2011). http://money.cnn.com/2011
security and its importance to international trade /06/10/news/companies/toyota_forecast_2012/in
and economic growth for the United States and dex.htm (Accessed May 2012).
the global economy. He highlighted how nations Fredendall, L. and E. Hill. Basics of Supply Chain
worldwide rely on the efficient and secure global Management. Boca Raton, FL: St. Lucie Press,
movement of goods including food, medicine, 2001.
and energy as it relates to critical infrastructure, Homeland Security News Wire. “Supply-Chain
economic growth, and supporting our way of life. Security: Obama Unveils Global Supply Chain
Additionally, Secretary of Homeland Security Protection Strategy.” http://www.homelandsecur
Janet Napolitano reiterated the U.S. National itynewswire.com/dr20120203-obama-unveils-glo
Strategy for global supply chain security at the bal-supply-chain-protection-strategy (Accessed
January 2012 Davos World Economic Forum in May 2012).
Switzerland. U.S. Department of Homeland Security. “Secretary
In conclusion, in the most basic terms, the Napolitano Unveils National Strategy for Global
supply chain facilitates and provides resources Supply Chain Security.” http://www.dhs.gov/ynews
and materials, beginning with the acquisition of /releases/20120125-national-strategy-global-sup
raw materials and extending through the deliv- ply-chain-security.shtm (Accessed May 2012).
ery of products or services to the end user. How- White House. “Fact Sheet: National Strategy for
ever, in practice, the supply chain is much more Global Supply Chain Security.” Washington, DC:
922 Surge Capacity, Hospitals

Office of the Press Secretary, 2012. http://www perspective by location (internal or external) and
.whitehouse.gov/the-press-office/2012/01/25/fact speed of onset (rapid or slow). An internal disas-
-sheet-national-strategy-global-supply-chain- ter is one that happens within the hospital and
security (Accessed May 2012). affects its infrastructure, such as flooding or an
electrical failure. An external disaster is one that
occurs outside the hospital but places unusual
demands on it; an example is the terrorist attack
on the World Trade Center on September 11,
Surge Capacity, Hospitals 2001, which placed unusual demands on hospi-
tals in the area. Bombings and terrorist attacks
Surge capacity is the ability of a hospital to are examples of rapid onset events, while infec-
respond to a sudden increased demand for care tious epidemics generally have a slow onset. One
services, as might occur after a natural disaster, important difference between fast and slow onset
pandemic, or terrorist attack. In the United States, events is that in the former, the hospital must have
hospital surge capacity received a great deal of a plan in place to respond to the event and suffi-
attention following the terrorist attacks in New cient local capacity that can be rapidly mobilized,
York City and Washington, D.C., on September while in a slow onset event, the hospital has time
11, 2001 (9/11), and substantial federal resources to develop a response, adjust resource use, and
have been devoted to preparing hospitals, and the acquire outside assistance.
health care system in general, to respond to surge
events. However, some critics charge that inter- Terrorist Attacks
est in maintaining appropriate surge capacity has The demands placed on the medical system after
declined in the United States as the events of 9/11 terrorist attacks differ from anticipated natural
recede in memory and point to the examples of disasters or disease epidemics: The injuries pro-
other countries that are more prepared to respond duced by terrorist attacks are often technically
to sudden increases in patient load. complex, and hospitals near the scene can expect
a rapid influx (a surge of patients immediately
Characteristics of Events after the attack). For instance, after the 2004 train
In the literature of disaster response, as summa- bombings in Madrid, Spain, in which 10 bombs
rized by J. David Roccaforte and James G. Cush- were detonated during the morning rush hour,
man, mass casualty events (MCEs) are distin- injuring over 2,000 people, the hospital nearest
guished from multiple casualty incidents (MCIs) the bombing site received 272 patients in two and
as follows: Mass casualty events are major medi- a half hours. In addition, most of the patients
cal disasters that result in casualties that cannot injured in a terrorist attack will require care from
be handled by community resources, while MCIs emergency departments already strained by their
generate large numbers of casualties in a short usual daily patient load.
period of time but can be handled with existing The U.S. Centers for Disease Control and Pre-
resources. The distinction is important because vention (CDC) has created guidelines to help
the ability of a system to respond to an emer- health care providers at the local and community
gency depends less on the absolute number of vic- levels cope with the medical needs of victims of
tims than on the ability of the receiving facility to a terrorist attack. These guidelines outline seven
respond to victims. For instance, in the terrorist areas of system-wide concern, given the current
attack of September 11, 2001, although there were state of preparedness to deal with the medical
many victims, hospitals in lower Manhattan were consequences of a terrorist attack. These areas
not overwhelmed by critically injured patients. of concern are organization and leadership (such
The reason is that most victims died at the scene as the lack of specific roles and responsibilities
of the attack, with relatively few injured survivors during an emergency), alterations in standards
and even fewer critically injured survivors. of care (no universal agreement exists for alter-
Roccaforte and Cushman also describe a system ing standards of care during an emergency in
for classifying disaster events from the hospital order to achieve the greatest good for the entire
 Surge Capacity, Hospitals 923

community), education (disaster response is not hospital surge capacity. The seven cities included
a standard subject in nursing and medical school in the survey were all considered to be at risk
curricula), communications (despite the com- for a terrorist attack, yet their hospitals were so
mon agreement that good communications are overcrowded with their usual patient load that
essential during an emergency, communications they were judged to be unable to respond to the
failures are common during and after disas- demands of a large-scale terrorist attack.
ters), transportation (including transportation Peleg and Kellerman cite the example of Israel as
of personnel and equipment as well as patients), a model for the United States of how to prepare for
infrastructure and capacity (including personnel, sudden surges in demand for care. Both countries
equipment, and supplies, information technology, provide technically sophisticated hospital care,
costs, and interoperability), and potential bottle- they argue, but hospitals in Israel, unlike those in
necks in clinical care (including radiology, critical the United States, are constantly aware of the pos-
care, pharmacy, triage, and legal issues). The CDC sibility that they may need to respond to a sud-
guidelines also include discipline-specific recom- den surge in casualties. Peleg and Kellerman cite
mendations for emergency medical services, the 14 principles developed by the Israeli Ministry of
emergency department, the surgical and intensive Health to enhance hospital system surge capacity:
care unit, radiology, the blood bank, hospitalists,
and administration. • National coordination of resources: In
Israel, planning and coordination are
Hospital Preparation for Surge Events handled by the National Supreme Health
Kobi Peleg and Arthur L. Kellerman note that Authority, which is chaired by the director
the U.S. federal government spent over $8 mil- general of the Ministry of Health and
lion on disaster preparedness between 2002 and includes representatives from the military
2008, but they criticize the resulting preparations and the country’s largest sick fund.
because they were focused on responding to bio- • Establishment of goals: Each hospital is
terrorism attacks and pandemic influenza, which required to be prepared to handle a surge
would produce a relatively slow surge of patients capacity of 20 percent of its usual bed
(over days or even weeks); such preparations capacity.
leave hospitals unable to cope with mass casualty • Standard operating procedures: The
events such as terrorist bombings, which produce Ministry of Health provides a national
a large number of victims with complex injuries in doctrine including operating procedures for
a short period of time. Peleg and Kellerman also different types of surge events.
charge that hospital surge capacity in the United • Monitoring surge capacity: Each hospital is
States has diminished (as of 2009), as the terrorist required to file a daily report including bed
attacks of 2001 become more distant memories. capacity, occupancy rates, and patients on
A 2006 report by the Institute of Medicine ventilator support.
identified numerous problems with emergency • Designing expandable facilities: Hospitals
care in the United States, including crowding in are designed so capacity can be expanded
Emergency Departments, frequent ambulance quickly, for instance by installing power
diversion (to other hospitals), boarding of Emer- and oxygen lines in interior corridors, so
gency Department patients in hallways, and they could be quickly adapted for patient
declining numbers of subspecialists willing to care in case of a surge of patients.
handle emergency and trauma cases. These con- • Avoiding Emergency Department crowding:
ditions inhibit a hospital’s ability to respond to a Patients are promptly moved out of the
surge event because the hospital is already over- Emergency Department and into the
loaded with its usual load of cases. A 2008 sur- hospital, or into a temporary space, so that
vey of Level 1 trauma centers in seven U.S. cities, the Emergency Department is available to
conducted by the House Committee on Oversight provide emergency care.
and Government Reform, also indicated that the • Establishing a system to clear Emergency
United States could have serious deficiencies in Departments if necessary: Emergency
924 Surge Capacity, Hospitals

medical services are coordinated at the ability to maintain effective surge capacity. One
national and regional level, and have is the fragmentation of the U.S. system, with care
radio connections to every hospital in the provided and paid for by many different sources;
country. If a mass casualty event occurs, this impedes efforts to establish any standard
the nearest hospitals are notified, and they approach for responding to a mass casualty
can clear the Emergency Departments to event. Another is lack of national authority in
receive the casualties, typically within 15 the United States to require hospitals to maintain
minutes, by admitting patients to inpatient surge capacity; instead, this is largely a voluntary
care or, if they are stable, discharging them. action. A third is the competitive nature of differ-
• Reinforcing the medical workforce: In the ent entities in the U.S. system, which makes them
case of a surge event, physicians and other less inclined to share information. The history
personnel who are not emergency specialists and current situation of Israel also make it a spe-
are trained to report to a staging area, to cial case, but that nation’s example does demon-
be deployed by the hospital’s designated strate that it is possible for a country to maintain
manager. a high standard of ordinary hospital care while
• Establishing an adjoining site to treat also maintaining surge capacity to respond to
the less severely injured: This is typically sudden increases in the demand for care.
a temporary clinic near the Emergency
Department that can handle patients with Sarah Boslaugh
minor injuries and those suffering only Kennesaw State University
psychological trauma.
• Having a system to direct the injured in a See Also: Earthquakes; Emergency Medicine; Fires;
mass casualty event to several hospitals: Floods; Health and Medical Response Scenarios;
To prevent overwhelming any hospital, Hurricanes, Typhoons, and Cyclones; Infectious
severely injured patients are distributed Disease; Suicide Bombing; Terrorism; Trauma.
among several nearby hospitals, as directed
by an emergency medical services (EMS) Further Readings
supervisor on the scene. Adams, Lavonne M. “Exploring the Concept of
• Having an EMS liaison at each hospital: Surge Capacity.” Online Journal of Issues in
During a mass casualty event, EMS sends Nursing: A Scholarly Journal of the American
a liaison to each receiving hospital to assist Nurses Association, 14/2 (2009). http://www
in communications between the hospital .nursingworld.org/MainMenuCategories/
and the EMS control center and to keep the ANAMarketplace/ANAPeriodicals/OJIN/
control center informed of the hospital’s TableofContents/Vol142009/No2May09/
ability to accept patients. Articles-Previous-Topics/Surge-Capacity.html
• Creating a triage hospital: If the hospital (Accessed July 18, 2012).
nearest an event is overwhelmed with Boyer, Edward W., James Fitch, and Michael
cases, it becomes a triage hospital focused Shannon. “Pediatric Hospital Surge Capacity
on stabilizing patients who will be treated in Public Health Emergencies.” No. 09-0014.
elsewhere. Rockville, MD: Agency for Healthcare Research
• Frequently conducting mass casualty and Quality, 2009. http://archive.ahrq.gov/prep
drills: Every hospital conducts an annual /pedhospital/ (Accessed July 2012).
emergency response exercise, as ordered by Joint Commission on Accreditation of Healthcare
the Ministry of Health, and the hospital’s Organizations. “Surge Hospitals: Providing Safe
response is evaluated by personnel from a Care in Emergencies.” Oakbrook Terrace, IL: The
different hospital. Joint Commission, 2006. http://www.jointcommiss
• Continually maintain surge capacity. ion.org/assets/1/18/surge_hospital.pdf (Accessed
July 2012).
Peleg and Kellerman note that several aspects of National Center for Injury Prevention and Control.
the U.S. health care system impede the country’s Updated in a Moment’s Notice: Surge Capacity
 Sustainability 925

for Terrorist Bombings. Atlanta, GA: Centers for with a cataclysmic crisis of not being able to meet
Disease Control and Prevention, 2010. http:// needs in the nearest future. Since the industrial
emergency.cdc.gov/masscasualties/pdf/CDC revolution of the 20th century, the increases in
_Surge-508.pdf (Accessed July 2012). population and standard of living have led to
Peleg, Kobi and Arthur L. Kellermann. “Enhancing increased depletion of natural resources. The use
Hospital Surge Capacity for Mass Casualty of fossil fuel, which has driven the industrial revo-
Events.” Journal of the American Medical lution, has also led to human-induced greenhouse
Association, v.302/5 (2009). effects with resultant impacts such as extreme
Roccaforte, J. David and James G. Cushman. weather conditions and sea level rise, resulting in
“Disaster Preparedness, Triage, and Surge Capacity flooding, drought, water scarcity, and food secu-
for Hospital Definitive Care Areas: Optimizing rity crisis.
Outcomes When Demands Exceed Resources.” There are also fears of energy crisis in the
Anesthesiology Clinics, v.25/1 (2007). future as we gradually begin to run out of fossil
fuel. Also, depletion of existing natural resources
like oil and gas, fresh water, and a host of oth-
ers can greatly increase the likelihood of con-
flicts and resource wars, especially when these
Sustainability resources exist across political boundaries. To
avoid these impending future crises and ensure
Sustainability is derived from the verb to sustain, environmental security, there is need for a global
which means to support, to provide for, to main- consensus and commitment to sustainability.
tain, or to keep going. It is used synonymously Current unsustainable patterns of production
with sustainable development. Sustainable devel- and consumption by humanity, especially in the
opment has been defined by the World Commis- developed nations, must be reversed before it
sion on Environment and Development as meet- becomes irreversible.
ing the needs of the present generation without
compromising the ability of future generations to Correcting Unsustainable Patterns
meet their own needs. Reversing the unsustainable patterns of produc-
Some schools of thought hold the view that tion and consumption of Earth’s scare resources
since development causes the depletion and deg- will be a social challenge that entails corporate
radation of the natural environment, the use of governance, human rights, culture, ethical con-
the term sustainable development is contradic- sumerism, and individual lifestyles, among other
tory, as the depletion and degradation of the nat- factors. Economically, humankind is expected to
ural environment is not sustainable. This school efficiently manage the earth’s increasingly scarce
of thought prefers the use of the word sustain- resources while ensuring positive social and eco-
ability instead of sustainable development. Sus- logical outcomes. Economic sustainability takes
tainability is focused on the three bottom lines: into account the social and ecological conse-
environment, society, and the economy. On the quences of market behavior.
environmental front, it implies living within the Individuals, businesses, governments, and non-
carrying capacity of the ecosystem while improv- governmental organizations all have to play a part
ing the quality of human life. It is about surviv- in ensuring a sustainable future. Businesses must
ing in the longer term, environmentally, economi- consider their environmental aspects and impacts
cally, and socially. and integrate the social and economic dimensions
The earth has a finite capacity to continue to of their processes and performance with ecological
provide humanity with the resources it needs, and concerns. For corporate sustainability (capacity to
also to absorb the resulting wastes. Currently, remain in business over a long period of time), busi-
humanity is living unsustainably, as we are using nesses must focus on the triple bottom line. They
up the earth’s resources at a rate higher than the must integrate their financial success and social
rate at which they are being replenished. Unless legitimacy with effective and efficient use of eco-
this trend is reversed, humanity could be faced logical resources. Currently, there is an increasing
926 Sustainability

expectation among stakeholders that businesses to go in the pursuit of responsible growth and
address sustainability issues in their activities to development.
be able to maintain and improve their corporate
reputation. It has become a key characteristic that Augustine Osamor Ifelebuegu
organizations use in crafting their corporate image Coventry University
and reputation, particularly with increasing envi-
ronmental awareness among stakeholders and the See Also: Climate Change Adaptation; Deforestation;
general public. Sustainability is now considered Drought; Food Security; Overpopulation;
by many organizations as a business opportu- Reputational Risk.
nity and no longer a luxury. The preconception
of sustainability being expensive is now outdated. Further Readings
When fully integrated into the corporate business Blewitt, John. Understanding Sustainable
strategy, it minimizes potential losses and exploits Development. London: Earthscan, 2008.
new and emerging business opportunities from the Crandall, William and Edwin Mensah. “Crisis
global sustainability agenda. Management and Sustainable Development: A
Taking steps to reduce environmental, eco- Framework and Proposed Research Agenda.”
nomic, and social impacts of business processes International Journal of Sustainable Strategic
delivers significant cost savings, which maxi- Management, v.1/1 (2008).
mizes profit. The consuming public is increas- Grin, John, Jan Rotmans, and Johan Schot. Transitions
ingly concerned with how organizations address to Sustainable Development: New Directions in the
sustainability issues. Its choices of products and Study of Long Term Transformative Change. New
services are affected by perceptions of the sustain- York: Routledge, 2011.
able image of the organizations. Those who fail Redcliff, Michael. “Sustainable Development (1987–
to adopt and demonstrate sustainability will ulti- 2005): An Oxymoron Comes of Age.” Sustainable
mately price themselves out of the market (market Development, v.13/4 (2005).
sustainability). In a sustainable economy, only the Rogers, Peter, Kazi Jalal, and John Boyd.
environmentally responsible and those who pro- “Introduction to Sustainable Development.”
vide positive socioeconomic benefits to the soci- In Transitions to Sustainable Development:
ety will ultimately survive. Hence, for businesses, New Directions in the Study of Long Term
sustainability and the development of a strong Transformative Change, John Grin, Jan Rotmans,
sustainability framework are becoming the way and Johan Schot, eds. New York: Routledge, 2007.
 T
Terrorism from the acts of the Provisional Irish Republi-
can Army. Based primarily in Northern Ireland,
Terrorism is the specific and planned use of the IRA was known for utilizing terrorist acts in
unlawful violence or threat of unlawful violence order to violently protest the treatment of Catho-
to create fear among a specific audience, usually lics in Northern Island, as well as emphasizing the
governments or societies, with the goal of causing importance of Ireland being without British influ-
a change in a system. Terrorism can take many ence and instead controlled by the Irish. The IRA
forms, including domestic, foreign, bioterrorism, is connected with numerous acts of domestic ter-
cyberterrorism, ecoterrorism, and narcoterror- rorism, including Bloody Friday, the 1972 bomb-
ism, to name just a few examples. ing in Belfast that killed nine people and injured
130, and a 1998 car bombing in Northern Ireland
Domestic Terrorism that left 29 people dead.
Research by Laura Dugan, Gary LaFree, and The Subway Sarin Incident refers to an act of
Heather Fogg in 2006, as well as Albert J. Jong- domestic terrorism in Japan on March 20, 1995,
man in 1992, has shown that the majority of ter- which has been considered the most serious attack
rorist acts that take place around the globe can be to occur in Japan since the end of World War II.
classified as domestic terrorism. Domestic terror- Members of the group Aum Shinrikyo released the
ism is characterized as terrorist acts that take place chemical sarin on several lines of the Tokyo Metro
by individuals acting within their own country in subway system. The five coordinated attacks
order to attack or harm their own people. These resulted in 13 deaths, 50 injuries, and nearly 1,000
acts can be against organizations, police forces, individuals reporting temporary problems with
the military, institutions, or other targeted aspects their vision resulting from contact with sarin.
of the area in which the terrorists operate.
Domestic terrorism is not a phenomenon only International Terrorism
in the United States. The Irish Republican Army Foreign terrorism has drawn increasing amounts
(IRA) is an organization that dates as far back as of public and academic attention in recent years.
1921 and the Irish War of Independence. How- Foreign terrorism refers to terrorist acts stemming
ever, from 1969 forward, the Irish Republican from individuals or organizations from another
Army splintered into several different groups. The country, often in order to make a statement about
IRA’s connection with domestic terrorism stems or to change policy in another area of the world.

927
928 Terrorism

Public Response to Terrorism

Case Studies in Domestic Terrorism Terrorist attacks generally attract a great deal of
There are several well-known domestic terrorism news coverage because they are crisis events. Cri-
attacks that have taken place in the United ses are marked by high levels of potential danger,
States. The following cases are examples of some such as loss of life; a fast response by the authori-
of the most severe in their respective categories. ties to counteract the potential threat; and being
unanticipated events that throw off the every-
Alfred P. Murrah Federal Building day patterns of life—and terrorist events fit that
The 1995 bombing of the Alfred P. Murrah characterization. Because of their unanticipated
Federal Building in Oklahoma City, Oklahoma, nature, terrorist events cause a great deal of
was widely considered to be the most famous fear and uncertainty. This is further exacerbated
and destructive act of either foreign or domestic because there is also a high level of danger and
terrorism within the United States until the risk that accompany such events. People’s lives are
September 11 attacks. On April 19, 1995, a at stake. The outcomes of the events are incred-
bomb detonated by Timothy McVeigh resulted ibly important, which increases people’s incentive
in the loss of 168 lives, with 680 additional to find information that can help predict future
reported injuries. The Oklahoma City Bombing events. However, research suggests that people do
is said to have caused around $652 million in not panic at the onset of such an event; rather, they
damages to the city. act in rational ways. These behaviors can include
information seeking, media monitoring, helping
Bhagwan Shree Rajneesh Poisoning others, and getting to safety. Some of these behav-
A religious community known as the Bhagwan iors also have the benefit of being a coping mecha-
Shree Rajneesh purchased a large ranch in Wasco nism to aid individuals in surviving the event.
County, Oregon, in 1981. The Rajneesh comprised Additionally, a function of crisis management
almost 7,000 followers on the 100-square- is to help people prepare for and respond to a ter-
mile ranch south of town. The cult members rorist event. Training drills and exercises for a ter-
incorporated their commune as a city. When the rorist event tend to take the form of exercises or
construction of the commune ran into problems, drills or informational seminars. These events are
members of the community saw the upcoming usually sponsored at the local-government level,
elections as an opportunity for the Rajneeshees by local emergency response teams, or even at the
to obtain permits and reduce opposition so that building management level. Much of the success
their plans could move forward. In order to win the of evacuating the World Trade Center in 2001 is
county election, the Rajneeshees planned to infect credited to emergency management and evacua-
a good portion of the population (at a place where tion procedures established after the 1993 World
most Wasco County voters live) with a foodborne Trade Center bombing.
illness, specifically salmonella. A total of 751 Seminars are another management opportu-
persons were struck with salmonella gastroenteritis nity for planning and responding to a terrorist.
associated with eating or working at area They also pull together a diverse group of people
restaurants. The outbreak occurred in two waves to talk about potential responses to emergencies.
from September 9 through 18 and September 19 This diverse group should encourage new ideas
through October 10. The majority of cases were and shared experiences to come together for bet-
associated with 10 restaurants. The infections ter planning.
occurred though the intentional contamination of
lettuce in the local grocery store. The Rajneeshees Patric R. Spence
went on to contaminate restaurant coffee creamers University of Kentucky
and blue cheese dressing, along with fruits and Scott Richmond
vegetables at restaurant salad bars. To date, Wayne State University
the episode still remains the most widespread
bioterrorism attack in U.S. history. See Also: Biological Weapons; Chemical Weapons;
Cyber Warfare; Evacuation; Foreign Policy Crises;
 Threat Detection 929

Hijackings; Land Mines; Nuclear and Radiological Warning Signals

Weapons; Post-Traumatic Stress Disorder; Religious Among the first scholars to point out the sig-
Violence; Sabotage; Shelter-in-Place; Suicide nificance of inadequate threat detection was
Bombings; Transportation Security; Uncertainty; Barry Turner, with his disaster incubation the-
Weapons Trafficking. ory. According to Turner, disasters are caused
by the accumulation of events that are at odds
Further Readings with organizational norms about safe operation
Dugan, Laura, Gary LaFree, and Heather Fogg. “A by a multiplicity of minor causes, mispercep-
First Look at Domestic and International Global tions, misunderstandings, and miscommunica-
Terrorism Events, 1970–1997.” Lecture Notes in tions accumulated during the disaster incubation
Computer Science, v.3975 (2006). period. These events remain unnoticed because of
Jongman, Albert J. “Trends in International a range of communication errors, which he iden-
and Domestic Terrorism in Western Europe, tifies as signals known and ignored or distrusted,
1968–1988.” Terrorism and Political Violence, signals buried or distributed across the organiza-
v.4/4 (1992). tion and hence not collated; and what he calls
Lachlan, K. A., P. R, Spence, and M. Seeger. “organizational exclusivity,” when the organiza-
“Terrorist Attacks and Uncertainty tion ignores warnings coming from outsiders.
Reduction: Media Use After September 11th.” These signals can be any kind of information
Interdisciplinary Research on Terrorism and (qualitative or quantitative) that indicates a devia-
Political Violence, v.1/2 (2009). tion from normalcy and can be interpreted as
Midlarsky, M. I., M. Crenshaw, and F. Yoshida. symptoms or peaks in the development of a cri-
“Why Violence Spreads: The Contagion of sis. In an organizational context, these can, there-
International Terrorism.” International Studies fore, be viewed as messages or pieces of informa-
Quarterly, v.24/2 (1980). tion about anomalies (discontinuities) generated
Sánchez-Cuenca, I. and L. de la Calle. “Domestic by “organizational imperfections” (e.g., failures,
Terrorism: The Hidden Side of Political Violence.” breakdowns, errors, incidents, near-accidents,
Annual Review of Political Science, v.12 (2009). unintentional deviations) in the external (e.g.,
Spence, P. R., D. Westerman, P. Skalski, M. Seeger, poor quality of raw materials offered by the orga-
T. Sellnow, and R. R. Ulmer. “Gender and Age nization’s suppliers) and/or the internal environ-
Effects on Information Seeking After 9/11.” ment of the organization (e.g., a steady increase of
Communication Research Reports, v.23 (2006). employee absences).

Threat Detection Process

The threat detection process is often understood
as involving activities grouped into two categories:
Threat Detection (1) activities triggered by a need to define warning
signals (identifying potential signals, locating data
In today’s dynamic, high-velocity social and busi- in these signals, and transmitting the signals) and
ness environment, most crises do not occur sud- (2) activities triggered by a need to resolve a poten-
denly. Ian Mitroff observed that long before its tial crisis (interpreting the threat signals, stabiliz-
actual occurrence, a crisis sends off a repeated ing the potential crisis, planning a method to avert
and persistent trail of early warning signals that the crisis, and resolving the crisis). It can therefore
could be picked up by a threat detection mecha- be perceived as a multistage dynamic process that
nism at a time when there is still opportunity to aims at the timely scanning for external/internal
prevent it from occurring. Still, evidence from the threat signals, their capture, and their transmis-
best-known crises in the last 50 years (e.g., Bho- sion to the organization’s incident response cen-
pal, Exxon Valdez, Challenger, Columbia, 9/11, ter, which, interpreting the information they carry,
the Mumbai attacks, Fukushima, Costa Concor- will decide about potential preventive action.
dia) shows that the organizational threat detec- The threat detection process should have
tion mechanisms are often inadequate. “interim goals” that exist at each stage of the
930 Threat Detection

detection process and “eventual outcomes.” The that a Japanese attack was imminent. However,
first goal is the creation of a shared understand- knowing that torpedoes needed a significant
ing about the situation and of a consensus for a depth of water to arm themselves, they consid-
commitment to the crisis response activities. The ered an attack on Pearl Harbor “low priority”
second is the establishment of accountability with and concentrated their limited resources on ana-
regard to these response activities, and the third is lyzing other possible targets. What they did not
the reduction of key organization members’ uncer- know was that the Japanese had developed tor-
tainty by creating awareness about the emerging pedoes for shallow waters.
crisis. The eventual outcomes of the process will One more factor that may lead to threat scan-
be changes in the organization’s core beliefs about ning failure and is often linked with information
its vulnerability to certain threats and in the pro- overload is a form of self-imposed censorship
cedures and structures for threat detection. where beliefs about what is possible and what
is not lead the detectors to ignore certain signals
Threat Detection Pathologies and focus on certain others. Disasters such as the
Even though threat signals may nearly always pre- nuclear reactor accident at Three Mile Island and
cede crises in an organization, there are many fac- the downing of an Iranian airliner by the crew of
tors, not related to the design of the threat detection the U.S. missile frigate Vincennes showed that both
mechanism per se, that may influence the ability of the control room operator on duty in the former
the organization to detect and correctly interpret and the radar crew member in the latter focused
these threat signals. These threat detection failures their attention on the “wrong” signals and, con-
normally fall into four categories: scanning, inte- sequently, chose the wrong course of action. This
gration, interpretation, and learning. type of signal bracketing is called “selective atten-
tion,” and it is normally related to the detector’s
Threat scanning failures: Threat scanning fail- background, history, and previous commitments,
ures occur when the detectors fail to capture all and with the prominence of some threat signals.
signals emitted by the threat source. This failure
may be attributed to lack of ability; however, the Signal integration failures: More often than not,
crisis management literature identifies other rea- threat signals are detected and transmitted but
sons such as background noise, information over- not integrated in the “big picture” and therefore
load, and selective attention. never interpreted correctly. This is often caused by
When the background noise of a signal is high, functional silos in an organization, a consequence
detectors often find it difficult to distill cogent of seeking to create deep pools of expertise in sev-
threat signals that will indicate the nature of the eral functional areas and failing to integrate them.
crisis. On the first day of Hurricane Katrina, the A perfect example of such “silo mentality” is the
operations center received at least nine reports of way that fragmented information about the ter-
levee breeches and eight other reports of major rorist attack on the Twin Towers was available
flooding. However, at the same time, the Army but never shared among the various agencies that
Corps of Engineers insisted that there were no possessed it.
levee breaches, and the Federal Emergency Man- It is noteworthy, however, that quite often orga-
agement Agency (FEMA) was claiming that it was nizations create information “firewalls” within
coping. With several communication gaps result- themselves when some threat signals detected in
ing from the hurricane itself, the command center the environment are deemed too sensitive to be
could not really understand which signals were broadly shared or certain channels for transmis-
genuine and which not. sion of such signals are cumbersome to use. This
Information overload can be a cause for threat secrecy or overzealous guarding of information
scanning failure, as detectors that are over- may result in tragedies.
whelmed with signals may not be able to process In the case of the massive shootings at Virginia
them all and choose to ignore those signals that Tech in May 2006, both the silo mentality and the
they consider of lower priority. For example, in cumbersome transmission of sensitive information
1941, U.S. analysts were inundated with signals exacerbated a crisis into a tragedy when it could
 Threat Detection 931

is important and what is not, something that is

not usual in complex organizations. In these situ-
ations, the definition of the unfolding crisis and
its causes remain contested, and efforts to develop
a crisis response are likely to involve much trial
and error, rearguard infighting, political U-turns,
and symbolic gestures. On the other hand, exces-
sive homogeneity and conformity among decision
makers leads to the phenomenon of groupthink,
hindering the “out of the box” interpretation of
signals, which is often necessary for newly emerg-
ing crises. All this becomes more complex when
multiple organizations get involved in the inter-
pretation of signals. The success of signal inter-
pretation will depend on the degree of connectiv-
ity between the organizations involved as well as
on the intellectual capital of the decision makers.
In the case of the Indian Ocean tsunami,
although the earthquake that caused the tsunami
was detected, the sparse seismographic coverage of
the Indian Ocean contributed to a severe underesti-
mation of its size, and the lack of real-time sea-level
A security policeman and bomb-sniffing dog sweep a portion of data made it impossible for the tsunami to be veri-
the Lower 9th Ward in New Orleans, Louisiana, on November 5, fied before it had already impacted the countries
2005, prior to a visit from Prince Charles and Camilla Parker- most severely affected. On the other hand, there
Bowles of Britain. Hurricane Katrina hit the area August 29. were no communication networks established to
disseminate a warning to the Indian Ocean com-
munities, and because these communities were not
adequately trained for such an eventuality, they
have been prevented. The Virginia Tech Review were unable to recognize the natural indicators
Panel, in its report, highlighted the silo effect, stat- of an approaching tsunami (for example, sudden
ing that no one (within the organization) effectively recession in the sea level) where they were evident.
joined up all of the dots and emphasized the lack
of information sharing among academic, adminis- Learning failures: The importance of learning
trative, and public safety entities at Virginia Tech, from own and others’ experiences is highlighted in
and the students who had raised concerns contrib- many crisis management models, such as Mitroff’s
uted to a failure to see the big picture. The report five-stage crisis management model. However,
also pointed out how “secrecy” made the process some organizations fail to learn from these experi-
for sending an emergency message cumbersome, ences because they not have established the mech-
untimely, and problematic since, although the anisms needed to formalize, codify, and share the
campus police had the authority to send such a lessons learned. This will inevitably lead detectors
message, the relevant enabling codes resided with not to capture again threat signals that they have
others within the university. missed in the past. The report for the Buncefield
depot accident in 2005, for example, clearly shows
Interpretation failures: Another issue that may that Total has not learned any lessons from similar
arise is disagreement on the interpretation of accidents, such as BP’s Gulf explosion, and failed
the signal between the various decision makers. to identify warning signals that could have led to
A timely appraisal and interpretation of the sig- the prevention of the disaster.
nal requires a critical mass of competent deci- Learning failures, however, may also be caused
sion makers who share strong ideas about what by “cognitive arrogance.” In certain cases,
932 Tornadoes and Severe Thunderstorms

cherished traditions, past successes, and internal making decisions that will reduce destruction,
politics may make the organization look more injuries, and the loss of life.
inward rather than outward, shutting out any The National Weather Service (NWS) classi-
threat signal that might lead to discrepant infor- fies a thunderstorm as severe when it contains
mation even if in the past similar threat signals led three-quarter inch hail and/or has wind speeds
to a crisis. A long series of successes may lead the of 58 miles per hour (mph). The Storm Predic-
decision makers into believing that they may not tion Center (SPC) in Norman, Oklahoma, is the
make mistakes. This attitude of omnipotence may branch of the NWS tasked with issuing severe
become very dangerous for the organization and storm and tornado advisories for the entire coun-
its constituents. The 2008 financial crisis and the try. Most watches tend to last four to six hours
collapse of organizations such as Lehman Brothers and are designed to make the public aware of the
and Washington Mutual are examples of cognitive potential for severe weather. If a severe thunder-
arrogance. storm develops or a tornado is spotted, the local
weather forecast office of the NWS issues a warn-
Alexandros Paraskevas ing to seek shelter.
Oxford Brookes University
Lightning
See Also: Crisis, Definition of; Incident Response; Each year in the United States, there are about 25
Information Asymmetry; Information Vacuums; million lightning flashes, and lightning remains
Mitroff’s Five Stages of Crisis Management. one of the top three thunderstorm-related kill-
ers, along with floods and tornadoes. On average,
Further Readings some 54 people are killed by lightning each year,
Mitroff, I. I. Crisis Leadership: Planning for the and hundreds are permanently injured with debili-
Unthinkable. Hoboken, NJ: Wiley, 2004. tating disorders. Approximately 70 percent of all
Mitroff, I. I. The Essential Guide to Managing injuries and deaths from lightning occur in the
Corporate Crises. Oxford: Oxford University afternoon. Florida is the thunderstorm capital of
Press, 1996. the United States and leads the nation in lightning
Turner, B. A. and N. F. Pidgeon. Man-Made Disasters. fatalities, with 463 reported deaths between 1959
2nd ed. Oxford: Butterworth-Heinemann, 1997. and 2011, followed by Texas with 212 fatalities
Virginia Tech Review Panel. “Mass Shootings at during the same period. Lightning can strike as far
Virginia Tech.” Report of the Review Panel as 10 miles away from a thunderstorm, so to avoid
Presented to Governor Kaine, Commonwealth being struck, one must remember that if thunder
of Virginia (2007). http://tinyurl.com/dycrggl is audible, lightning is also close enough to strike.
(Accessed March 2012). Lightning is also responsible for igniting wildfires
that burned more than 8 million acres across the
United States in 2011 and continue to threaten
property and lives as the frequency of extreme
drought events related to climate change increases.
Tornadoes and Severe
Hail
Thunderstorms Severe thunderstorms are capable of producing
hail the size of a stone, dependent on the time
Each day, there are at least 40,000 thunderstorms spent in a cloud and, thus, the severity of the
taking place around the planet. The worst of storm. Approximately 40 percent of severe hail-
these are severe thunderstorms that pose multiple storms in the United States take place between the
challenges to crisis managers because of the asso- hours of 3:00 p.m. and 6:00 p.m. To date, the larg-
ciated hazards that can include lightning, hail, est recorded hailstone fell in June 2010 at Vivian,
wind gusts, and tornadoes. Each of these threats South Dakota, with a diameter of 8 inches and
is often accompanied by the element of surprise weighing nearly 2 pounds. Cheyenne, Wyoming,
and affords a small window of opportunity for is the hail capital of the United States, with an
 Training 933

average of nine hailstorms a year. Although hail of tornadoes has nearly doubled since 1950, with
does not pose the same risk of injury or death as 1,700 confirmed tornadoes recorded in 2011.
lightning, hail can cause significant property dam- From 1950 to 2005, property damage from torna-
age to automobiles, airplanes, and windows. The does topped $20 billion dollars and, despite better
main threat from hail is to crops such as wheat, forecasting techniques, the death rates continue to
corn, and soybeans, with annual losses represent- rise. The 30-year average from 1982 to 2011 was
ing about 2 percent of all U.S. agricultural output. 74 deaths per year, and the 10-year average from
2002 to 2001 was 108. However, in 2011, there
Wind Gusts were 553 fatalities from tornadoes.
Severe thunderstorms are capable of producing Among the challenges for officials is address-
extreme wind gusts in the form of straight-line ing the complacency that can accompany warn-
winds and downbursts. Straight-line winds can ings that never materialize. Recently, the SPC has
reach speeds of 100 mph and extend for hundreds started giving high-risk 24-hour warnings and
of miles. Unlike tornadoes that scatter debris in referring to storms as catastrophic and life-threat-
a rotational fashion, straight-line winds leave a ening in order to encourage the public to take pre-
forward path of destruction. A rare super derecho cautionary measures to mitigate the damage from
(Spanish for straight-ahead) raged for 12 hours these uncontrollable natural crises.
over an area from Indiana to the mid-Atlantic
coast in July 2012, leaving behind 700 miles of Richard K. Snow
devastation as the SPC received some 600 reports Mary Snow
of damaging winds, and wind gusts as high as 91 Embry-Riddle Aeronautical University
mph were recorded. Downbursts are localized
downdrafts that exit the base of a severe thun- See Also: Climate Change Adaptation; Disaster Risk
derstorm, striking the ground and spreading out Reduction; Emergency Alert System; Floods; Fires;
horizontally. If the diameter is less than 2.5 miles, Preparedness; Warning.
it is referred to as a microburst. Microburst wind
speeds can reach 160 mph and pose the greatest Further Readings
threat to aircraft, as was the case with Pan Am Adekoya, N. and K. Nolte. “Struck-by-Lightning
Flight 759, which encountered a microburst on Deaths in the United States.” Journal of
take off and crashed, killing 153 people in 1982. Environmental Health, v.67/9 (2005).
Brotzge, J. and S. Erickson. “Tornadoes Without NWS
Tornadoes Warning.” Weather and Forecasting, v.25/1 (2010).
The most frightening element of a severe thunder- Carbin, G. and J. Guyer. “Tornadoes: An
storm is the tornado. Theodore Fujita of the Uni- Unprecedented Year.” Weatherwise, v.65/ 3 (2012).
versity of Chicago developed a scale to measure Gatlin, P. and S. Goodman. “A Total Lightning
the severity of tornado damage that ranges from Trending Algorithm to Identify Severe
F-0 to F-5, with the latter representing incredible Thunderstorms.” Journal of Atmospheric and
damage and wind speeds up to 318 mph. An F-5 Oceanic Technology, v.27/1 (2010).
tornado struck Oklahoma City in 1999 with the Oliver, J., ed. Encyclopedia of World Climatology.
highest wind speeds ever recorded at 318 mph, Dordrecht, Netherlands: Springer Reference, 2005.
resulting in an additional F-6 category that repre-
sents inconceivable wind speeds greater than 318
mph. An Enhanced Fujita Scale (EF Scale) was
adopted in 2007 and considers any tornado with
wind speeds greater than 166 mph to be considered Training
violent. About two-thirds of all tornadoes form
between the hours of 2:00 p.m. and 8:00 p.m., with Crisis events expose staff to demands that are sud-
the majority occurring between April and July. denly occurring and often beyond the normal expe-
Texas has more tornadoes than any other state, rience of most individuals. Differences between
followed by Oklahoma and Florida. The number normal and crisis events (such as uncertainty,
934 Training

coordination problems, and infrastructure losses) responding to events that occur without warning
renders routine training, experience, and opera- and that require a capacity to transition to (and
tional practices less applicable as a foundation from) crisis management procedures promptly.
for effective crisis response. Consequently, cri- Training develops people’s ability to function in
ses require people to apply their normal skills in conditions characterized by uncertainty, ambigu-
atypical circumstances (such as search and rescue ity, and personal threat under high physical and
in disaster contexts) and/or create a need for new time pressures, and possibly under conditions of
work competencies, relationships, and proce- media and public scrutiny. Training facilitates
dures to deal with novel circumstances (such as people’s appreciation of the need to take on higher
multidisciplinary teamwork). Training is tasked than usual or expected responsibility and how
with adapting existing competencies; developing resource constraints limit opportunities for effec-
the unique knowledge, skills, and relationships tive action. Training prepares staff for working in
required for effective crisis response; and provid- a crisis environment in which they will experience
ing experience in applying these competencies in higher than usual physical, mental, and emotional
unfamiliar circumstances in ways that increase demands and psychological stress (possibility over
people’s capacity to respond to crises. prolonged periods of time). To these factors can
The process commences with training needs be added a need to interact effectively with peo-
analysis (TNA). Crisis TNA includes expert ple from departments or professions staff would
reviews and techniques such as critical incident not normally work with. To prepare people for
and decision methods, goal directed task/infor- all such eventualities, a holistic approach to train-
mation analysis, theater-based interagency train- ing is essential. This can be accomplished using
ing, applied cognitive task analysis, means end an assessment and development center approach.
chain analysis, and goal hierarchy analysis. These
analytical techniques identify the demands and Assessment Centers
operating environment characteristics staff may Assessment centers involve participation in mul-
have to contend with. Once these demands are tiple exercises and simulations as well as the
identified, TNA articulates the response roles, observation and evaluation of performance
competencies, knowledge, procedures, and rela- against predetermined task-related behaviors by
tionships required to effectively confront them. a team of trained assessors in an environment
The analysis of contexts and the competencies (developed from TNA) that represents the condi-
required for effective functioning provide a foun- tions in which performance will occur. The use
dation for the design, development, delivery, and of multiple, expertly evaluated assessments (such
evaluation of the training content, exercises, and as personality, role play, leadership, and decision
simulations that will be used to develop the capac- making) and simulations allows roles, tasks, and
ity of staff to adapt existing competencies and/ specific skills to be developed and practiced indi-
or apply crisis-specific competencies in scenarios vidually and collectively in ways that provide par-
that are comparable to those that could occur in ticipants with opportunities to integrate experi-
crisis events. ences and develop a more holistic appreciation of
Training needs analysis will identify all the the overall crisis management role.
events organizations could experience (for exam- Simulations provide a practical context for
ple, transportation accidents, workplace acci- experiential learning in which staff can develop,
dents, assaults, homicide, suicide or attempted adapt, and apply knowledge to goal-directed
suicide, armed robbery, hostage taking, and nat- actions in realistic circumstances. Simulations
ural disasters, such as floods or earthquakes) or afford opportunities for people to develop,
environmental events (such as gas leaks and toxic review, and rehearse technical and management
waste spills, industrial disputes, and acts of ter- skills under realistic circumstances; practice deal-
rorism) to ensure that training supports develop- ing with high-pressure situations in a safe and
ing an “all-hazards” capability. Training needs supportive environment in the roles they will
analysis also articulates the crisis event charac- adopt in a crisis situation; and receive feedback
teristics staff must prepare for. These include on their performance. In doing so, they use and
 Training 935

develop competencies such as tacit knowledge. develop situational awareness. By identifying cri-
Simulations expedite the development of generic sis characteristics and demands, TNA informs the
competencies such as tacit knowledge, self-effi- development of assessments (decision making and
cacy, individual and team (shared) mental models, leadership), exercises, simulations, and decision-
information management, situational awareness, support systems ( such as BeAware and AKTiveSA)
decision making, and multidisciplinary/multi- required to develop the ability to identify environ-
agency team processes that are pivotal to effective mental cues that indicate new or emergent goals,
crisis response. and provide training in applying these interpretive
skills in the kinds of high-pressure contexts staff
Tacit Knowledge could find themselves in.
Training needs analysis identifies preexisting com- Training that develops situational awareness
petencies that are applicable to crisis response. supports developing decision-making competen-
However, much of this knowledge is implicit or cies such as naturalistic decision making (recog-
taken for granted. This is called tacit knowledge. nition-primed decision making). The effectiveness
Tacit knowledge underpins people’s ability to of naturalistic decision making is a function of
adapt to and respond to real-world environments gaining experience in simulations that broaden
and is therefore an important determinant of exposure to crisis characteristics and provide
effective performance in challenging and dynamic a learning environment to increase the range of
crisis events. Training activities assist staff to options (mental models) that can be matched to
identify and apply this tacit knowledge to crisis actual event circumstances. Situational awareness
response. provides the foundation for effective response.
Expertly evaluated exercises and simulations Training also functions to ensure that people can
facilitate the development, consolidation, and act on it. A key determinant of this is self-efficacy.
application of factual and procedural knowledge
(knowledge regarding how to perform activities). Self-Efficacy
They do so by allowing participants to witness Self-efficacy underpins people’s ability to organize
connections between various bodies of knowl- and execute courses of action required to achieve
edge and by giving them structured and evaluated objectives or perform in specific ways and to per-
opportunities to practice utilizing existing tacit sist in task performance in challenging environ-
knowledge relevant to effective crisis response. ments. Self-efficacy is developed through direct
Simulations also provide an experiential learn- and vicarious experience (such as behavioral
ing context that enhances the development of modeling), from observing the successes and fail-
tacit knowledge through an emphasis on selective ures of others on particular tasks, and from feed-
encoding (important for situational awareness), back on performance. Assessment centers provide
selective comparison, and selective combination opportunities for behavioral modeling by includ-
(combining information in goal-directed ways). ing multiple participants in simulated crisis events
The latter facilitates the development of situ- modeled on the event characteristics elicited in
ational awareness and adaptive response in envi- the TNA. Crisis response can also necessitate a
ronments characterized by incomplete, ambigu- need to work in conjunction with others.
ous information.
Interorganizational Issues
Situational Awareness The challenge of comprehending and managing
Situational awareness is a key facet of effective cri- complex, dynamic crises requires staff to be able
sis management. Situational awareness describes to access data from diverse sources and work
people’s ability to identify critical elements in the with these sources to implement actions. Because
crisis environment, integrate elements in ways that this can involve representatives of departments,
allow meaningful activities to be selected in the light professions, and agencies that rarely interact
of salient goals, and anticipate future demands and together under normal circumstances, training is
the actions required to manage them. The rarity required to develop interdisciplinary and multi-
of crisis events means that training is required to agency competencies in areas such as information
936 Training

Case Study: Training Exercise and Training Needs Analysis

In the course of developing its emergency thus information from situation reports from several
management capability to deal with crisis events agencies on site as well as from others (such as
such as mass emergencies and disasters, a council welfare groups and schools) were fed to the EOC.
established an emergency operations center (EOC). The exercise was designed to reflect the high-
Staff members who would fill crisis management demand characteristics that could accompany
roles in the EOC were selected on the grounds an actual crisis response. This included the call-
of their managerial experience, but a need for a out that required staff to switch from routine to
specific training program to develop individual and crisis management roles, operating in a context
team competencies was identified, particularly with in which they found themselves having to make
regard to a need for high levels of competence in sense of a large amount of information from diverse
information sharing and management and decision sources (such as information from those on scene,
making involving EOC members and external public information, and initial media reports) that
agencies in the kinds of high-demand, high-stress included inconsistent and ambiguous input that
environments in which the team could operate. was presented to them on arrival, and having to
To identify the specific areas training would organize themselves into a team.
need to cover, a training needs analysis (TNA) Additional demands were introduced at
was developed. This TNA comprised two general various points (for example, being presented with
components. Interviews and focus group meetings information that police were evacuating those in
with fire and police personnel with experience of the surrounding areas to schools and these schools
managing crisis events provided input into scenario demanding where the children should be evacuated
design. This input, together with that from utility to). In addition to requesting input from external
company experts, informed the development of agencies, the EOC staff received input from these
an exercise that was run in real time. It involved sources throughout the exercise. This provided
managing the first eight hours of a simulated gas the context in which information and decision
explosion that had significant implications for the management could be assessed under the high-
whole city. The proximity of the explosion to a stress conditions in which EOC staff had to work
built-up area (including schools, businesses, and a and understand the needs of groups with whom
shopping center) and the fact that the ensuing fire they had little contact under normal conditions.
occurred in the vicinity of a pipeline transporting EOC processes and performance were evaluated by
gasoline to a fuel distribution center provided three experts who observed and reported on various
a context in which exercise participants had to aspects of team performance. This, together with a
anticipate and consider how they would manage debriefing with exercise participants, was used to
possible event escalations. identify training needs. These processes identified
several training needs. Some of these related to
Anatomy of the Exercise technical issues such as design of the software
The crisis started at 9.30 a.m. on a Tuesday. EOC being used as decision-support systems and access
staff members (30 in total) were not advised of to aerial photographs.
the exercise beforehand in order to ensure that
the exercise mirrored the experience of being Analysis and Identification of Training Needs
called to manage a suddenly occurring event. The The main objective of the evaluation was
exercise included having representatives of key identification of personal and team development
agencies (for example, gas, water, phone, refining needs. The evaluation identified a need to develop
and power utilities; local government; ambulance; competence in anticipating future demands and
fire; police; media; and politicians) who provided needs. Situational awareness was compromised by
and requested inputs. Exercise injects had been spending too much time on what had happened,
prepared in consultation with these groups, and and team members recognized the importance of
 Training 937

better knowledge of the expertise in key agencies need that could enhance performance and manage
and requesting information on what would happen stress. Training in decision making under high-stress
next so they could take a more proactive approach conditions (naturalistic decision making) and in
to managing the crisis. This called for training conjunction with others who may not necessarily be
to include working with other agencies to better in the same location (distributed decision making)
understand their roles and operating systems were identified as key training needs. The evaluation
and needs. A need for stress management was identified how assumptions of being able to work as
recognized. Participants reported that the high a team because participants worked for the same
demands associated with dealing with data from agency was inappropriate, and a need for training
multiple sources increased stress and affected the to specifically develop understanding of others’
quality of teamwork. Training in developing team roles (team building) and how they related to crisis
roles in ways that facilitated technical performance management processes and procedures emerged as
and better social support emerged as a training a training need.

management and decision making. When simu- who did not receive cross-training. However, as
lation includes representatives from sources with levels of team member interdependence increase,
whom personnel could interact, training facilitates particularly when performance occurs in multidis-
the development of a capability to specify infor- ciplinary teams, higher levels of team training are
mation needs, coordinate activities with other required. This can be accomplished using tech-
groups, interpret it appropriately on receipt, and, niques such as “positional clarification” (infor-
if required, adapt it for different functions and mation is provided about other roles in the team),
end users over time. “positional modeling” (information and some
Training designed to facilitate this crisis man- practice in the other positions is provided), and
agement capability is widely used in the aviation “positional rotation” (all team members spend a
industry, where it is referred to as crew resource significant period of time performing other team
management (CRM) and used to train air crew members’ jobs). These approaches have demon-
and those on the ground who are required to strated improvements in tactical decision tasks
interact and perform effectively during crises. under high-workload and high-stress conditions.
CRM training includes modules on communica- Other techniques, such as team adaptation and
tion, team building, stress and decision making, coordination training (TACT), develop compe-
and, increasingly, the impact of organizational, tence in implicit communication (offering infor-
professional, and national culture on these capa- mation in anticipation of another team member’s
bilities. Pre- and post-training evaluation studies decision needs) and contribute to improvements
of CRM training have shown significant improve- in performance, adaptive decision-making strate-
ments in knowledge of, attitudes toward, and per- gies, primary task performance, teamwork skills,
formance of teamwork skills for both novice and and communication in crisis conditions.
experienced crews. The observed improvements Collaborative exercises and simulations that
in performance build on the development of team support the application of shared mental mod-
or shared mental models. els and situational awareness facilitate the devel-
Team mental model training can be accom- opment of distributed decision making, which
plished using techniques such as cross-training, acknowledges that effective crisis response requires
which gives basic exposure to other team mem- the contribution of people who differ with respect
bers’ roles (via an information session, without to their professions, expertise, functions, roles, or
actual experience in other team members’ roles). geographical locations. Simulations model how
Cross-training has demonstrated improvements events evolve over time and provide contexts for
in teamwork coordination compared with teams people to develop their understanding of how
938 Transportation Security

their and others’ expertise contributes to differ- ability to generalize their understanding in ways
ent parts of the same plan while working toward that contribute to promoting predictability, con-
common goals over time. trol, and adaptability and their ability to function
across a range of crisis scenarios.
Training for Stress Resilience
Crisis events increase the risk of adverse stress reac- Douglas Paton
tions that undermine performance and well-being. University of Tasmania
Training to promote stress resilience includes using
exercises and simulation to help people construct See Also: Agency Notification and Mobilization;
mental models that facilitate their ability to make Crisis Communications; Crisis Information
sense of the unique demands and psychological Management Systems; Decision Making Under
reactions associated with crisis response. Training Stress; Disaster Drills; Incident Management;
provides staff with opportunities to practice deal- Interoperability; Operational Plans; Response Team.
ing with high-pressure situations in a safe and sup-
portive environment, increases awareness of stress Further Readings
reactions, and facilitates rehearsal of strategies to Ballantyne, I. and N. Povah. Assessment and
minimize negative reactions. Studies comparing Development Centres. Aldershot, UK: Gower,
indices such as heart rates in actual and simulated 2004.
crises have found sufficient comparability to sup- Cannon-Bowers, J. A., E. Salas, E. Blickensderfer, and
port the generalizability of training. C. A. Bowers. “The Impact of Cross-Training and
Workload on Team Functioning: A Replication and
Feedback Extension of Initial Findings.” Human Factors,
Critical, expert assessment of performance is used v.40 (1998).
to provide feedback, facilitate training evalua- Doherty, G. Crisis Intervention Training for Disaster
tion, and identify future training needs. Feedback Workers: An Introduction. Laramie, WY: Rocky
on the strengths and weaknesses in performance Mountain DMH Institute Press, 2007.
on individual and team exercises facilitates identi- Lewis, G. Organizational Crisis Management:
fication of areas of deficiency and why deficiency The Human Factor. Boca Raton, FL: Auerbach
occurs in ways that enhance behavioral change, as Publications, 2006.
well as providing a context for the iterative devel- Paton, D. “Disaster Relief Work: An Assessment
opment of complex skills and their application in of Training Effectiveness.” Journal of Traumatic
diverse crisis scenarios. In an assessment center, Stress, v.7 (1994).
feedback is continuous (after each exercise) and Quanjel, M. M. H., A. J. Willems, and A. N. Talen.
thus facilitates skill development and reinforce- “Crisislab: Evaluation and Improvement of
ment for appropriate behaviors. Crisis Management Through Simulation/Gaming,
The rarity of crisis events means that training Simulation & Gaming, v.29 (1998).
should facilitate overlearning of tasks to reduce Stout, R. J., J. A. Cannon-Bowers, E. Salas, and D.
the risk of people reverting back to routine ways of M. Milanovich. “Planning, Shared Mental Models,
performing under challenging circumstances. The and Coordinated Performance: An Empirical Link
value of training exercises and simulations rests Is Established.” Human Factors, v.41 (1999).
with the degree to which they provide challenging
learning experiences. It is only when operational
assumptions are challenged in constructive ways
that resilience and adaptability can be enhanced.
Training and practice in diverse scenarios that Transportation Security
address both specific content issues (for example,
technical skills) and empower people to function Transportation security is the oversight and pro-
in the context within which performance will take vision of security services to transportation sys-
place (for example, long hours, lack of backup, tems, especially security against criminal activity
and performance difficulties) facilitate people’s such as terrorism. In the United States, security
 Transportation Security 939

of transportation systems is under the jurisdic- there have been several high-profile problems.
tion of the Transportation Security Administra- The Department of Homeland Security’s inter-
tion (TSA), established in December 2001 as a nal investigation discovered that at San Francisco
response to the September 11, 2001, attacks. The International Airport, Covenant employees were
TSA works with local and state law enforcement tipped off by TSA employees about secret tests of
in overseeing security for airports, ports, pipelines, their screening procedures; despite the investiga-
railroads, highways, and mass transit systems. tion, no one was fired, and Covenant’s contract
Just as the Department of Homeland Security was was renewed. Another contractor, data analyst
established in order to put homeland security mat- James Duchak, tampered with the TSA’s Terror-
ters under a single umbrella as a response to the ist Screening Database when he was given two
criticisms that the federal government mishandled weeks’ notice of termination; he was sentenced to
intelligence that could have prevented the 9/11 two years in prison.
attacks, the TSA was established to consolidate in Other changes were made to transportation
a single organization the authority to develop and security after the September 11 attacks as well.
implement transportation security policies, with Cockpit doors on newer aircraft are stronger
a particular focus on the prevention of aircraft and bulletproof, and few flights permit passen-
hijacking and the use of transportation systems gers to enter the cockpit during flight. Enhanced
to bring terrorists and their equipment into the requirements were placed on passengers boarding
country. It is the sole federal authority in screen- flights—most passengers must provide a govern-
ing passengers and baggage for flights in matters ment-issued photo ID—and airport patrons who
not related to immigration or customs. are not boarding a flight are no longer allowed
beyond designated points, whereas in the past
Changes After 9/11 family and friends could accompany a departing
Airports have the right to hire a private com- passenger to the gate to see them off. The TSA’s
pany to perform screening, provided it follows screening procedure has been enhanced, requir-
TSA-established procedures and the company is ing scans or patdowns of most passengers at most
approved by the TSA. Covenant Aviation Secu- airports, and limitations on which objects can be
rity, for instance, based in Chicago, was founded included in carry-on luggage. A single incident of
in 2002 to provide security services to the avia- explosives hidden in the shoes of Al Qaeda mem-
tion industry and almost immediately took over ber Richard Reid in 2002 led to the requirement
screening at the San Francisco International and for passengers to remove shoes before boarding at
Tupelo Regional airports. It later took on screen- all U.S. airports, even a decade later.
ing at the Sioux Falls Regional and Sioux Falls
International airports and provides security ser- Federal Air Marshal Service
vices (such as personnel screening, security assess- The Federal Air Marshal Service, which began
ments, perimeter intrusion detection systems, operations in 1968, is a law enforcement agency
and closed-circuit television monitoring) at the operating under the TSA’s supervision. Marshals
Orlando International, LaGuardia, and John F. are held to one of the highest standards of hand-
Kennedy International airports. Other aviation gun firing accuracy in the federal government and
security contractors include FirstLine Transpor- are trained in close-quarters self-defense in addi-
tation Security, which provides screening services tion to standard law enforcement techniques and
for Kansas City International Airport, and Trinity methodologies because of their primary task of
Technology Group, which provides such services traveling incognito in order to detect and neutral-
for airports in Tupelo, Mississippi, and Sonoma, ize threats aboard aircraft. Until 1985, federal air
California, as well as security support at TSA marshals were deployed almost exclusively on
headquarters. domestic flights, in part because the service was
Some Congressmen have supported further formed in response to domestic hijackings and in
involvement of the private sector in transporta- part because of the reluctance of other countries
tion security and a greater reliance on contrac- to cooperate. This changed during the Ronald
tors to provide screening and other services, but Reagan administration, when terrorists hijacked
940 Transportation Security

TWA Flight 847 in 1985 after takeoff from Cairo. hires coming from the Border Patrol; the Drug
A U.S. Navy diver was tortured to death, and the Enforcement Administration; the Bureau of Alco-
rest of the passengers were held hostage for two hol, Tobacco, and Firearms; and other federal
weeks. The air marshal service was expanded as a agencies. The service was moved to the TSA in
result, and agreements were reached with foreign 2005 as part of a Department of Homeland Secu-
countries laying out guidelines for the handling of rity reorganization.
weapons and personnel. Though called “air marshals,” the marshals
The air marshal service was expanded vastly have since 2004 also been deployed by the TSA to
after the September 11 attacks. On that day, there mass transit systems on days considered to pose
were only 33 active air marshals. The number of greater risks of attack: holidays, major events like
marshals today is classified, but it is believed to the Super Bowl, anniversaries of terrorist attacks,
be in the thousands, with many of the initial new and so on. This shift has generated considerable
complaints; air marshals have complained that
their anonymity has been compromised, since
the goal of these deployments is a high-visibility
security presence; transit operators and local law
enforcement have complained that air marshals
are unfamiliar with local procedures and norms.
In 2011, air marshals were banned from Amtrak
properties after alleged violations of local law and
corporate policy in the conduct of their screening
procedures.
There have been other complaints about the
service as well. Given the rapid expansion, the
quality of the training, especially in the case of
marshals without previous law enforcement expe-
rience, has been called into question. A number
of marshals have been discovered to have crimi-
nal convictions for misdemeanors, including
sexual assault. The number of arrests the service
has made has been very low—fewer than 10 per
year—calling into question not only its efficacy
but also its necessity.

Security Theater
Many of the enhancements to transportation
security since the establishment of the TSA have
been dismissed as “security theater” by security
experts. Security theater is a term that predates
the present discussion; it originally related to
computer security but has proven more broadly
useful: it is the practice of visible security mea-
sures that provide the feeling of security but lit-
tle to no actual improvement, like a child hiding
beneath the bedcovers (or under a desk, in the
event of an atomic bomb). Much as World War II
During a joint training exercise at Dyess Air Force Base, Texas, rationing provided a psychological benefit on the
base firefighters facilitate the efforts of Abilene regional airport home front—independent of its tangible benefits
firefighters in becoming proficient at extinguishing aircraft fires, in dealing with shortages and preventing infla-
a skill required by the Federal Aviation Administration. tion—by giving the general public a way of being
 Transportation Systems, Vulnerability 941

involved in the war effort as part of their daily older systems have had to be replaced because
lives, so too have the drastic measures introduced pre-9/11 concerns were primarily with contra-
in airport security served to constantly remind the band, not sabotage. Trailers, railcars, and con-
flying public of the ongoing war on terror. tainers can be scanned with nonintrusive inspec-
In its original sense, security theater was criti- tion technologies like gamma rays and X-rays,
cized because it was assumed that it was adopted and personnel can use portable devices about
in order to avoid more expensive security mea- the size of a smartphone to detect radiological or
sures that would provide better protection. That explosive material.
argument is not always made with airport secu-
rity theater. Beyond political gains, or the TSA’s Bill Kte’pi
natural desire to remain and extend its operation, Independent Scholar
it could be said that the feeling of security is an
end in itself, given the way national confidence See Also: Air Traffic Control; Air Travel; Border
was shaken after the September 11 attacks. It is Disputes; Earthquakes; Evacuation; Failed
difficult to establish that attacks have been pre- States; Hazardous Materials; Hijackings; Human
vented, after all, because if Homeland Security’s Trafficking; Insurance; Land Mines; Marine Travel;
goals were met, the number of attempted attacks Preparedness; Sabotage; Security; Situational
foiled would be trivial compared to the number Analysis; Terrorism.
of possible attacks that were abandoned because
security measures and other policies either dis- Further Readings
suaded the would-be attackers or made the attack Boin, Arjen. The Politics of Crisis Management. New
too difficult for them. York: Cambridge University Press, 2005.
This is, in fact, the defense the Federal Air Mar- Freitas, Paul J. “Passenger Aviation Security, Risk
shal Service offers when its low arrest count is Management, and Simple Physics.” Journal of
pointed out: if its presence on aircraft is an effec- Transportation Security, v.5/2 (2012).
tive deterrent, that is both the expected result and Hoppe, Elizabeth A., ed. Ethical Issues in Aviation.
the desirable one. If, then, other security policies Farnham, UK: Ashgate, 2011.
have reduced the threat of terrorism, security the- Jacobson, Sheldon H. “Watching Through the ‘I’s
ater would serve the end of providing a feeling of of Aviation Security.” Journal of Transportation
security to accompany that ephemeral gain. Security, v.5/1 (2012).
Menkhaus, Ken. “Vicious Circles and the Security
Transportation Security Best Practices Development Nexus in Somalia.” Conflict,
Interagency partnerships are key to real transpor- Security, and Development, v.4/2 (2004).
tation security. Federal, state, and local authorities
need to share intelligence and pool competencies
for the best protection with the least disruption to
transportation. Unified threat management offers
a comprehensive protection strategy, especially in Transportation Systems,
tandem with a good interoperable communica-
tion system for emergency planning and response. Vulnerability
For example, in the wake of 9/11, best prac-
tices have been tightened in the area of freight The movement of people and goods is vital
security. More robust, secure seals are encouraged to the economic growth and productivity of a
for use in cargo, such as electronic seals (combin- metropolitan region, and this critical activity is
ing a physical seal with passive or active RFID threatened when a region’s transportation infra-
components) employed as a multilayer approach structure is disrupted. The challenge for emer-
to security. Active RFID seals, which carry bat- gency managers and urban planners is to plan for
teries and log events of tampering, are preferred. and limit the disruptive impacts that crises can
Sensors can be used to monitor cargo conditions, have on multimodal transportation networks.
auditing events and containers in real time. Many This article describes the disruptions that urban
942 Transportation Systems, Vulnerability

transportation systems in the United States have Hurricane Katrina, a Category 4 hurricane that
faced over the past decade, the impact that such struck New Orleans and the Biloxi-Gulfport met-
crises have had on each city, and how cities have ropolitan area in August 2005, was the most dis-
effectively responded to these challenges. ruptive of the crises listed in Table 2: Highways,
railroads, bridges, and airport terminals sustained
The Impact of Disruptions on Transportation significant structural damage from coastal flood-
Urban transportation systems are vulnerable to ing and wind gusts, and the port of New Orleans
disruptions, encompassing the predictable and was shut down for weeks. Transportation net-
unpredictable, natural and human-made. Table 1 works in the Houston, Texas, and New York City
summarizes recent crises that have generated short- metropolitan areas also felt the impact of destruc-
term and long-term disruptions to roads, bridges, tive hurricanes in 2008 (Ike) and 2011 (Irene),
subway systems, railroads, and airports in cities respectively, as each of the storms also resulted in
where transportation systems experienced severe major structural damage to bridges and railroads
impacts. With the exception of the two human- and long-term suspensions in services and road
made, foreseen “crises,” each of these incidents closures. The complexity of hurricanes, which
resulted in fatalities; all had a significant impact have the potential to generate life-threatening
on the normal flows of people and goods across coastal and inland flooding, tornadoes, strong
the metropolitan area. The level of impact that wind gusts, and flying debris, place transporta-
each incident had on the multimodal transporta- tion networks and, more important, human lives
tion systems of each of these afflicted regions is at a particularly high level of risk relative to other
summarized in Figure 1. natural disasters.
Because of the unpredictable intensity of
extreme weather events, transportation systems Preparing Transportation Systems
are especially vulnerable during natural disasters. When a critical transportation link is unexpect-
Although hurricanes and blizzards can be forecast edly suspended or severed, cities with a complex
well in advance, a significant impact on critical network of secondary roads or less frequently
infrastructure is often inevitable; the complexity of used means of travel are better equipped to adapt
such storms and the potentially deadly conditions to short-term and long-term shocks. For example,
associated with them pose serious challenges for some unanticipated disasters may significantly
emergency management and transportation agen- damage or disrupt at least one critical mode of
cies. The January 31, 2011, blizzard that struck transportation that residents and commuting
Chicago may not have caused structural damage workers are highly dependent on, forcing travel-
to transportation infrastructure, but it did cre- ers to utilize less affected modes. In 1994, some
ate life-threatening conditions, with hundreds of Los Angeles area freeway commuters were able
vehicles and buses stranded on Lake Shore Drive to shift to Metrolink commuter rail after sections
during the height of the storm, highlighting the of Interstate 5, Interstate 10, and major arterial
challenges that cities face in protecting residents’ roads were damaged and in need of major recon-
safety even when natural disasters are anticipated. struction following the Northridge earthquake.
In the New York area, mass transit services were

Table 1 Recent U.S. crises with short- and long-term disruptions to transportation

Foreseen Unforeseen
2005: Hurricane Katrina (New Orleans) 1994: Northridge earthquake (Los Angeles)
Natural
2011: January 31 blizzard (Chicago) 2007: California wildfires (San Diego)
2005: Transit strike (New York) 2001: September 11 (New York and Washington)
Human-made 2011: “Carmageddon” (Los Angeles) 2003: Electrical blackout (New York)
2007: Bridge collapse (Minneapolis)
 Transportation Systems, Vulnerability 943

suspended after the September 11, 2001, terrorist five-day strike by transport workers in New York
attacks and the 2003 northeast blackout, leading City resulted in a system-wide shutdown of all
over 150,000 Manhattan commuters to use the subway and bus services operated by Metropoli-
region’s network of ferries, which did not experi- tan Transportation Authority (MTA), forcing the
ence a major disruption from either incident and city to employ contingency plans to manage the
served as a vital contingency during such crises. anticipated congestion, such as restricting traffic
Even though disasters in Los Angeles and New entering Manhattan to high-occupancy vehicles
York City disrupted the primary means of trans- (HOV) only. NY Waterway and the Staten Island
portation within the metropolitan area, the multi- Ferry played a major role as alternative means of
modality of transportation infrastructure greatly transportation once again, but many New Yorkers,
contributed to the resiliency of each city’s system particularly from the city’s most populous borough
following such unforeseen disruptions. of Brooklyn, chose to walk or bike to work: Pedes-
In addition to the natural and human-made trian volumes on the Brooklyn Bridge during the
disasters already discussed, a third type of cri- strike were over 20 times higher than average.
sis has also recently affected transportation sys- In July 2011, a weekend shutdown of a key
tems in the nation’s two largest cities. In 2005, a Los Angeles artery (Interstate 405) because of

Roads Subway/
Impact of Disasters on (Cars, Trucks,
Heavy
Light Air Water
Rail
Transporation Systems and Buses) Rail

Northridge Earthquake, Los Angeles (1994) !

September 11, New York and Washington (2001) ! ! !

Northeast Blackout, New York (2003)

Hurricane Katrina, New Orleans and Biloxi (2005) ! ! N/A !

Transit Strike, New York (2005)

I-35W Bridge Collapse, Minneapolis (2007) !

California Wildfires, San Diego (2007)

January 31 Blizzard, Chicago (2011) !

“Carmageddon,” Los Angeles (2011)

Roads Subway/
Heavy Air Water
(Cars, Trucks, Light
Rail
and Buses) Rail

! Severe impact (structural or significant damage and/or life-threatening conditions)

High Impact (minimal or no damage; long-term, system-wide suspensions/closures, that is, more than 24 hours)
Moderate Impact (minimal or no damage; short-term with some long-term, isolated suspensions/closures)
Low/No Impact (minimal or no disruption in services or infrastructure)

Figure 1 Recent U.S. crises and their level of impact on transportation

Sources: U.S. Deptartment of Transportation, National Transportation Safety Board, New York City Deptartment of Transportation,
Associated Press, New York Times, San Diego Union-Tribune, Los Angeles Times, and the Chicago Tribune.
944 Transportation Systems, Vulnerability

Case Study: Identifying Vulnerable Transportation Infrastructure in New York City

New York City’s vulnerability to a hurricane became remains very low, Hurricane Irene in 2011
increasingly evident following Hurricane Irene in demonstrated that there is precedent for a less
2011: Coastal flooding has the potential to create potent but still potentially disruptive storm. New
significant disruptions in the city’s vast network York City’s subway system is particularly vulnerable
of streets, bridges, highways, subway stations and to disruptions and power failures caused by
tracks, and railroads. Using the National Oceanic flooding that have previously led to system-wide
and Atmospheric Administration’s (NOAA) Sea, shutdowns. Some subway stations in Zone 1 storm
Lake, and Overland Surge from Hurricanes (SLOSH) surge areas are at risk for coastal flooding in the
coastal flooding model, emergency managers event of a Category 1 hurricane.
can identify the most vulnerable transportation In addition, many streets in the most vulnerable
infrastructure that will require special attention and neighborhoods for coastal flooding may also be
preparations in the event of such a disaster. rendered impassable during a Category 1 hurricane.
To identify vulnerable infrastructure, emergency For example, in southern Brooklyn, corridors such
managers and transportation agencies can use as Avenue X, Neptune Avenue, and Ocean Parkway
publicly available data on storm surge inundation in Brighton Beach and Sheepshead Bay could
zones based on the SLOSH model from the New become impassable because of street flooding.
York State Office of Emergency Management, Because of the widespread disruption that
simulating the coastal flooding impact of hurricanes hurricanes are likely to have on transportation
of varying intensities on the New York City systems, emergency managers are increasingly
metropolitan area. Using Geographic Information employing proactive strategies and tools not only
Systems (GIS) software, vulnerable infrastructure to identify vulnerable infrastructure and facilities,
can be identified by overlaying projected storm but also to assist with evacuation planning and
surge data with the locations of subway stations storm preparations. This application of storm
and streets and using the intersect tool to segregate surge modeling in identifying the vulnerability
stations and streets that would be affected by of transportation systems in New York City is an
coastal flooding. example of one tool that can be used to effectively
Though the probability of a major hurricane prepare for the potentially devastating impact of
(Category 3 or higher) striking New York City hurricanes in coastal cities.

construction prompted local officials, fearing public outreach, emergency managers and plan-
widespread traffic congestion, to warn residents, ners can mitigate the impact of such crises on a
by using social media and public service announce- region’s transportation system well in advance by
ments, against driving while encouraging the use alerting travelers of where and when disruptions
of alternative means of transportation: Many resi- occur and what other modes of transportation
dents heeded the message, as weekend ridership can be utilized contingently.
on the region’s MetroLink commuter rail network Disasters have the potential to affect all modes
set records, while the impact on traffic elsewhere of transportation. Cities have also taken measures
in the city was not as significant as anticipated. to identify the most vulnerable infrastructure and
These planned, human-made disruptions in facilities to determine where to invest in storm
each city’s transportation system demonstrate the preparations, enhance resiliency of infrastructure
important role of communication in facilitating to potential disasters, allocate resources to assist
traffic flow when a vital method of transportation in evacuation planning, and declare closures of
is disrupted. By using social media and smart- roads, bridges, tunnels, and transit stations to pro-
phone applications as well as traditional means of tect the safety of residents and travelers. Given the
 Trauma 945

destructive impact of hurricanes such as Katrina, Management and Operations: Cross-Cutting

Andrew, and Ike, state, local, and regional agen- Study.” Washington, DC: DOT, January 2003.
cies in vulnerable coastal cities have published U.S. Department of Transportation (DOT). “Effect
resource guides for transportation and emer- of Catastrophic Events on Transportation System
gency management that overlie storm surge risk Management and Operations: Northridge
data using geographic information systems (GIS) Earthquake—January 17, 1994.” Washington,
software with the locations of streets, highways, DC: DOT, April 22, 2002.
bridges, and hospitals to identify the most at-risk
areas in the event of a hurricane. These proactive
measures can be effective in preparing for the dev-
astating impact that such disasters can have on a
region’s vulnerable transportation systems. Trauma
Mitchell L. Moss Crises occur quickly and unexpectedly. They
Carson Y. Qing comprise of components of threat and surprise,
New York University which produce stress and thereby cause subse-
quent distressing reactions in survivors. Crises
See Also: Air Travel; Evacuation; Hurricanes, are also marked by high levels of potential danger
Typhoons, and Cyclones; Marine Shipping; (such as loss of life) and fast actions by public
Marine Travel; Terrorism; Tornadoes and Severe officials to counteract any potential threat that
Thunderstorms; Transportation Security. may arise from the crisis. These potential dangers
are unanticipated events that throw off the every-
Further Readings day patterns of life. The very nature of crises pro-
Chan, Sewell. “Why the Subways Flood.” New York duces conditions that may lead to physical and/
Times (August 8, 2007). or psychological trauma. Conceptually, trauma is
Florida Statewide Regional Evacuation Study any psychological or physical injury that requires
Program. Storm Tide Atlas, Vol. 7–11: Miami– immediate or long-term professional help. Con-
Dade. Florida Division of Emergency Management sequently, many individuals who encounter a cri-
and South Florida Regional Planning Council, sis must seek professional treatment from trained
2012. crisis management counselors who have the abil-
Ford, Liam. “Work to Make Lake Shore Drive Safer ity and talent to work effectively with people who
in Blizzards, Emergencies Will Start Monday.” have experienced trauma as a result of a crisis.
Chicago Tribune (October 28, 2011). For individuals affected by a crisis, the events
Glahn, B., A. Taylor, N. Kurkowski, and W. Shaffer. produce a flood of emotions that may cause direct
“The Role of the SLOSH Model in National physical harm. Oftentimes, in the aftermath of a
Weather Service Storm Surge Forecasting.” crisis, individuals find themselves in a situation
Meteorological Development Laboratory, 2009. that is completely unanticipated and beyond their
Mather, K., A. Bloomekatz, and C. Saillant. “In previous experiences. If such emotional responses
‘Carmageddon’ Some See Road Map for the are not experienced and managed appropriately,
Future.” Los Angeles Times (July 19, 2011). ineffective coping mechanisms may occur, which
New York City Department of Transportation. “The then manifest themselves in negative long-term
2005 Transit Strike: Transportation Impacts and consequences that include post-traumatic stress
Analysis.” New York: NYDOT, February 2006. disorder (PTSD) involving depression. The condi-
U.S. Department of Transportation. “Effect tion of depression may inhibit personal recovery.
of Catastrophic Events on Transportation There are more favorable ways to cope with the
System Management and Operations: August uncertainty surrounding disaster situations and
2003 Northeast Blackout—New York City.” crisis that involve acceptance and lead to rebuild-
Washington, DC: DOT, May 2004. ing. Therefore, how people cope psychologically
U.S. Department of Transportation. “Effect of immediately following a catastrophic event can
Catastrophic Events on Transportation System influence how well they recover from the event.
946 Trauma

When an individual experiences a traumatic

Case Study: I-35W Bridge Collapse situation, he or she may react with both physical
and psychological symptoms. Common physi-
On August 1, 2007, at 6:05 p.m., an almost- cal symptoms are continued headaches, dizzi-
2,000-foot section of a bridge on I-35W fell into ness, fatigue or general loss of energy, elevated
the Mississippi River and onto roadways below blood pressure, and pain in the stomach, chest,
in Minneapolis, Minnesota. The collapse killed joints, and muscles. Victims of crisis often attri-
13 and injured 145 others. This north-south bute experienced physical symptoms to exposure
bridge connected the Minneapolis neighborhoods to toxic substances, such as seen after the Sep-
of Downtown East and Marcy-Holmes. Despite tember 11 terrorist attacks, or to medications
being under renovation, the bridge was packed administered to them during crisis recovery.
with rush-hour traffic. With an estimated 100 The result of these physical problems can
vehicles on the bridge, the concrete and steel lead to social unrest and amplification of the
bridge buckled suddenly under the weight of heavy health problems or a rise in psychological prob-
traffic. The high levels of traffic at the time of lems. Often, such post-crisis physical issues
the collapse resulted in dozens of vehicles falling are described as medically unexplained physi-
with the bridge and nearby individuals scrambling cal symptoms (MUPS). Responses to traumatic
for safety. This type of crisis can be classified symptoms can be positive or negative and can be
as a technical-error accident, or a breakdown in minor, such as pacing, topic avoidance, and tem-
infrastructure. Such crises can cause both physical porary withdrawal, or severe, such as substance
and psychological harm. The media spectacle of abuse, violence, or suicide.
the bridge collapse was replayed on television In order to recover from a traumatic event,
news throughout the evening across the country several coping mechanisms can be used by those
and for days locally in Minnesota, along with the involved. Coping is simply a reaction to a trau-
video of a school bus filled with children that had matic stressor (such as a crisis) that requires
slid down the embankment as the bridge failed. mobilization and excludes automatized behav-
Over the course of five days following the bridge iors and thoughts, which do not require effort. It
collapse, 166 questionnaires were collected refers to the thoughts and behaviors people use
from Minneapolis residents. The study examined to manage the demands of stressful transactions.
the coping strategies of individuals and the Certain personality characteristics such as self-
subsequent results of those strategies. The goal esteem, optimism, and perceived self-control have
of the study was to examine how people cope in been proven to be valuable coping resources of
the aftermath of an infrastructure breakdown and trauma reduction.
to use those results to aid recovery workers and Unfortunately, some crisis events are so severe
inform emergency practitioners on how to prepare they cause victims to relocate. Research findings
to meet the needs of the general population in support the belief that relocation can be a factor
such an event. The self-report questionnaire was in coping with the stress of a crisis. For example,
used to address the emotional state and coping children relocated after a cyclone in Australia
behaviors of local residents. The study found experienced academic difficulties. In comparison,
that emotional distress in the period immediately in two communities requiring massive relocation,
after the collapse was related to the endorsement one resulting from a tornado and one from a flood,
of a number of coping strategies. Specifically, individuals experienced post-traumatic stress dis-
women reported experiencing higher levels of order. Although PTSD was found to diminish
psychological distress than men and endorsed over time, the initial required relocation because
thinking and seeking information about the event of the crisis created high levels of PTSD. Research
more than men. Regardless of gender, thinking suggests that one mediating variable that appears
about the crisis was associated with a decrease in to influence how well individuals adjust to stress-
feelings of fright between the initial period after ful situations is the type of coping strategies they
the crisis and several days after the event. utilize. Several strategies exist to help reduce the
post-crisis trauma.
 Trauma 947

Information Seeking creating a feeling that the individual has some

After a crisis, individuals experience high levels control in the situation. Simple acts such as boil-
of uncertainty. In a time of crisis, uncertainty can ing water have been shown to help individuals
motivate individuals to engage in information reduce psychological stress in the aftermath of a
seeking. People seek information from the sources crisis, even when the promoted act is not likely
immediately available and attempt to update to reduce susceptibility to a risk. Further, differ-
their knowledge and understanding of the crisis. ent emotions are characteristic of different action
Research in social psychology posits that individu- tendencies. This also may be related to locus of
als are fundamentally motivated to seek resolution, control. For example, individuals who possess a
certainty, and the return of predictability to their sense of control or mastery over life (an internal
surroundings. The need to seek information for locus-of-control orientation) are more likely to
the purpose of reducing uncertainty is especially engage in action. Two types of efficacy are impor-
strong during a crisis when the potential outcomes tant in coping after a crisis: they are self-efficacy
may be extremely harmful and, for the most part, and response efficacy. Response efficacy is a per-
uncontrollable. Obtaining information facilitates son’s belief that the coping measure will work and
further remedial processes. Lack of information be helpful; self-efficacy is the person’s belief that
may produce high levels of uncertainty, a feeling he or she has the ability to complete the suggested
of loss of control, and associated stress The simple response. The belief that suggested actions will
act of obtaining information can allow individuals work, and that the person may engage in those
to view the way others behave during the event, actions, allows individuals to begin to overcome
allowing them to know that others are experienc- issues of psychological and physical trauma.
ing the tragedy with them. This assures people
that they are not going through the tragedy alone. Communication
Communication research has indicated that dur-
Faith ing a crisis, individuals are likely to engage in
The beneficial role of perceived spiritual support increased interpersonal communication interac-
that one that derives from using faith to cope in tions in order to further alleviate negative affec-
a variety of circumstances is well documented. tive experiences. Research on responses to 9/11
Although faith serves a world-maintaining function provided strong support for the importance of
in everyday life, it is particularly helpful in provid- interpersonal communication in the information
ing answers when everyday understandings of real- exchanges used for coping. A substantive body
ity are called into question by crisis events. After of research in the communication and psychol-
the September 11 terrorist attacks, it was found ogy literature has lent support to the notion that
that individuals with varied backgrounds turned to interpersonal exchanges are critical in the coping
prayer to cope. Often, when events are uncontrol- process of crisis response. Simply the act of talk-
lable or not easily accepted or understood, people ing to others can reduce psychological stress, or
turn to belief in some kind of higher power for sup- asking others for specific help with physical prob-
port. In times of crisis, people view faith as a com- lems can lead to a sense of recovery.
forting and controlling mechanism they can use to
manage the situation. This may also be correlated Gender Differences
with the notion of a locus of control. The positive Differences in gender may also have an influ-
role of faith is so well known that government and ence on coping strategies. Women and men
nonprofit emergency response agencies often part- apply different mechanisms of stress reduction
ner with faith-based institutions in order to ensure when performing the same activity. Men have
the faith needs of crisis victims are met immedi- been found to use strategies involving increased
ately after an extreme event. self-control, which involve the inhibition of dis-
plays of personal feelings, whereas women used
Self-Efficacy increased positive reappraisals. Men more often
An individual’s ability to take action during the report controlling their emotions, accepting the
crisis brings about a sense of empowerment, thus problem, avoiding rumination, and engaging in
948 Triage

problem-solving efforts. In particular, research on Steinglass, P. and E. Gerrity. “Natural Disasters

crisis response suggests that women may be more and Post-Traumatic Stress Disorder: Short-Term
inclined toward information seeking in times Versus Long-Term Recovery in Two Disaster-
of crisis. There is also evidence to support that Affected Communities.” Journal of Applied Social
women find the events of displacement after a cri- Psychology, v.20 (1990).
sis more traumatic, while demonstrating greater Thoits, P. A. “Stress, Coping, and Social Support
flexibility in their ability to adapt to new locations Processes: Where Are We? What Next?” Journal of
and appraise survival strategies. A greater inclina- Health and Social Behavior, Extra Issue (1995).
tion by women to seek social support, engage in
activities as a distraction, and turn to prayer is
preeminently consistent across studies.

Patric R. Spence Triage

University of Kentucky
Jennifer A. Burke When faced with a large number of casualties and
Strayer University limited medical resources, it is necessary to deter-
mine the priority of patients’ treatments based on
See Also: Agency Notification and Mobilization; the severity of their condition.
Coping Capacity and Response Capability; Decision This process is called triage, and it is appropri-
Making Under Stress; Evacuation; Journaling; Mass ate in cases of disaster when most medical systems
Media; Post-Traumatic Stress Disorder; Preparedness; cannot always supply options in order to cope
Refugees and Forced Migration; Resiliency; with the emergencies. Medical triage in disaster
Vulnerable Populations. situations is a process that determines the order
of priority medical treatment and evacuation in
Further Readings such a way as to achieve a perfect use of facilities,
Burke, J. A., P. R. Spence, and K. A. Lachlan. ensuring the best chances of survival to a large
“Crisis Preparation, Media Use, and Information number of casualties.
Seeking During Hurricane Ike: Lessons Learned
for Emergency Communication.” Journal of History
Emergency Management, v.8 (2010). Triage—medical triage in disaster situations—
Endler, N. S. and J. D. A. Parker. “Multidimensional is the process of deciding how seriously ill/sick
Assessment of Coping: A Critical Evaluation.” or injured a person is, so that the most serious
Journal of Personality and Social Psychology, cases can be treated first. The term comes from
v.58 (1990). the French verb trier, imposed by Dominique
Folkman, S., R. S. Lazarus, R. Gruen, and A. Jean, Baron Larrey (1766–1842), a military sur-
DeLongis. “Appraisal, Coping, Health Status, and geon under Napoleon (who also described in his
Psychological Symptoms.” Journal of Personality work things such as the type of hip amputations
and Social Psychology, v.50 (1986). needed in situations of war, the condition known
Rubonis, A. V. and L. Bickman. “Psychological as trench foot, and the term stretcher-bearer).
Impairment in the Wake of Disaster: The Disaster British surgeon John Wilson proposed in 1846
Psychopathology Relationship.” Psychological using different types of treatments to be consis-
Bulletin, v.109 (1991). tent with the chance of survival, thus inspiring
Spence, P. R., K. A. Lachlan, and J. M. Burke. categories of treatments on levels of triage. Mili-
“Adjusting to Uncertainty: Coping Strategies tary medicine over the years had a significant
Among the Displaced After Hurricane Katrina.” impact on the development of medical triage. The
Sociological Spectrum, v.27 (2007). difference in doctrine between the two types, civil
Spence, P. R., L. D. Nelson, and K. A. Lachlan. and military triage, lies in the strategies of the two
“Psychological Responses and Coping Strategies entities, the war, and the need to have fighters in a
After an Urban Bridge Collapse.” Traumatology, very short time with the aim of assisting as many
v.16 (2010). victims as possible.
 Triage 949

Definition and Methods ranking the different emergencies. Establishing

Triage is a formal system used to identify, classify. such a ranking system had been considered by
and treat victims according to their severity of many different medical professionals. Consider-
suffering. Under the guidance and goal of disas- ations were primarily medical, seeking to achieve
ter medicine, it offers a chance to be saved to as better and more effective health care. With the
many people as possible. development of emergency medical facilities and
Triage is a true race against time, operating the introduction of ambulance services that offer
under the utilitarian rule that governs emergency facilities comparable to a hospital, not to mention
and disaster medicine: the greatest good for the air medical transport (ambulance helicopters and
greatest number of people. This rule is justified planes), the economic aspect became a prevail-
only in clear need of the public good in crisis situ- ing factor. Using more precise codes to provide a
ations. Triage consists of the following elements: streamlined approach in the emergency action, on
one hand, and supplying the most comprehensive
• Rapid assessment of victims information, on the other, would soon prove to
• Assessing the severity of injuries and their be a necessity.
consequences on the victim’s vital functions Triage is used to determine the priority of treat-
• Categorization of victims ment, taking into account the resources available
• Resuscitation, stabilization, and safe at the time and the type of event, which may range
conditions of transport from accidents with a number of victims exceed-
• Targeting the correct evacuation of victims ing the capacity of the existing medical resources
• Creating a dynamic, continuous, and to accidents or attacks of biological, chemical, or
progressive process nuclear nature. The underlying principles of tri-
age are universal, the difference in methodologies
Medical examinations should be simple maneu- being strictly responses to the different types of
vers with the following criteria: events and the available resources.
In disaster medicine, the priority is the popu-
• As soon as possible, to not delay treatment lation taken as a whole and not the individual,
and disposal therefore choosing the best option for the great-
• Accurate, safe, and reliable est number of people. These triage categories are
• Meticulous; even if the clothing is not valid for international use, providing an efficient
removed, the examination will be a algorithm, increasing the chances of survival of a
complete process significantly higher number of victims than con-
centrating all resources on single individuals who
One of the most commonly used methods is to are the most severely injured.
examine using the MASS algorithm, as follows: The differences in the triage algorithm depend
on the existing situation. In the case of an acci-
• Move: search and rescue dent/attack of biological, chemical, or nuclear
• Assess: assess and analyze nature, the usual victim categorization (including
• Sort: decide triage category children) is overridden by the overall condition of
• Send: evacuate, decide where those involved.
Although it is a difficult task regardless of the
Targeting the correct evacuation of victims, nature of the event, triage is a task to be under-
implementing a medical intervention that deter- taken responsibly, without emotional involve-
mines the order of treatment and evacuation pri- ment, and making good use of all available knowl-
orities in such a way as to achieve a perfect use of edge, thereby increasing the survival chances of
existing facilities, will provide the greatest chances the highest possible number of individuals.
of survival for the greatest number of victims, thus Deciding which victims can wait, which require
accomplishing the goal of disaster medicine. immediate evacuation, and which have no chance
In developing processes for the emergency of survival, regardless of resuscitation means, is a
system, it became necessary to impose a way of decision to be made at the disaster site.
950 Triage

Such decisions are based on the result expected The purpose of quaternary triage is not to
after applying first aid and not on the severity of restrict and/or avoid risk increase in the form of
the victims’ injuries; in other words, this process active and professional monitoring. This is per-
is completely opposite to the day-to-day proce- formed in the preoperative area, by an anesthesiol-
dure that requires medical aid to be granted to all ogist or/and intensive-care professional, based on
patients, whatever their chances and prognoses. his or her higher degree of freedom of action and
Triage is a continuous process performed at specialist knowledge. This triage stage can change
the disaster site (first level), a second-level triage the priority ranking of a victim and should pre-
being performed upon leaving the site, and a third- vent the occurrence of unexpected complications.
level triage carried out at the hospital, where the
injured are transferred between different hospi- Triage: Key Points
tal departments. At the hospital, in the operating The lack of adequate resources, the high number
room, a fourth-level triage is performed. of victims, and unexpected aspects are limiting fac-
Primary disaster triage is based on physio- tors in triage. The unexpected aspects refer to the
pathology: (1) how well and for how long will disruption of daily life patterns and the necessity
the victim continue to use all of his or her own of adapting existing means to unusual situations
resources to maintain homeostasis and (2) which and methods. Triage should be dynamic, continu-
victims will benefit most from the resources avail- ous, progressive, and adaptable to changes both in
able at the time. the needs of victims and the need/use of resources.
Secondary triage is a means of measuring the
strength of the victim and anticipating the victim’s Triage at the Disaster Site
needs. It includes the following: At the disaster site, there should be a doctor
together with a medical team who should exam-
• Reviewing physiopathology ine all the victims and perform triage. The first
• Re-evaluating the victims’ physical suffering aid team will be involved in setting out the docu-
• Initial treatment and monitoring patient ments that will accompany victims during trans-
response to treatment port to ensure communication with the hospitals
• Perfect awareness of available resources and receiving the casualties.
of those who are to come The first task of the doctor arriving at the scene
is to determine the extent of the disaster, possibly
Secondary triage has the aim to identify the fol- with the help of witnesses. He or she must manage
lowing categories of patients: communication and cooperation with the ambu-
lance services, the hospitals receiving casualties,
• Victims who need supportive treatment for the civilian authorities, the Red Cross, the army,
their vital functions that can be delivered and any other organization that can provide emer-
only in the hospital gency aid (such as the civil society). Subsequently,
• Victims who need supportive treatment for the first aid team must identify victims who need
their vital functions that can be delivered at medical help and direct them to a treatment center.
the scene of the disaster site Treatment at the scene of the disaster will be limited
• Victims whose injuries do not involve to measures aimed at maintaining basic life func-
vital functions, but who are at risk of tions. If the number of victims exceeds the capac-
complications ity of intervention of the first aid team, the medic
• Victims with minor injuries in charge of triage will call on a mobile medical
unit. If casualties are extremely high and resources
The purpose of tertiary triage is to optimize are insufficient, the medic at the scene will be faced
individual results for with each victim. It includes with an unusual but indispensable procedure, that
(1) reassessing the patient, monitoring and deliv- is, deciding which of the victims have a chance of
ering advance treatments; (2) subsequent reevalu- survival if treated and separating the ones without
ation of health care resources; and (3) determin- any hope of survival. All deceased individuals will
ing the best solution for definitive treatment. be subject to a post-disaster forensic examination
 Triage 951

and a medical certificate will be issued at that • Serious bleeding and blood loss over 1 liter
stage so as to avoid the first medical response unit • Unconsciousness
having to deal with such matters. • Thoracic perforations or severe abdominal
injuries
Triage Methodology • Severe fractures of pelvis, thorax, or
In all possible cases, all victims should be identi- cervical vertebrae, and fractures or
fied at the time of triage. One of the most used dislocation that impedes the pulse
methods, inspired by the Laerdal Group work, • Serious commotions
uses customized labels with different colors for • Burns followed by complications with the
the victims, depending on the seriousness of inju- respiratory tract
ries and evacuation priority.
Yellow label: The yellow label determines second-
Red label: The red label corresponds to the high- priority evacuation and involves victims who need
est priority of evacuation and is reserved for vic- medical help but whose life is not in immediate
tims who need immediate help for the following danger for the following reasons:
reasons:
• Second-degree burns on more than 30
• Respiratory problems that cannot be solved percent of the body
on the spot • Third-degree burns on 10 percent of the
• Confirmed cardiac arrest body

A wounded Haitian man arrives at a medical triage processing center in Port-au-Prince, Haiti, via a U.S. Navy Sea Hawk helicopter
during Operation Unified Response, January 23, 2010. During the response to the January 12 earthquake, medical access points across
the city were staffed by various agencies. With limited resources and an overwhelming need, medical teams were forced to make life-or-
death decisions for critical patients every day, many of whom had conditions and illnesses not related to the earthquake.
952 Triage

• Third-degree burns in critical places such lesions, chest injuries, or head injury
as hands, feet, and face, but without involving uncovered brain tissue and
respiratory complications accompanied by unconsciousness
• Burns complicated by severe soft tissue • Skull injuries accompanied by major
injuries or minor fractures fractures
• Moderate bleeding (from 500 to 1000 ml) • Brain or spinal cord injury with no
• Lesions with or without touching the dorsal sensation and motility
spine • Serious injury victims over 60 years of age
• Victims with cerebral skull lesions (severe
enough to cause a subdural hematoma Blue label: In recent times, the modernization of
or confusion) characterized by leakage of emergency medicine and intensive care as well as
cerebrospinal fluid through the nose or logistics has meant that triage has become more
ears, epistaxis, or otoragie; rapid increase accommodating in the sense of not condemning
in systolic blood pressure; vomiting in jet; a category of victims to certain death, which can
changes in respiratory rate; bradycardia sometimes be very difficult to accept. As a natural
in 60/minute, swelling or suborbital consequence of such developments, a new color
hematoma; anizocorie pupil; collapse; or label was created: the blue label.
zero or low motor response or reactions at The blue label is for victims who would, in
low sensory stimulus (profound stupor) normal circumstances, be categorized with a
black label but because of additional resources
Green label: The green label marks third-priority becoming unexpectedly available, have a chance
evacuation and involves victims whose injuries to survive. Given that the difference between the
are minor and who do not require special care for victims marked with red labels and those marked
the following reasons: with black labels is very small, in such circum-
stances where the extent of the disaster is lesser
• Fractures of fingers or teeth and the intervention forces are sufficient, blue-
• Excoriation or bruises label victims will also be evacuated. Therefore,
• Minor burns the last remaining ones to be evacuated will be
• Degree burns up to 15 percent of the body those who have absolutely no chance or the
• Third-degree burns on about 2 percent of deceased.
the body START-type triage also uses five categories of
• Degree burns covering more than 20 victims. It uses means of investigation that are
percent of the body except the hands, feet, basic and convenient, such as the following:
and face.
• Presence of breath: simple observation and
Black label: The black label is reserved for deaths counting of respiratory frequency-threshold
or fatal injuries and those without hope. Dead vic- value-30/minute
tims are defined as those who are not breathing and • Reperfusion speed: using capillary refill test:
have no pulse for at least 20 minutes and whose normal time > 2 seconds
condition does not allow for continuing resuscita- • Mental quality by examining the mental
tion techniques. This label is also applied to the status of the victim: the AVPU scale (Alert,
following categories of victims without hope: Voice, Pain, Unresponsive): the victim is
alert, responds to verbal stimuli, responds
• Second- and third-degree burns covering only to painful stimuli, or no answer.
more than 40 percent of the body regarded
as hopelessly fatal The SMART type triage involves the following
• Second- and third-degree burns covering five steps:
more than 40 percent of the body • Step 1: The medic in charge or the
accompanied by major injuries such as individual in charge should ask all
important fractures, major cerebral skull individuals who can move to go to a
 Triage 953

predesignated area, where possibly a • T4: victims with unstable vital signs and
secondary triage would be under way. who have decreased chances of being saved
All such ambulatory patients are initially under disaster conditions. However, as
designated in the green category. usually it is very difficult to characterize
• Step 2: Victims are consulted and/or a victim as without a chance, recent
observed as they are brought/found, triage methods have qualified this triage
observing the presence or absence of categorization, referring to the blue-label
spontaneous breath. If breathing, go to Step category under which such victims can get
3. If the victim has apnea, he/she is placed in help if local conditions and resources allow.
the safety side position and the upper airway
opened by lifting the jaw/triple maneuver. This classification is justified for obtaining
If the victim is still in apnea after 1 minute, maximum effectiveness, as it is reasonable to pro-
he/she should be given the black label. If the vide maximum resources so lives can be saved and
victim starts to breathe spontaneously, he/ to differentiate the victims without a hope from
she should be given the red label. those already deceased. Chemical and nuclear
• Step 3: Observe respiratory rate. If the rate accidents and incidents require a change in triage
is 30 or higher, proceed to step 4. If it is less methodology imposed by the specific aggression.
than 30, the victim is designated with a red In the case of nuclear accidents there is the neces-
label. sity of physical decontamination; this separates
• Step 4: Observe capillary refilling time. If the victims based on those irradiated and those not
the refill time is 2 or less, proceed to step 5. irradiated. Chemical accidents, impose the prob-
If the refill time is less than 2, the victim is lem of neutralizing the agent. Both raise the issue
designated with a red label. of removing victims from the active outbreaks, so
• Step 5: Observe mental status by giving triage is performed in ad hoc structures.
simple commands .If the victim is capable
of performing such commands, he/she Dan Manastireanu
should be labeled yellow. If that is not the Titu Maiorescu University
case, the label will be red.
See Also: Emergency Medical Care; Emergency
Severity Factor Medicine; Emergency Responders; Health and
Categorized by severity factor, emergencies can be Medical Response Scenarios; Hospital Emergency
classified in the following categories: Room; Mass Care; Surge Capacity, Hospitals.

• T1: victims requiring immediate life Further Readings

support, which is sometimes called the Chang, P., et al. The Development of Intelligent,
“golden hour”; this category of victims Triage-Based, Mass-Gathering Emergency
requires immediate hospitalization. Medical Service PDA Support Systems. New
• T2: victims requiring medical attention in York: Lippincott Williams & Wilkins, 2004.
a maximum of 4 to 6 hours (also called the Conan, Neal (Host). “How the Ethics of Triage Play
Friedrich period). Out in Haiti.” NPR Radio (February 10, 2010).
• T3: victims showing stable vital signs but http://www.npr.org/templates/story/story.php
who have injuries that require medical ?storyId=123570227 (Accessed August 2012).
attention. This category does not require Iserson, K. V. and J. C. Moskop. “Triage in Medicine,
hospitalization, but their monitoring is Part I: Concept, History, and Types.” Annals of
extremely important, as such victims can Emergency Medicine, v.49/3 (2007).
develop conditions that have not been Jonsen, A. and K. Edwards, “Resource Allocation.”
previously diagnosed, require that such In Ethics in Medicine, University of Washington
victim’s transition from one category to School of Medicine. http://eduserv.hscer
another. This may be because of an increased .washington.edu/bioethics/topics/resall.html
level of severity of distress/suffering. (Accessed May 2012).
954 Trigger Events

Kahn, C. A., et al. “START Triage Does Work? An Internal triggers originate from within a cor-
Assessment Outcomes After the Disaster.” Annals poration or community; examples include such
of Emergency Medicine, v.54/3 (2009). events as a failed system change request (SCR)
Lerner, E. B., et al. “Use of SALT Triage in a not being fully vetted for impacts or a worker
Simulated Mass Casualty Incident.” Prehospital mishap because the worker didn’t follow the rules
Emergency Care, v.14/1 (2010). for a specific procedure.
Noji, E. K. “Disaster Medical Services.” In External triggers originate externally to the cor-
Emergency Medicine: A Comprehensive Study poration and community that neither has control
Guide, J. E. Tintinalli, E. Ruiz, and R. L. Krome, over and that did not originate with them. These
eds. 5th ed. New York: McGraw-Hill, 2000. would be such things as earthquakes, floods, hurri-
Romig L. “The Pediatric MCI Triage Tool canes, tornadoes, and tsunamis, to name but a few.
JumpStart.” (2008). http://www.jumpstarttriage The threat of a potential trigger event should
.com/JumpSTART_and_MCI_Triage.php (Accessed initiate the implementation of activities that
February 2008). help mitigate the threat and/or the impact of the
World Health Organization Regional Office for the potential crisis. A crisis management team (CMT)
Western Pacific. “Factsheet: Care of the Dead in may implement safety measures for an impending
Disasters.” http://www.wpro.who.int/mediacentre tornado warning by alerting the community to be
/factsheets/fs_20061207/en/index.html (Accessed watchful and prepared in the event the tornado
May 2010). occurs. Though it has not occurred yet, the tor-
nado has already triggered specific activities.
They are two kinds of trigger events: immedi-
ate and delayed. The threat of a flood can trig-
ger precautionary measures to be implemented
Trigger Events and thus, it is an immediate event. Fires, floods,
and earthquakes don’t come with much warning
To understand what a “trigger event” is, one must and thus are immediate trigger events. When they
first define it. A trigger event is “any event that occur, there is an immediate need to implement a
sets a course of action in motion or an event that response strategy because a delay can cause loss
precipitates other events.” Using this definition, of life and property. There is no discussion about
trigger events can relate to just about anything what to do, but rather trained personnel respond
that has potential to harm a corporation, a com- into action at the outset of the disaster.
munity, or the public at large. However, some trigger events aren’t seen at all
A trigger event can necessitate that a series because they happen with no one—or very few—
of activities be implemented over time and— even knowing that they occurred. For example,
depending on the situation—can also create other an information technology (IT) change may have
responses. For example, the activation of a con- been made and only known by the individual mak-
tingency plan because of a system outage can ing the change; from their perspective, no impact
have financial implications: fines might be imple- is found. It is not a trigger event in this case. How-
mented if the system isn’t restored in a timely ever, days later, another individual tries to gener-
manner. So the trigger event for the system out- ate a specific report but is unable to do so because
age can be the cut of a power line by a neighbor- the IT change didn’t implement as expected. Now
ing construction company, but the trigger event the IT change has become a trigger event, as inves-
for financial fines being applied is the inability to tigation and resolution activities begin, as well as
restore and recover the systems impacted. Trigger those that have to be performed by the group(s)
events are what cause crisis management teams awaiting the report to continue their own opera-
to implement contingency strategies based on an tions. Some may not even be known for some time;
appropriate response to the situation at hand. using the previous example, a report that is gener-
Trigger events can be internal or external and ated each month may be corrupted by the change.
can be created through human-made activities or But the change was done weeks earlier and thus
natural/environmental conditions. not noticed until such time. Now, at the end of
 Tsunamis 955

the reporting period, when systems are intended

to provide information, it cannot be done because
Tsunamis
the trigger event that occurred actually happened Over the last 10 years, a number of tsunamis have
much earlier than when it was identified. To miti- had a major impact not only upon the people
gate this so that a crisis does not occur, sufficient directly affected but also upon millions of people
change management processes should be in place. around the world who watched the events unfold-
Sometimes there are early warnings for pend- ing on their television screens. These include the
ing crises or disasters. For example, news reports Indian Ocean tsunami of December 2004, the
provide information on coming storms and strikes little-reported tsunami in Chile in 2010, and the
that could affect corporations and require them to Japan tsunami in 2011, with both its primary
activate some level of crisis management; storms effect of the flooding and the secondary effects on
will keep people away, productivity could go down two nuclear power stations. From a crisis man-
if there is no work-at-home plan, or deliverables agement point of view, how should we plan to
for projects could be impacted. Some are instanta- deal with this type of event?
neous in nature, such as explosion/fire, and imme- First, it is important to learn lessons from
diate responses and actions are required. Some are these events and to ascertain what worked well in
slow in nature to evolve into a crisis, which can emergency response plans and what went wrong
mean a delayed response or an untimely response. and why, then to look at current plans to see
A trigger event can be immediate or slow mov- what changes should be made, remembering to
ing, which means over time the small event esca- keep some degree of flexibility within the plan to
lates into something more substantial. The crisis ensure it is adaptable. By their very nature, tsuna-
management team needs to know how and when mis can affect areas thousands of miles from the
to escalate to manage the situation. There must earthquake or landslide that triggered the event.
be links to any incident-management approach so Early warning sites are on the Internet that
that while the situation is small, as it escalates, the have an automated notification system for low-
CMT or “disaster” team gets involved. lying coastal areas at risk from tsunamis. The
For crisis management, trigger events—both Pacific Tsunami Warning Center and RSOE
real and perceived—cause varying levels of reper- EDIS (Hungarian National Association of Radio
cussive activities to be initiated, with the intent of Disaster-Signalling and Infocommunications
reducing the impacts upon people, facilities, and Emergency and Disaster Information Service)
technology infrastructure. emergency alert maps are free, have very use-
ful information, and are continually updated to
A. Alex Fullick provide the latest information and should be an
Independent Scholar integral part of planning.
The major difference when dealing with the
See Also: Crisis, Definition of; Risk Analysis; Risk effects of a tsunami and an earthquake is not
Assessment. only the loss of infrastructure but also the loss
of normal landmarks after a tsunami. Even after
Further Readings an earthquake during which buildings have fallen
Barton, Laurence. Crisis Leadership Now. New York: into the streets, the local emergency personnel still
McGraw-Hill, 2008. know where they are, whereas after some tsuna-
Elliott, Dominic, Ethne Swartz, and Brahim Herbane. mis, so few buildings remain standing it becomes
Business Continuity Management: New York: far harder for emergency personnel to orient
Routledge, 2010. themselves, even on streets they may have known
Fullick, A. Alex. Made Again: Practical Advice for for years. Also, unlike an earthquake, where local
Business Continuity Programs. Vol. 1. Guelph, emergency services can start the recovery process
ON: StoneRoad, 2010. as soon as the quake has passed, after a tsunami
Fullick, A. Alex. Made Again: Practical Advice for there will be (as seen after the Japan tsunami)
Business Continuity Programs. Vol. 2. Guelph, water that comes ashore and inland for a long
ON: StoneRoad, 2011. period of time, making large populated areas
956 Tuberculosis

impossible to reach until after the water has sub- In short, the best way to handle this type of
sided. Only then will it be possible to move rescue incident is to remember that after the event, there
services into the affected area. will be limited resources of personnel, equipment,
It must remembered that there will be a loss and food. This is true in any crisis, but unlike most
of emergency equipment within the affected area; other types of events, water contamination will
any emergency vehicle that was not destroyed in affect most if not everything in the affected area.
the tsunami will have suffered water damage in Needed resources will have to be moved into the
both its fuel and electrical systems and will be area, and some form of logistics expertise is invalu-
unusable in the first few hours after the event. able as the incident develops. It must be remem-
There will also be a loss of power systems, and bered that many of the roads and bridges will have
it will be necessary to bring in mobile generators been destroyed or will need repair before those
both for lighting, depending on the time of the routes can be used. The major goal in recovery is
event, and to provide power to local emergency the saving of lives, after which it is dealing with
operations and casualty clearing centers. the recovery of the dead. There are two reasons
for this: first, it helps those who have survived to
Search and Rescue move on and come to terms with the loss of a loved
It should be remembered after an earthquake that one, and second, the proper disposal of the dead
is not accompanied by a tsunami that there will will help prevent disease, which in the long run can
be collapsed buildings within which there will be lead to more deaths than the event in the first place.
areas where victims may be trapped; there have
been many accounts of victims staying alive for Patrick Mcilwee
many days after an earthquake. However, in areas Business Continuity Institute
were a tsunami has come ashore, these voids will
be filled with water and the loss of life will be See Also: Early Warning Systems; Earthquakes;
high, depending on whether it is a village, town, Emergency Public Information; Evacuation; Multiple
or city. Some rescue teams found in the Japa- Disaster Problem; Search and Rescue.
nese earthquake that not even relatives of those
trapped were left at the scene after the tsunami. Further Readings
It is human nature for relatives of those missing Hungarian National Association of Radio Distress-
to search and help the rescue effort in the hope of Signalling and Infocommunications Emergency and
finding their loved ones. Disaster Information Service. “Emergency Alert
In Japan, it was noticeable that this did not Maps.” http://hisz.rsoe.hu/alertmap/index2.php
happen on the scale that would otherwise be (Accessed July 2012).
expected—the reason for this was that the rela- Pacific Tsunami Warning Center. http://ptwc.weather
tives of those buried were themselves missing. In .gov (Accessed July 2012).
such an environment, the focus of rescue moves
into recovery faster than anyone would like.
The reality of this type of crisis management is
that the damage done to properties and lives is
extreme. As can be seen in the many videos of Tuberculosis
the aftermath of both the Japanese and the Indian
Ocean tsunamis, which illustrate the effects on Tubercle bacillus (commonly called tuberculosis
the local communities, most of the impacted com- or just TB) is an infectious disease caused by the
munities were wiped away. A tsunami isn’t one microorganism Mycobacterium tuberculosis. TB is
big wave but can be many small waves that come a potentially serious disease that primarily affects
ashore, each one reinforcing the effect of the last, the lungs but can also affect the brain, kidneys,
destroying everything in its path., and once the liver, heart, and bones. Globally, TB is a major
water finally starts to recede, it takes hundreds cause of morbidity and mortality, affecting around
of tons of debris with it, including the remains of 1.7 billion worldwide. Annually, there are 8–10
victims, who may never be recovered. million new TB infections and 1.5 million deaths.
 Tuberculosis 957

Origins is Mycobacterium avium, which causes a TB-like

TB is an ancient disease dating back to at least disease common among AIDS patients, and the
4500 b.c.e. based on skeletal evidence from Neo- paratuberculosis species causes Crohn’s disease.
lithic Germany. The spines of Egyptian mummies
indicated TB infection dating back to 3000 b.c.e. Transmission
Through the centuries, many have speculated on Active and untreated TB of the lungs is contagious
the causes of TB. The first medical report of TB and can spread to others by the uninfected inhal-
is credited to Hippocrates (460–370 b.c.e.), who ing the species of bacillus through the aerosol-
called it phthisis (Greek for “consumption”). In ization (i.e., the person speaks, coughs, sneezes,
1882, German physician Robert Koch discovered laughs) of tiny droplets from an infected person.
the bacteria responsible for most types of tuber- TB can remain in the air for several hours. Even
culosis (Mycobacterium tuberculosis). In 1905, though TB is contagious, it is not easy to acquire
Koch won the Nobel Prize for this discovery. Koch because it is dependent on duration of expo-
assumed bovine and human TB were different, sure, ventilation, frequency of aerosolizations,
but scientists later proved otherwise, and milk has and pathogenicity of the strain. It is difficult to
since been pasteurized to remove one of the key acquire TB from casual interactions, such as shar-
infection routes by which humans acquired TB. ing drinking glasses or conversations. Commonly,
TB infection requires regular and prolonged close
Classification contact with a contagious person before becom-
The Centers for Disease Control and Prevention ing infected, such as from a coworker or living or
(CDC) classifies Mycobacterium tuberculosis at residing in the same place.
biosafety level three. It is considered a serious or
potentially deadly disease after inhalation and Incubation and Latent/Active TB
requires specific safety equipment and procedures After exposure, the incubation period is about six
when handling the infectious agent. TB is listed or seven weeks (ranging from two to 12 weeks)
as ICD-9 010-018. The eight listed ICD-9 are before testing positive on a skin test. TB can
010 (primary TB infection), 011 (pulmonary TB), remain latent (dormant) for months, years, or
012 (other respiratory TB), 013 (TB of meninges even decades or convert to an active TB at any
and CNS), 014 (TB of intestines, peritoneum, and time. The risk of latent TB becoming active TB is
mesenteric glands), 015 (TB of bones and joints), highest in the first two years after infection and
016 (TB of genitourinary system), 017 (TB of is dependent on individual risk factors, such as
other organs), and 018 (military TB). being a child, being elderly, and having a compro-
The TB bacterium is Mycobacterium genus mised immune system.
belonging to the family Mycobacteriaceae and Latent TB (also called TB infection or inactive
consists of lots of species, with some being patho- TB) is when a person harbors the M. tuberculosis
genic to humans. The mycobacteria are small in an inactive state; he or she is asymptomatic and
rod-shaped species of bacillus, which are clas- noncontagious. This person does not have TB dis-
sified into three groups for diagnosis/treatment ease, only a TB infection. The slow-growing bacte-
purposes. The first group is mycobacterium ria are kept under control by the person’s immune
tuberculosis complex (MTBC), which can cause system producing macrophages that surround the
tuberculosis in humans and animals, such as M. TB. After incubation, a person with a TB infection
tuberculosis, M. bovis, M. microti, M. africanum will have a positive reaction to a tuberculin skin test
(an opportunistic infection in HIV+ patients), M. or blood test. The majority of people (over 85 per-
canettii (rare), and M. caprae (rare). The second is cent) infected with M. tuberculosis never develop
M. leprae, which causes leprosy. The third group active TB. Latent TB to active TB can occur after a
is nontuberculous mycobacteria (NTM), which few weeks or several years, depending on risk fac-
do not cause TB or leprosy but can cause pulmo- tors and the person’s general health. Reactivation
nary disease that resembles TB and causes inflam- of TB typically concedes with a weakened immune
mation of lymph nodes (lymphadenitis), skin dis- system. Active TB (also called TB disease) is when
ease, or disseminated disease. Another M. genus the person is ill, displays common symptoms, and
958 Tuberculosis

of latent TB to active TB occurs more rapidly. TB

is a leading cause of death in HIV-positive people.
People taking immunosuppressive medications
for ulcerative colitis, Crohn’s disease, or multiple
sclerosis, or to prevent rejection of a transplanted
organ, are susceptible to TB. Another risk factor
is traveling to countries with high TB rates (e.g.,
sub-Saharan Africa, India, China, Mexico, or
Micronesia).

Symptoms
Common symptoms include cough, fatigue, fever,
night sweats, weight loss, and loss of appetite.
Pulmonary TB symptoms are gradual, ranging
from a week to months in duration and include
a persistent cough (≥ three weeks) accompanied
by thick mucus, coughing up blood (hemoptysis),
shortness of breath, and chest pain. Symptoms of
extra-pulmonary TB (TB outside the lungs) vary
by the body part infected. For example, TB of the
spine would include back pain or swollen lymph
nodes, while TB in the kidneys could result in
hematuria (blood in the urine).

Diagnosis and Treatment

At the most basic level, TB can be diagnosed based
A USAID TB Survey Program team member documents the on the common symptoms. TB also is diagnosed
prevalence of tuberculosis in Pakistan. The program, which ran by a skin test (e.g., injection of a purified protein
from July 2009 through September 2012, is the largest national [tuberculin] under the skin of the arm to see if
tuberculosis survey ever conducted in Pakistan. a reaction/swelling occurs after 48–72 hours).
Some groups have false-negative results to the
skin test, such as children, the elderly, and HIV-
positive people. Other diagnostic tests include
is contagious. A chest X-ray is usually normal for chest X-rays for lung abnormalities (only in active
a TB infection but abnormal for TB disease. TB), culture of sputum (coughed up material), or
Although anyone can acquire tuberculosis, cer- a polymerase chain reaction (PCR) that detects
tain risk factors increase the chance for infection, the presence of the bacteria.
such as having a weakened immune system; being An active or inactive TB is treated with anti-
malnourished, elderly, or a long-term substance biotics. Successful treatment will eradicate the
abuser (i.e., IV drug and alcohol); or having pro- TB bacteria; however, skin tests for TB will be
longed contact with institutionalized people by positive for life. TB affecting the lungs is gener-
residing or working in a prison, health facility, ally treated with a cycle of antibiotics, which for
nursing home, dormitory, refugee camp, or shel- latent TB is generally isoniazid (INH), whereas
ter. Weakened immune system groups include active TB is treated with INH in conjunction with
those with preexisting disease that includes HIV/ one or more other medications, such as strepto-
AIDS, diabetes, or end-stage kidney disease, as mycin, rifampin, ethambutol, or pyrazinamide.
well as those undergoing chemotherapy. There are drug-resistant TB strains that can still
Because of a weakened immune system, HIV+ be treated with up to two years of chemotherapy
people are 400 times more likely to acquire TB in combination the second-line anti-TB drugs. If
than the general population, and the progression left untreated, active TB can be lethal or result
 Tuberculosis 959

in the infection spreading to other body parts Further Readings

via the bloodstream, such as the bones (spinal Dubos, J. The White Plague: Tuberculosis, Man and
pain, rib and joint destruction), inflammation Society. New Brunswick, NJ: Rutgers University
of the brain (meningitis), liver or kidney failure Press, 1987.
(inability to detox blood), and heart (pericardial Godinho, Joana. Stopping Tuberculosis in Central
tamponade). These conditions require extensive Asia: Priorities for Action. Washington, DC: World
medical treatment. Bank, 2005.
Ryan, F. The Forgotten Plague: How the Battle
Andrew Hund Against Tuberculosis Was Won—and Lost. New
Umea University York: Back Bay Books, 1994.
Schlossberg, D. Tuberculosis and Nontuberculous
See Also: Centers for Disease Control and Prevention Mycobacterial Infections. 6th ed. Washington, DC:
(CDC); Epidemics; Public Health Surveillance. American Society for Microbiology, 2011.
 U
Uncertainty investment is considered a risk; however, when
probability is unknown, uncertainty is present.
Crises create high levels of uncertainty and threat, Stock market investments and other new invest-
both perceived and real, within the general pub- ments are examples of activities with financial
lic. Because of this, many definitions of crisis have uncertainty. The gambling industry is built on the
the term uncertainty within the definition or cen- degrees of uncertainty for winning. Millions of
tral to it. Crisis events are low probability but people spend large amounts of money trying to
have high consequences. The characteristics of win a bigger amount of money at the various game
crisis cause individuals, organizations, and offi- tables or machines. Another area of uncertainty
cials to make decisions and take actions in a lim- can be found in weather forecasting. Though
ited amount of time with incomplete information. weather forecasts are issued each day, there is a
This, coupled with the unanticipated nature and consistent amount of uncertainty present in each
potential risk of the event, contributes to the high report. Some forecasters provide the amount of
levels of uncertainty. uncertainty with predictions, usually involving
The state of uncertainty is psychologically severe weather conditions such as snowstorms or
uncomfortable for humans and motivates individ- hurricanes. Mathematical calculations also carry
uals to engage in actions and behaviors to reduce uncertainty. Units of measurement are used, but
uncertainty, thus gaining predictability. One way only to a certain degree, which leaves an amount
in which individuals attempt to gain certainty of uncertainty in the measure. Depending on the
and predictability is through information seeking. difficulty of the measurement or the calculation,
It has been observed that after a crisis, the pub- the amount of uncertainty can be large or small.
lic will look for information anywhere they can Thus, people deal with different levels of uncer-
obtain it and will constantly look for the most tainty in everyday life and experience more or less
current and accurate information, with the media comfort with that uncertainty.
often being a dominant source.
Uncertainty can be found in several aspects Always a Negative?
of everyday life. Most common among people is The dominant framing of uncertainty as a nega-
financial uncertainty. This takes place when the tive experience has come under criticism, encour-
future of certain financial investments cannot aging some to argue that individuals potentially
be foreseen. When probabilities are known, the experience uncertainty as a positive state that can

961
962 Uncertainty

produce circumstances where individuals thrive. demographic differences indicate that individu-
Thus, individuals may actually desire the experi- als are more likely to direct information seek-
ence of uncertainty. In one specific model, both ing toward those who possess similar attributes;
arguments are reconciled with the proposition thus, racial minorities have fewer similar others
that individuals become aware of an important to target for information and fewer media outlets
issue for which they desire more or less uncer- that are perceived as similar. Additionally, the
tainty; it is at this recognition stage that the infor- notion that racial and ethnic minorities are less
mation management process begins, not simply likely to accept a crisis warning message as cred-
when experienced uncertainty is high. ible without confirmation of the message from
Strategies other than information seeking have others (specifically, interpersonal networks) has
been identified as commonly used means of deal- been established, possibly causing differences in
ing with uncertainty. Noted strategies include perceived uncertainty and subsequent reduction
a re-evaluation or reappraisal of the object of of uncertainty. Uncertainty has also been found
uncertainty or acceptance; the cause or result is to relate to the type of medium used to acquire
inevitable. Through a reappraisal of the object information, time spent collecting information,
of uncertainty in a crisis, an individual will reas- and issues of self-efficacy.
sess the potential risk, thus managing subsequent
uncertainty by making psychological adjustments Patric R. Spence
to change the severity of the risk. Moreover, indi- University of Kentucky
viduals may avoid issue-relevant information Stephen Spates
rather than seeking it out. This avoidance can be University of Tennessee
active, where the individual avoids situations, peo-
ple, or media that could offer relevant information See Also: Bounded Rationality; Cosmology Episode;
that they feel will contribute to the cause of uncer- Decision Making; Decision Making, Theories
tainty. Alternately, passive avoidance involves a of; Decision Making Under Stress; Information
decision to refrain from active information seeking Asymmetry; Information Vacuums; Mass Media;
and simply allow relevant information to emerge. Paradigm Blindness; Practical Drift; Risk Society;
Each of these strategies can impede or facilitate Structural Secrecy; Trauma; Trigger Events.
the crisis management process.
Another way to reduce uncertainty is through Further Readings
cognitive dissonance. The underlying hypothesis Berger, C. R. “Communicating Under Uncertainty.”
is that the existence of dissonance causes an indi- In Interpersonal Processes: New Directions for
vidual to become psychologically uncomfortable. Communication Research, M. E. Roloff and G. R.
This discomfort will drive the person to attempt Miller, eds. Newbury Park, CA: Sage, 1987.
to reduce the dissonance and achieve consonance. Burke, J. A., P. R. Spence, and K. A. Lachlan.
Thus, feelings of dissonance cause uncertainty or “Crisis Preparation, Media Use, and Information
psychological imbalance, and information seek- Seeking During Hurricane Ike: Lessons Learned
ing is the dominant means used to reduce that for Emergency Communication.” Journal of
uncertainty. Emergency Management, v.8 (2010).
Demographic differences have been found Lachlan, K. A., P. R. Spence, and L. D. Nelson. “Sex
across several studies outlining different strate- Differences in Negative Psychological Responses
gies in information seeking to reduce uncertainty. to Crisis News: The Case of the I-35W Collapse.”
For example, research after Hurricane Katrina, Communication Research Reports, v.27 (2010).
Hurricane Ike, the I-35W bridge collapse in Min- Spence, P. R., K. A. Lachlan, and D. Griffen. “Crisis
nesota, and the terrorist attacks of September Communication, Race and Natural Disasters.”
11 outlines a consistent pattern of information Journal of Black Studies, v.37 (2007).
seeking in women. Women were more likely Spence, P. R., D. Westerman, P. Skalski, M. Seeger,
than men to seek information from mediated T. Sellnow, and R. R. Ulmer. “Gender and Age
sources, and the information sought related both Effects on Information Seeking After 9/11.”
to survival needs and concern for others. Other Communication Research Reports, v.23 (2006).
 United Way 963

UNICEF Online for local United Ways and the United Ways
Web site for the general public were introduced.
See International Children’s Fund, UN (UNICEF). Over the years and throughout the 2000s, the
agency revised its identity and shifted from its role
of fundraiser to a more general and embracing
role of a charity addressing long-term community
needs. Today, United Way is a leading leadership,
United Way support, and community-impact organization
with the network of some 1,800 community-
When disasters, emergencies, and crises strike a based United Way organizations in 45 territories
community, some of the most important actors and countries of the world.
on the scene are the nonprofits or nongovernmen-
tal organizations. In many cases, nonprofit orga- Volunteer Driven
nizations may be even faster and more effective United Way offers three ways people can contrib-
than public/government organizations in helping ute to charity efforts. The first way is simply by
the impacted communities. United Way is one of donating money for specific causes. As is the case
the nonprofit organizations that is active during with most nonprofit organizations, donations are
emergencies and crises, alongside other world- the most important source of revenues. The second
wide philanthropic activities and programs. Being way is to advocate the agency’s cause, thus con-
a global nongovernmental organization, its main tributing to enlargement of the agency’s volunteer
goal is to advance the common good through network. For nonprofits, a larger network means
investment in education, achievement of income greater support as well as greater community
stability, and attainment of healthy lives. impact. The third way to contribute to the agency
is through volunteering for specific programs and
History and Mission activities administered by the agency. Volunteers
The United Way was founded by Frances Wisebart are the main human capital that helps realize
Jacobs, a woman from Denver, Colorado. It was agency goals. All these methods of contribution
established in 1887 through collaboration with a are being directed to create and support innovative
group of religious leaders under the name Charity programs in the realm of education, income, and
Organizations Society, with the main goal to coor- health that would generate impact in local commu-
dinate health services, relief operations, and wel- nities around the world. Based on the 10-year goals
fare programs for local communities. The organiza- that were set in 2008, United Way plans to cut in
tion held fund-raising programs at that time, with half the dropout rate in America’s high schools, to
allocation of funds executed through Community cut in half the number of financially unstable low-
Chests, a widely utilized name for United Way income families, and to increase by one-third the
until the 1950s. In 1918, the American Associa- number of healthy youth and adults by the end of
tion for Community Organizations (the predeces- 2018. To achieve these goals, the agency collabo-
sor to United Way of America) was founded after rates with several public, private, and nonprofit
a meeting of 12 national fund-raising federation agencies as well as community leaders. Collabo-
executives in Chicago. By 1947, there were more ration with different sectors as well as with other
than 1,000 United Way organizations across the nonprofit organizations stands as a key factor and
United States. For the first time since its creation, contributor to nonprofits’ success today.
in 1974 United Way raised more than $1 billion
across the United States and Canada, and United Crisis Involvement
Way International was founded in the same year In addition to the overall goals of the agency
to reach global communities in need. United Way described above, United Way also has been
was especially visible throughout the 1980s and involved in relief operations and programs in
1990s through several partnership projects with times of emergencies and disasters affecting local
such agencies as the U.S. Postal Service and the communities. In most cases, United Way acts as
National Football League. In 1996, United Way a coordinator of preparedness, response, and
964 U.S. Geological Survey (USGS)

recovery activities through its wide network of See Also: Collaboration; Coordination; Crisis,
related emergency response agencies. In addition, Definition of; Disaster Recovery; Earthquakes;
the agency deals with volunteer mobilization Emergency, Definition of; Hurricanes, Typhoons, and
through different volunteer reception centers— Cyclones; Nongovernmental Organizations; Recovery.
the most vital labor force of nonprofit organi-
zations. In times of disasters, volunteers help Further Readings
distribute food, deliver clothes, direct victims to Brilliant, Eleanor L. The United Way: Dilemmas
shelters, or provide medical assistance to them. of Organized Charity. New York: Columbia
Provision of these goods and services is possible University Press, 1990.
through funds raised for related causes. When Craats, R. United Way. Mankato, MN: Weigl, 2003.
a huge disaster occurs, the agency establishes United Way. http://www.unitedway.org (Accessed
a specific fund to raise money to help disaster April 2012).
relief and recovery operations in affected com-
munities. The monies collected are then directed
toward affected areas in the form of food,
clothes, shelters, medicine, and medical equip-
ment. If and when the money-raising campaign U.S. Geological Survey
is over, additionally donated money is directed
to United Way Worldwide’s General Disaster (USGS)
Recovery Fund to be used to help victims of
other disasters occurring worldwide. Most of the On March 3, 1879, the United States Geological
time, such money is used for recovery programs Survey (USGS) was established when President
and operations requiring long-term efforts in the Rutherford B. Hayes signed into law a bill to
aftermath of disasters. appropriate money for various civil expenses of
When four consecutive hurricanes struck the the federal government. The USGS is a science-
state of Florida in 2004 over a period of four based organization that provides unbiased infor-
weeks, for example, United Way played a vital mation on natural hazards that threaten people
role through collaboration with other agencies to and property, changes in climate and land use, the
help prepare for, respond to, and recover from health of the environment and ecosystems, and
the disasters by identifying needs in devastated the core science that helps inform policy makers.
communities and directing people to services like The current understanding, for example, of the
shelters, food, medical assistance, and informa- location of energy and mineral resources is based
tion. The agency was similarly active in the after- on fundamental scientific advancements made by
math of the earthquake followed by a tsunami USGS scientists. One of the most comprehensive
that struck Indonesia and India the same year. data sets currently available online resulted from
United Way coordinated a Crisis Response Team the cooperative efforts of the USGS and the pri-
consisting of United Way International, United vate sector to provide digital images of neighbor-
Way of America, and local/regional United Way hoods and communities used by city and county
agencies in India, Indonesia, Kenya, Malaysia, governments for multiple purposes. A key role of
and Thailand. United Way was also effective in the USGS is the management of wildlife, water
coordinating disaster relief activities after Hur- resources, and natural hazard mitigation.
ricane Katrina in 2005, in the aftermath of the The stated mission of the USGS is to serve
earthquake in Haiti in 2010, and in the aftermath the United States as well as other countries by
of the earthquake followed by the devastating providing dependable scientific information to
tsunami in Japan in 2011. understand Earth; manage water, energy, and
mineral resources; and lessen the loss of life and
Vener Garayev property from natural disasters. The USGS reor-
Gediz University ganized on October 1, 2010, to center on the
Abdurrahim Emhan mission areas outlined in its USGS Science Strat-
Dicle University egy. Those mission areas are climate and land use
 U.S. Geological Survey (USGS) 965

A U.S. Geological Survey (USGS) Hawaiian Volcano Observatory geologist takes a sample of active lava within a lava tube; such
samples are analyzed routinely to track changes in lava chemistry. The observatory studies the nature of volcanic processes to better
understand and reduce their risks to society. The USGS, a science-based agency that provides information on natural hazards that
pose a risk to humans and property, focuses primarily on the areas of wildlife, water resources, and natural hazard mitigation.

change, core science systems, ecosystems, energy (VHP) was established to advance the under-
and minerals, environmental health, natural haz- standing of volcanic processes and to mitigate the
ards, and water. damage caused by volcanic activity. Similarly, the
One of those mission areas is natural hazards. Landslide Hazards Program (LHP) is designed
Among the various hazards the USGS serves to to further the understanding of slope dynamics
monitor are earthquakes. The Earthquakes Haz- to improve the understanding of landslides and
ard Program (EHP) is part of the National Earth- their associated hazards in order to increase pub-
quake Hazards Reduction Program (NEHRP), lic safety and mitigate the damage they can cause.
which is under the auspices of the National The USGS also has a Coastal and Marine Geol-
Institute of Standards and Technology (NIST). ogy Program that monitors ecosystem health and
A sophisticated telecommunications network is changes in the marine environment, whether from
connected to geophysical sensors to provide the natural or anthropogenic forces.
Global Seismographic Network (GSN) in order to
detect seismic activity and better warn communi- Floods, Earthquakes, and Mud- and Landslides
ties that might be at risk. An example of the international work of the
USGS is a system of rain gauges, satellite telem-
Volcanoes etry, and communications equipment in Haiti.
Also under the watchful eye of the USGS is vol- In and around the town of Fond Verettes, this
canic activity. The Volcano Hazards Program infrastructure provides an EWS, or early warning
966 U.S. Geological Survey (USGS)

system, for potential flood victims. After the and unmanaged human population growth,
damaging rains and mudslides that accompanied the organization developed a comprehensive
Hurricane Mitch in 1998, the USGS installed a approach to managing the western U.S. human
network of 58 hydrologic monitoring systems footprint. Models have been generated to esti-
with real-time warning capacities in four Cen- mate the effects of anthropogenic features such
tral American countries. In addition to monitor- as urbanization, road building, and power lines
ing stream height to reduce risk, the USGS also on the ecology of a region. The effects of human-
provides technical advice, rehabilitation aid, and initiated fires, exotic plant introduction, the pres-
reconstruction assistance to manage flood crises. ence of domestic dogs and cats, habitat fragmen-
Traditionally, the USGS has been associated with tation, and energy extraction were analyzed for
earthquake monitoring and landslide damage. their impact on native species. The results were
Recently, however, the use of computer technol- diverse, depending on whether the area was a
ogy has enhanced the rigid sliding block analysis low-lying productive private landholding or a
that is used to predict the potential for landslides high-elevation, nonproductive federal landhold-
resulting from earthquake activity. These models ing. The footprint models, however, will enable
can be used with shake maps to generate near-real- managers to better plan land use, develop restora-
time slide maps that are a valuable tool used in cri- tion projects, and identify areas of high conserva-
sis management. Shake maps use ground motion tion importance. This type of modeling could be
data from an actual earthquake event to predict used to ward off species extinctions and the crisis
sliding displacements. Slope characteristics, such of biodiversity loss.
as geometry, strength, and material cohesion,
along with the characteristics of earthquake activ- Surface and Groundwater Contamination
ity, such as peak ground acceleration, wave fre- The USGS also analyzes the attitudes of farmers
quency, and amplitude, are used to develop seismic toward best management practices (BMP). Fac-
landslide hazard maps. The maps identify various tors influencing whether a farmer will adopt BMPs
zones at risk of earthquake-induced landslides and include access to high-quality information, finan-
serve to enhance the capabilities to manage these cial capacity, and being connected to a local agency
types of natural disasters. or a network of farmers or watershed groups. The
data and how they are presented is important in
Tsunamis determining the adoption of sustainable conserva-
The USGS joined forces with the National Oceanic tion practices. Crises such as the contamination
and Atmospheric Administration (NOAA) and the of freshwater aquifers or surface waters can be
Federal Emergency Management Agency (FEMA), avoided by the adoption of some relatively simple
along with several state governments, to establish and low-cost management practices.
the U.S. National Tsunami Hazard Mitigation Pro-
gram (NTHMP) in 1996. More than 113 coastal Integration and Prevention
communities with more than a million residents In July 2001, the USGS joined in a collaborative
are covered by the 22 tsunami inundation maps. effort with the National Aeronautics and Space
Additionally, the tsunami warning centers are bet- Administration (NASA) and the National Science
ter able to locate and determine the size of earth- Foundation (NSF) by inviting proposals for high-
quakes through an upgraded seismic network. risk planning projects to initiate environmental
Through use of numerical models and deep ocean problem-solving activities at the local level. The
tsunami data, the tsunami forecasting capability relatively new field of biodiversity and ecosys-
was enhanced. The crises associated with tsuna- tem informatics (BDEI) incorporates the work
mis can be disastrous, as evidenced at the coastal of biologists and natural resource managers with
nuclear power plants in Japan on March 11, 2011. computer scientists to solve real-world problems
while advancing the contributory ecological,
Biodiversity and Extinction computer, and information sciences. BDEI offers
The USGS has a reputable history of wildlife man- an integrated and comprehensive approach to cri-
agement. Recently, in light of rapid development sis management.
 U.S. Geological Survey (USGS) 967

The USGS works with more than 2,000 tribal, See Also: Avalanches and Landslides; Dams, Levees,
local, and state governments; the federal govern- and Seawalls; Drought; Earthquakes; Fires; Floods;
ment; nongovernmental organizations; the aca- Tsunamis; Volcanic Eruptions.
demic community; and the private sector to better
manage crises. To provide crisis managers with Further Readings
unbiased scientific information, the USGS moni- Barlow, P. M. and A. W. Harbaugh. “USGS Directions
tors seismic activity and geodesic satellite data; in MODFLOW Development.” Ground Water,
assesses landslide activity; maintains mapping v.44/6 (2006).
facilities, such as the Earth Resources Observa- Brown, M. C. “USGS Tsunamis and Earthquakes.”
tion and Science data center in Sioux Falls, South Choice, v.49/2 (2011).
Dakota; provides flood warnings; and manages Gropp, R. E. “USGS: Science Serving Society.”
biological science and technology centers. The Bioscience, v.53/10 (2003).
information is used to direct recoveries and com- Miner, G. “USGS Publication on VOCs in Rural
municate with the public effectively during times Wells Available Online.” American Water Works
of crisis. Association Journal, v.95/10 (2003).
Stiles, R., et al. “Measurement of Drinking Water
Richard K. Snow Contaminants by Solid Phase Microextraction
Mary Snow Initially Quantified in Source Water Samples by
Embry-Riddle Aeronautical University the USGS.” Environmental Science & Technology,
v.42/8 (2008).
 V
Vaccinations are to raise public awareness of vaccination, they
simultaneously also generate controversies.
Vaccination is the administration of antigenic
agents (vaccines) to stimulate and enhance an Controversies of Vaccination
individual’s immune system to develop adaptive The effectiveness of vaccination relies very much
immunity to a disease. The adaptive immunity on a certain percentage of the targeted population
helps the individual by preventing or ameliorat- being immunized. It is generally agreed that maxi-
ing health hazards caused by potential patho- mizing the benefits of vaccines requires relatively
gens. Since its debut through the work of Edward high and sustained coverage levels for herd immu-
Jenner in the 18th century, vaccination has been nity to be achieved and susceptible individuals
widely recognized as both beneficial and cost- not to accumulate. Although immunization has
effective in the battle against communicable dis- successfully reduced the incidence of vaccine-pre-
ease crisis. For example, pre-pandemic vaccines ventable diseases (VPDs), vaccination can lead to
are produced and stockpiled before a pandemic both minor and, rarely, serious adverse reactions
occurs. The availability of an effective pre-pan- (side effects) in some vaccine recipients. Contro-
demic vaccine could potentially reduce the impact versies about vaccine safety develop primarily
of a pandemic by reducing the severity of illness because adverse events that take place after vac-
and death. cination (AEFIs) may include known reactions to
At present, the number of vaccine doses admin- vaccine as well as events coincidental to, but not
istered worldwide keeps increasing as new vac- caused by, vaccination.
cines are developed and made available and acces- Concerns about AEFIs undermine the public
sible to more people. Crucially, the international acceptance of vaccination and the success of vac-
health community strives to leverage its resources cination programs. Paradoxically, it is because of
to achieve the following goals: (1) providing safe the success of vaccination programs that concerns
and effective vaccines, (2) sustainably introduc- over vaccine safety are most likely to arise. This
ing affordable new vaccines, (3) establishing a is because patients and health care providers no
stable and comprehensive vaccine supply chain, longer have any firsthand experience with VPDs
(4) improving vaccine coverage for the targeted that are at record low levels. However, these con-
population, and (5) promoting vaccination poli- cerns, along with anecdotes and rumors around
cies. Although the goals of immunization programs AEFIs reported in the media and social networks,

969
970 Vaccinations

A health worker in the Democratic Republic of Congo (DRC) administers a polio vaccine, March 23, 2011, in Commune de Ndjili,
Kinshasa, as the minister of health launched a vaccination campaign against the wild polio virus. Ten new cases of polio had been
reported in the capital city since January. More than 8.6 million Kinshasa residents were expected to receive two doses of vaccine during
the March 23–27 campaign, aided by USAID, the World Health Organization, the United Nations Children’s Fund, and other partners.

can spread quickly and result in loss of public public’s safety concerns. For example, presenting
confidence in vaccines. Consequentially, such the scientific evidence that the vaccines are safe
concerns are responsible for decreased coverage and effective and that VPDs are serious has been
levels, leading to disease outbreaks—an ultimate the primary strategy for addressing vaccine con-
resurgence of VPDs with considerable morbidity cerns. In contrast, low- and middle-income coun-
and mortality. tries (LMICs) present a different challenging situ-
ation in vaccination—one that is more intricate.
Challenges of Vaccination As immunization programs have expanded in
In today’s interconnected world, most public recent decades, the problems of vaccine refusal/
health interventions inevitably confront chal- hesitance in LMICs have become more rampant,
lenges. Two of the challenges that hinder the but only a small proportion of LMICs have func-
effectiveness of vaccination are considered the tional vaccine safety systems that serve to assess
most relevant: (1) public confidence in vaccina- AEFIs and guard recipients’ health.
tion and (2) sustainable financing for immuniza- Attempts to refute the safety concerns through
tion programs. scientific studies are important but have not been
The pattern of public reluctance to vaccines has sufficient to maintain public trust for all because,
been observed for many years in several countries, apart from a relatively limited number of vac-
including Japan, the United Kingdom, Nigeria, cination specialists, there is insufficient public
and the United States. Accordingly, several indus- or political awareness of the scientific, regula-
trialized countries have routinely adopted strate- tory, logistic, and economic challenges faced by
gies and instruments that combine active and pas- immunization and the resulting stakes for human
sive surveillance to monitor AEFIs to address the health. New strategies in vaccine risk and benefit
 Vital Records 971

communication have been recommended to shape World Health Organization. “Global Advisory
vaccine beliefs and behaviors. The potential strate- Committee on Vaccine Safety, December 2011.”
gies include but are not limited to enhancement of The Weekly Epidemiological Record, v.87/6
knowledge of vaccine safety systems, transparency (2012).
and accountability in vaccine decision making, and World Health Organization. “Mobilizing for
mobilization of societal and personal influences to Action. Communication-for-Behavioural-Impact
prompt individuals and families to consider com- (COMBI).” http://www.k4health.org/sites/default
munity incentives for high coverage rates. /files/COMBI.pdf (Accessed April 2012).
To reach herd immunity, it is pivotal to build a World Health Organization. “Six Common
safe vaccine supply chain and to increase immuni- Misconceptions About Immunization.” http://
zation coverage for the targeted population. This www.who.int/immunization_safety/aefi/immuni
of course is dependent on a robust health system zation_misconceptions/en/index.html (Accessed
supported by sustainable financing. In resource- April 2012).
limited countries where adequate health infra-
structure is not in place, vaccination encounters
a series of challenges. Given the scarce resources
and fiscal constraints, however, it is rather difficult
for most LMICs to maintain sustainable routine Vital Records
vaccination programs, not to mention expanding
the vaccination scope to cover unexpected public Vital records are official records, usually main-
health threats, such as avian influenza. The whole tained by state or county governments, of major
world is still striving to seek innovative resolu- life events. They include birth certificates, death
tions to these pressing challenges. certificates, marriage licenses, certificates of adop-
tion, and closely related legal decrees. The term is
Allen Yu-Hung Lai also used more broadly to refer to those records
National University of Singapore that are vital in the sense of “being of critical
Wan-Ting Huang importance” rather than of “pertaining to life,”
Taiwan Centers for Disease Control, especially when one refers to the vital records of
Department of Health a business, government, or other entity. In such
cases, vital records are those records that are most
See Also: Epidemics; Infectious Disease; Influenza; important to the entity’s continuity of operations.
Pandemics; World Health Organization (WHO), UN. These would include tax documentation, person-
nel records, financial records, records of contracts
Further Readings and other agreements, permits, licenses and regu-
MacDonald, Noni E., Jennifer Smith, and Mary latory information, and other records the entity
Appleton. “Risk Perception, Risk Management needs to refer to (or provide to outside authorities)
and Safety Assessment: What Can Governments in order to persist in its operations. For instance,
Do to Increase Public Confidence in Their Vaccine a hospital’s vital records would include medical
System?” Biologicals (October 10, 2011). records of current and previous patients, personnel
May, Thomas. “Public Communication, Risk records, and inventory, among other information.
Perception, and the Viability of Preventive For individuals and households, critical records
Vaccination Against Communicable Diseases.” may include property deeds and mortgages, finan-
Bioethics, v.19/4 (2005). cial and tax information, insurance information,
Neustadt, Richard E. and Harvey V. Fineberg, eds. passports and other identification, and investment
The Epidemic That Never Was. New York: Vintage documents such as bonds or certificates of deposit.
Books, 1983. The recovery or reconstruction of vital records is
USAID. “USAID Supports Campaign Against Polio one of the key challenges following a disaster or
Virus in the DRC as Part of the Global Polio other crisis that has jeopardized them.
Eradication Initiative.” USAID/DRC News (June The protection of records has long been a con-
2011). cern of preparedness advocates. In early American
972 Vital Records

Case Study: Vital Records Management During Hurricane Katrina

In 2005, Hurricane Katrina unleashed severe problem: the tendency to treat potential
damage on the Gulf Coast from Florida to Texas, as catastrophes as local phenomena. Even along the
well as causing the catastrophic failure of the New hurricane-prone Gulf Coast, there was evidence,
Orleans levee system, resulting in the worst flooding again and again, of habits that belied the belief
some parts of the city had ever experienced, hours that disasters, should they occur, would occur
after the storm itself had moved inland. in a small area: emergency response plans were
The hurricane is widely viewed as a series of developed with that unspoken assumption, and
crisis management disasters from the late call emergency supplies in too many cases were stored
of New Orleans’ mandatory evacuation (and within the affected area, making them difficult to
lackluster evacuation plan), to the failure of a levee locate or vulnerable to destruction by the forces
system that was supposed to sustain much more of nature.
damage than it did, to the slow response of the
federal government and consistent mishandling Records Lost
of disaster relief efforts by the Federal Emergency Enough institutions failed to take even the
Management Agency (FEMA). very basic precaution of storing records on
Because of the significance of the toll taken by top floors—where vulnerability to flooding is
the storm—not just in New Orleans, where a large much reduced—that Tulane Medical Center
portion of the population was forced into a diaspora was praised for keeping its paper records in a
as so much of the city remained uninhabitable for second-floor office. However, it still faced a major
so long, but also in the Mississippi and Alabama records management problem: because health
towns that were almost completely flooded—it information management personnel are considered
is not often described as a records management nonessential personnel (in that they do not provide
disaster. But the broad geographic scope of the medical care), Tulane’s 100 full-time staffers were
storm meant that a great many more records evacuated once the evacuation order was declared,
were lost or destroyed than in most U.S. natural requiring the involvement of the chief information
disasters, and the aftermath has been an object officer to find medical records for incoming
lesson in the need for record management systems patients. Further, in some cases when patients
that account for the possibility of catastrophe. were evacuated, their medical records were sent
with them, without backups being made; in the
Preexisting Problems tumult of evacuation, those records were often
Two of the major underlying problems with the lost. (One of the changes Tulane has made since
records management in the area affected by Katrina has been to decentralize its data.)
Katrina were matters of mind-set. It became In the cases of some local governments, the
clear that private individuals (and businesses) government’s own emergency response plan was
had a tendency to assume that any record in the inaccessible, either temporarily or permanently,
government’s care would be safe—that marriage whether because it was kept in a building destroyed
licenses and birth certificates, for instance, could by the storm or because it existed only as digital
be replaced if lost, because the government data inaccessible during a power outage.
retained a copy of them. Many local companies had failed to use remote
What this mind-set ignores is the physical data backup services, slowing the economic
reality of the government’s records; they exist not recovery of the region as the cost of resuming
as Platonic ideals that can be generated by the business rose—and in some cases proved
government upon request, but as real physical prohibitive, leading to many permanent closures
objects, whether as paper forms in a filing cabinet and more than a few simple abandonments.
or data on a hard drive or other digital storage Emergency plans simply failed to account for all
medium. This leads to the second underlying the effects of Katrina.
 Vital Records 973

history, fires—which were especially difficult digital storage used media no longer in use, such
to control in the age before gas-powered fire as cassettes or floppy disks. Very old records may
engines, chemical fire extinguishers, and powered raise issues requiring handling by an expert with
water pumps—regularly destroyed entire cities’ special training: handwriting styles have changed
worth of records. As civilization and government considerably even since World War II, and much
became more sophisticated, this became more more drastically compared to earlier centuries,
and more of a problem, as proving one’s identity, while industry-specific terms may change meaning
age, or marital status, or establishing the death over time sufficiently to obscure their meaning.
of an individual, becomes a bureaucratic necessity Depending on the nature of the records, some for-
one faces on a frequent basis. Businesses and gov- eign language fluency may be required, especially
ernments have become more bureaucratic in their when dealing with government records. Records
operations, producing records at a frequency and that have not been well managed may require the
volume that even 19th-century businesses could attention of forensic experts in order to determine
not have imagined. both their authenticity and their vintage.

Modern Methods of Preserving Records Records Management

As the vulnerability of records posed a greater and The discipline of records management was origi-
greater danger, innovations were introduced, such nally concerned only with older records, as organi-
as fireproof safes and vaults, redundancy (keeping zations realized there could be benefits to preserv-
multiple copies of records in multiple sites), and ing records no longer in use; such inactive records
eventually backups made possible by technology, were usually stored in a basement or other out-
including photocopies and digital copies. Today, of-the-way facility, and records managers were
archivists, record managers, and crisis manage- charged with preserving and organizing them.
ment experts strongly advocate the adoption of Today, records management has become a more
off-site digital storage of records. Although it may sophisticated field—a large enough organization
seem simple, digitizing nondigital records can be a may have an entire records management depart-
laborious process; not every company has a scan- ment, responsible for setting policies, standards,
ner, and older records may be of a nonstandard guidelines, and procedures related to the creation
size that requires multiple passes with a scanner and handling of records from the moment of cre-
and a greater degree of attention. Hundreds or ation to the end of their life cycle. Identity and
thousands of hours of labor may be involved in data theft issues, privacy breaches, and the chal-
converting an organization’s physical records to lenge of records loss during such disasters as the
digital copies, and accurately filing and categoriz- September 11 attacks, the Indian Ocean tsunami,
ing those records may require the oversight of a Hurricane Katrina, and the Haitian earthquake
skilled employee; further, in some cases, records have put a spotlight on the field of records man-
may contain information that is confidential or agement in the 21st century.
protected, making it unwise or even illegal to Ideally, vital records are stored in disaster-resis-
outsource the work or delegate it to a low-level tant facilities, such as a weather-, temperature-,
employee. In addition, there are cases in which and impact-resistant safe on-site or an off-site
creating copies of records that have the same legal location; many households keep their vital records
standing as the originals is either impossible or in a safe deposit box at their bank, which helps in
requires special procedures of authentication. the event of a disaster that strikes their house or
Converting from older storage methods is neighborhood but may prove insufficient protec-
time-consuming as well. Paper is fragile and ages tion against a wide-scale disaster such as an earth-
poorly; photocopies may be faint or, if the source quake, tsunami, or hurricane.
record was poorly aligned, may cut off part of The management of electronic records is a dis-
the original; microfilm and microfiche not only cipline still very much in flux. Technology changes
age, but in many cases the transfer of records so rapidly that both storage media and file for-
to these formats may have introduced errors by mats become obsolete in what is an extremely
cutting off or smudging the document; and early short period of time, from a management point
974 Volcanic Eruptions

of view. Some file formats are proprietary, asso- Multi-Criteria Decision Making.” Decision
ciated with specific software that in all likeli- Support Systems, v.51/2 (May 2011).
hood will someday be discontinued or radi- Stephens, Kevin U., et al. “Excess Mortality in
cally altered. Record keepers very often forget the Aftermath of Hurricane Katrina.” Disaster
that digital storage media are no more immor- Medicine and Public Health Preparedness, v.1/1
tal than paper is; they decay over time and may (July 2007).
become unreadable. Computer technology is
new enough that the longevity of storage media
remains essentially untested compared to that
of paper records or even photographs. Retriev-
ing records from damaged media can require Volcanic Eruptions
highly specialized skills, which themselves obso-
lesce over time; it may be too much to expect In the United States, there are more than 65 active
the record managers of the 22nd century to be or potentially active volcanoes. This is more than
well versed in the technology of the 20th and the number of volcanoes in every other country
21st centuries and the hardware- and software- except Japan and Indonesia. During the 20th
specific skill sets necessary to handle records dat- century, volcanic eruptions in Alaska, California,
ing from that time. Some historians worry that Hawaii, and Washington devastated thousands of
although digital storage media protect records square miles of land and caused enormous finan-
in the short and medium term from catastrophe, cial losses, societal disruptions, and loss of life. In
they offer significantly worse protection against the past two centuries, more than 50 volcanoes
the normal degradation of age (and are much have erupted in the United States one or more
more expensive to repair than older media), and times. Worldwide, approximately 550 volcanoes
this will result in a records gap. Even aside from have erupted in historic times, and at least 1,300
the concerns of historians, this has bearing on have erupted during the Holocene.
government records that need to be kept for Eruptions often affect more than just the area
legal, policy, and pragmatic reasons. in the immediately vicinity of the volcano. Ash
clouds from very explosive eruptions threaten
Bill Kte’pi numerous aircraft along busy flight paths, ashfall
Independent Scholar can devastate areas downwind, and large erup-
tions influence global climate patterns as well as
See Also: Business Continuity Management; agricultural production. There have been major
Continuity of Government; Disruption of advances in the understanding of volcanoes
Organizations; Electronic Media; Electronic Vaulting; in recent years. These strides were made from
Preparedness. detailed studies of eruptions and from advances
in global communications, remote sensing, and
Further Readings interdisciplinary collaboration.
Carlisle, Van. “Protecting Vital Records in a Crisis.”
School Administrator, v.62/11 (December 2005). U.S. Geological Survey
Comfort, Louise K., Michael D. Siciliano, and Aya Monitoring and responding to volcanic activ-
Okada. “Resilience, Entropy, and Efficiency in ity falls under the watchful eye of the U.S. Geo-
Crisis Management: The January 12, 2010, Haiti logical Survey (USGS). The USGS, established in
Earthquake.” Risk, Hazards, and Crisis in Public 1879, is a science-based organization that pro-
Policy, v.2/3 (March 2011). vides unbiased information on natural hazards
Heath, Robert. “Dealing With the Complete Crisis: that threaten people and property, on changes in
The Crisis Management Shell Structure.” Safety climate and land use, and on the health of the
Science, v.30/1–2 (October–December 1998). environment and ecosystems and provides the
Peng, Yi, Yong Zhang, Yu Tang, and Shiming Li. “An body of science that informs policy makers. The
Incident Information Management Framework USGS reorganized on October 1, 2010, to center
Based on Data Integration, Data Mining, and around the mission areas outlined in the USGS
 Volcanic Eruptions 975

Science Strategy. One of those mission areas is these communications and is designed to inform
natural hazards; among those natural hazards the public and officials about the potential risks
are volcanoes. from volcanoes.
The VHP has an international presence as well.
Volcano Hazards Program A team of scientists and technicians assists for-
The Volcano Hazards Program (VHP) was estab- eign governments with volcano hazard mitiga-
lished as a part of the USGS to advance the under- tion. This Volcano Disaster Assistance Program
standing of volcanic processes and to mitigate (VDAP) is partly supported by the U.S. Agency
the damage caused by volcanic activity. Volcanic for International Development (USAID) and has
eruptions are some of the most fantastic displays conducted more than a dozen successful deploy-
in the natural world, and a high-magnitude erup- ments in the past decade. For example, in 1991,
tion or a volcano that is in close proximity to a members of the VDAP helped fellow scientists in
population center can result in large-scale eco- the Philippines during the massive Mount Pina-
nomic and social disaster. Recently, the United tubo eruption. This cooperative effort saved tens
States has experienced only one major eruption of thousands of Filipino lives and millions of dol-
near a large metropolitan area. In 1980, Mount lars in equipment at two U.S. military bases.
St. Helens near Portland, Oregon, erupted. More
than 50 people died, and there was formidable Pacific Northwest and Air Travel
damage to forests used for timber extraction as Rapid population and economic growth in the
well as to the area’s infrastructure. However, the Pacific Northwest have placed greater numbers of
greatest impacts were confined to sparsely pop- people and critical industries closer to the region’s
ulated rural regions in the state of Washington. volcanic peaks. The United States has major
Recent eruptions in Alaska and Hawai‘i have had sleeping volcanoes, including Mount Rainier and
only local impacts. Mount Baker near Seattle-Tacoma in Washington
and Mount Hood near Portland. Additionally,
Components of the VHP very busy North Pacific air routes traverse more
Tracking volcanoes through the Volcano Hazards than 100 active Alaskan and Russian volcanoes
Program (VHP) is a complex task that starts with daily. These flights place millions of dollars of
fundamental research on the processes determining cargo and more than 10,000 people at risk every
the manner and magnitude of volcanic eruptions. day. An undetected and sudden eruption of ash
Research provides the basic scientific concepts that could easily bring down a 747 by bombarding its
determine the methods of data collection, analy- engines with a cloud of molten silica. Finally, eco-
sis, and interpretation. The program’s oversight nomic globalization causes financial markets to
involves three operational components. There become increasingly vulnerable to volcanic disas-
is an assessment of a particular hazard based on ters anywhere across the globe.
past history. A major challenge in the assessment
phase is deciding which volcanoes to study and the Mount Rainier
level of detail to employ. There is also a continu- The first volcanoes to receive intense study in the
ous monitoring system of warning signs that can United States were Mauna Loa and Kilauea on
indicate early development of an eruption. the big island of Hawai‘i. The basaltic lava they
Monitoring involves measuring geodetic, geo- release is of low viscosity and flows toward the
physical, and geochemical attributes, and com- sea, somewhat like a plastic river. However, the
paring those data with baseline observations that Cascade Range in the Pacific Northwest harbors
allow changes to be recognized. Also, scientists a high-viscosity, silica-rich magma that causes far
design a crisis response strategy to be imple- more explosive volcanoes. Mount Rainier, in the
mented after a large eruption occurs. A success- Cascade Range, is being closely monitored by the
ful response involves the rapid deployment of Cascade Volcano Observatory (CVO).
people and equipment as well as clear commu- Mount Rainier has been a high-priority volcano
nication with the general public and with civil for study since the 1990s, and the first indication
defense officials. The outreach stage focuses on that Mount Rainier was reawakening arose from
976 Volunteer Coordination

crustal deformation measurements at the CVO. Contingency Policy: A Scenario Approach to Risk
A dense network of permanent global positioning Management of the Vesuvio Area in Naples, Italy.”
system (GPS) receivers in the area detected slight Journal of Contingencies and Crisis Management,
ground movements (less than 1 millimeter) almost v.10/2 (2002).
a year prior to the eruption. The subtle motions Waymer, Damion and Robert L. Heath. “Emergent
would not have been noticed by observing data Agents: The Forgotten Publics in Crisis
from a single instrument; only complex computer Communication and Issues Management
programs specifically designed to compile numer- Research.” Journal of Applied Communication
ous data sets and to seek out signals indicative Research, v.35/1 (2007).
of magma migration were able to distinguish the
preliminary warning signs.
Data from a cluster of Interferometric Syn-
thetic Aperture Radar (InSar) satellites orbiting
Earth were also critical. Satellites record images Volunteer Coordination
of the surface of Earth, and these images can be
combined with GPS data to show subtle move- Volunteers are valuable resources for disaster and
ments of the ground surface, or deformation. emergency management, but spontaneous volun-
Analysis software detected inflation of part of a teer convergence after crisis may hinder the effec-
deep magma chamber 10 miles beneath Earth’s tiveness and efficiency of response. Appropri-
surface. The deformation group’s scientists began ate volunteer coordination is a key determinant
to double-check the validity of the data and the of successful emergency response and recovery.
computer modeling and called in the leaders of Therefore, several public and nonpublic organi-
the other scientific groups. The scientists in charge zations at all levels are established for better vol-
did not have to be reminded that Mount Rainier unteer coordination under the direction of related
posed the highest risk of any volcano in the conti- emergency policies.
nental United States.
Volunteers and Volunteer Convergence
Richard K. Snow The National Response Framework of the United
Mary Snow States defines a “volunteer” as any individual
Embry-Riddle Aeronautical University accepted to perform services by the lead authorized
agency when the individual performs services with-
See Also: Air Travel; Avalanches and Landslides; out promise, expectation, or receipt of compensa-
Disaster, Definition of; Public Awareness and tion for services performed. Generally speaking,
Education; Risk Assessment; Vulnerability; U.S. there are two kinds of volunteers: the first is orga-
Geological Survey (USGS). nized volunteers who are affiliated with a recog-
nized voluntary organization, and the second is the
Further Readings spontaneous volunteers who offer to help or self-
Bruins, Hendrik J. and Walter L. Friedrich. “Review deploy to assist in emergency situations. In most
of ‘Fire in the Sea—The Santorini Volcano: Natural cases, the affiliated volunteers are trained, more
History and the Legend of Atlantis.’” Journal of professional, and better organized compared with
Contingencies and Crisis Management, v.13/4 unaffiliated volunteers. In the United States, some
(2005). nongovernmental organizations (NGOs) are mem-
Cavanaugh, John C. “Effectively Managing Major bers of Voluntary Organizations Active in Disaster
Disasters.” Psychologist-Manager Journal,v.9/1 (VOAD). The organized volunteers can be subdi-
(2006). vided into two categories: the ones affiliated with
Oliver, John E., ed. Encyclopedia of World VOAD or National VOAD members and the ones
Climatology. Dordrecht, Netherlands: Springer attached to other NGOs or organizations.
Reference, 2005. Volunteer convergence, the movement of large
Torrieri, Francesca, Grazia Concilio, and Peter number of volunteers toward a particular point,
Nijkamp. “Decision Support Tools for Urban is a prevalent phenomenon after disasters. The
 Volunteer Coordination 977

A row of shelter dogs eagerly wait for volunteers to walk them, June 24, 2011. At the peak of the Souris River flooding crisis in Minot,
North Dakota, over 500 pets of evacuees were temporarily sheltered at the Souris Valley animal shelter and cared for by volunteers.
Although volunteer engagement is a valuable resource for crisis management, appropriate volunteer coordination is critical for
successful response and recovery. Volunteer enthusiasm and convergence can overwhelm a local system’s ability to utilize volunteers.

personnel, informational, and materiel conver- nongovernmental disaster relief and assistance
gence can bring benefits as well as challenges. organizations as important stakeholders because
From one aspect, volunteers can be a significant they can provide resources and services during
resource of timely manpower, skills, and abilities. and after a major disaster or emergency. When a
They can provide valuable insight, resources, and disaster or emergency is declared, a “coordinat-
service to meet local community needs when local ing officer” is designated by the president imme-
communities are disrupted and resources are lim- diately to coordinate the disaster relief activities
ited after disasters. However, spontaneous and among different organizations. He/she will take
unorganized volunteers can also impede disaster the main role of coordinating the administration
response by creating health, safety, and security of disaster relief within the affected areas—not
issues to the stressed local first responders. There- only the activities among state and local govern-
fore, in some cases, overwhelmed local commu- ments but also coordinating with nongovernmen-
nities have to turn volunteers away because they tal disaster relief organizations like the American
are either ill equipped or unneeded. In order to Red Cross, with the agreement to operate under
solve this paradox—people’s willingness to volun- his/her advice or direction.
teer versus the local system’s capacity to use them The National Incident Management System
effectively—appropriate volunteer coordination (NIMS) is a management system designed to
and management is necessary. enable federal, state, tribal, and local govern-
ments; nongovernmental organizations (NGOs);
Policies and Public Coordination Organizations and the private sector to work together to miti-
The Robert T. Stafford Disaster Relief and Emer- gate, prevent, respond to, and recover from the
gency Assistance Act in the United States treats effects of incidents, regardless of cause, size,
978 Volunteer Coordination

location, or complexity. The NIMS can be used mission support. FEMA can also call up response
to verify available, qualified emergency response support through 15 Emergency Support Func-
personnel, including registered volunteers, quickly tions (ESFs) and eight Support Annexes. The ESF
and accurately. #6, Mass Care, Emergency Assistance, Hous-
At the local level, the local emergency opera- ing, and Human Services, and the Volunteer and
tions center (EOC) is the physical location where Donations Management annex are the most rel-
multiagency coordination occurs. Coordination, evant with voluntary organizations.
communication, resource allocation and track- At the regional level, FEMA also has a volun-
ing, and information collection, analysis, and tary agency liaison (VAL) to foster a strong rap-
dissemination are the core functions of an EOC. port among all the voluntary agencies and the
EOCs can be permanent or temporary organiza- FEMA regional offices. The VAL plays the con-
tions directed by a full-time emergency manager nection and coordination role between federal
or appointed official. agencies and voluntary organizations—not only
The state emergency operations center (EOC) sharing information about federal disaster-related
is the physical location where multiagency coor- programs and policies with NGOs but also pro-
dination occurs at the state level. A joint infor- viding voluntary agencies a role in a specific
mation center (JIC) may be established to coor- region and serving as principal contact.
dinate emergency information and other public
affairs functions. The state coordinating officer Organized Volunteer Coordination
(SCO) plays a critical role in managing the state In addition to public coordination organizations,
response and recovery operations following a several other organizations are also created to
disaster declaration, and the governor is responsi- help voluntary agencies address the challenges
ble for requesting federal assistance for incidents and coordinate their roles and services to provide
within his or her state. A joint field office (JFO) more effective service to disaster survivors. These
and unified coordination group (UCG) may be coordinating entities mainly include the National
established with officials from state and key fed- Voluntary Organizations Active in Disaster
eral agencies. The JFO is led by the UCG, which (NVOAD) and state and local Voluntary Organi-
comprises specified senior leaders representing zations Active in Disaster (VOAD).
interests not only of state, federal, and local juris- NVOAD was created in 1970 in Washington,
dictions but also the private sector and NGOs. D.C., by representatives from seven voluntary
The unified coordination group typically consists agencies active in disasters to improve single NGOs’
of the principal federal official (if designated), fed- fragmented, uncoordinated manners of disaster
eral coordinating officer (FCO), state coordinat- response. NVOAD grew rapidly and became a
ing officer, and senior officials from other entities forum where organizations can share knowledge
with primary statutory or jurisdictional respon- and resources throughout the disaster cycle to help
sibility and significant operational responsibility disaster survivors and their communities. At pres-
for an aspect of an incident. The composition of ent, National VOAD comprises approximately 50
the UCG will vary depending upon the scope and national nongovernmental organizations and 55
nature of the incident and the assets deployed in state and territory equivalents.
support of the affected jurisdiction. During major crises, NVOAD typically sends
The National Operations Center (NOC) is the representatives to the Department of Homeland
primary national hub and a continuously oper- Security/FEMA’s National Response Coordina-
ating multiagency operation center across the tion Center to represent the voluntary organiza-
federal government for incident management. tions and assist in response coordination. The
The National Response Coordination Center members of NVOAD must commit to working
(NRCC), which is the Federal Emergency Man- together, not competitively, toward the goal of
agement Agency’s (FEMA) primary operations effective service to disaster survivors. Through
management center, and the National Infrastruc- careful planning and preparation, NVOAD helps
ture Coordinating Center (NICC) are the main its member organizations behave in a coordinated
components of the NOC, providing integrated manner in time of disaster. NVOAD accomplishes
 Volunteer Coordination 979

it mission in several ways: meetings, education, people came with good intentions and willingness
outreach, publications, and representation of to help, they actually created a logistical night-
disaster-related concerns to the government. mare for professional emergency responders and
Agents at FEMA also know the importance of volunteer coordinators.
developing strong working relationships among The best way to deal with spontaneous volun-
government agencies at all levels and the volun- teers is to change them into trained and affiliated
tary agencies at all levels in emergency manage- volunteers. A contingency plan to deal with spon-
ment. FEMA participates in the annual meetings taneous volunteer convergence is necessary for
and other activities of both National VOAD and effective response. Some basic screening methods
state VOAD members. Meanwhile, FEMA main- can be developed, depending on the skills needed
tains its Memoranda of Understanding (MOUs) and the training situation of each volunteer. Work
with individual voluntary agencies and works that does not need many professional skills can
closely with NVOAD member organizations be designated for these unprofessional volunteers.
individually. FEMA contributes to increasing the Local emergency managers can also coordinate
public awareness of NVOAD, provides financial with some VOAD members or other professional
support and training to NVOAD and VOAD NGOs and ask them to provide the necessary
members, and assists them to develop partner- training to these show-up volunteers. The trained
ships among the NGO members and the private volunteers also can take the role of trainer when
sector. NVOAD encourages information sharing there is a lack of professional personnel. Finally,
among its members and FEMA, assists FEMA effective communication is very useful to prevent
after a major disaster strike by convening meet- useless volunteer convergence while attracting
ings of the voluntary sector to coordinate an effec- needed volunteers.
tive response and recovery, and encourages disas- In addition to coordinating with other NGOs,
ter engagement through outreach, education, and some local emergency managers prefer to develop
local community involvement both before and their own volunteer programs. In this situation,
after disasters occur. first an agency and program needs analysis is nec-
In addition to VOADs, some other nongovern- essary. Then a well-written volunteer job descrip-
mental organizations and businesses also provide tion can be disseminated. The following steps
volunteers for disaster preparedness and response. are recruiting, placing, training, supervising, and
Some companies have already established volun- evaluating volunteers. Finally, a program evalua-
teer programs and encourage their employees tion can be implemented.
to do volunteer work for communities. Also,
some local citizen corps programs can be used to Ziqiang Han
recruit, train, and maintain emergency manage- University of Delaware
ment volunteers. Qiujie Zhang
Beijing Academy of Science and Technology
Spontaneous Volunteer Coordination
Spontaneous volunteers, also known as unaf- See Also: Collaboration; Contingent Coordination;
filiated volunteers, are those who offer to help Coordination; Coping Capacity and Response
or self-deploy to assist in emergency situations Capability; Crisis Communications; Department of
without fully coordinating their activities. For Homeland Security (DHS); Disaster Declaration;
example, if a train accident happens, nearby Disaster Declaration Officer; Doctors Without
residents may rush to the accident site to help. Borders; Emergency Operations Center; Emergency
These volunteers can supply some immediate Public Information; Emergency Responders;
assistance to the initial emergency response, but Emergency Support Functions; Federal Emergency
they can also present significant challenges. For Management Agency (FEMA); Incident Management;
example, after the September 11 terrorist attacks Incident Response; Mutual Aid and Assistance;
in 2001, hundreds of people from both in and out National Incident Management System (NIMS);
of the state showed up in the small “ground zero” National Response Framework; Nongovernmental
areas directly affected by the event. Though these Organizations; Office for the Coordination of
980 Vulnerability

Humanitarian Affairs (OCHA), UN; Operational to result from a particular hazard or assemblage
Plans; Response; Response Team; Salvation Army; of hazards of a given magnitude.
Stafford Act; State Emergency Management Agencies.
Hazard Plus Vulnerability Equals Risk
Further Readings In the analysis of disaster, risk is basically the
Federal Emergency Management Agency. “FEMA product of hazard and vulnerability. Studies car-
Independent Study 244.a: Developing and ried out in the late 1970s and early 1980s called
Managing Volunteers.” (2010). http://training.fema into question the primacy of the former over the
.gov/EMIWeb/IS/is244a.asp (Accessed December latter and suggested that, as a result of feedback
2011). mechanisms, vulnerability is the most important
Federal Emergency Management Agency. “FEMA component of risk and the one factor that is most
Independent Study 288: The Role of Voluntary likely to explain it. One problem with both risk
Agencies in Emergency Management.” (1999). and vulnerability is that they are not tangible
http://training.fema.gov/EMIWeb/is/is288.asp quantities. In the same way that friction comes
(Accessed December 2011). into existence when it is mobilized by resistance
Federal Emergency Management Agency. “Robert T. to a force, so vulnerability is fully manifest only
Stafford Disaster Relief and Emergency Assistance when hazards materialize and threaten a person,
Act, as Amended, and Related Authorities.” asset, or activity. This complicates both the mea-
Washington, DC: FEMA, 2007. surement and the understanding of the phenom-
U.S. Department of Homeland Security. “National enon. However, it can be estimated using indica-
Incident Management System.” Washington, DC: tors, which must be applied to whichever of its
DHS, 2004. fundamental dimensions are most important:
U.S. Department of Homeland Security. “National physical, environmental, social, economic, cul-
Response Framework.” Washington, DC: FEMA tural, health-related (medical and psychological),
Publications, 2008. and institutional (including political). Given that
U.S. Department of Homeland Security. “National it is a multidimensional phenomenon, vulnerabil-
Response Framework: Emergency Support ity tends to be complex, with linkages and con-
Function #6: Mass Care, Emergency Assistance, sequences that affect many socioeconomic pro-
Housing, and Human Services.” Washington, DC: cesses. In synthesis, the vulnerability approach
FEMA Publications, 2008. begins with the principle that people, not physical
U.S. Department of Homeland Security. “National forces, are the most fundamental cause of risks
Response Framework: Support Annex: Volunteer and disasters. Hence, there is a growing tendency
and Donation Management.” Washington, DC: to focus on the vulnerability of communities,
FEMA Publications, 2008. because, although the approach can be used at
any scale from worldwide to individual, disaster
risk reduction must begin at the local level if it is
to be successful.
Vulnerability to disaster is often equated with
Vulnerability poverty. In strict terms, the two are not entirely
synonymous, as poor communities are sometimes
Vulnerability represents the potential for harm able to organize and defend themselves against
incurred by a person, asset, activity, or assem- hazard impacts with some degree of success. This
blage of items that is at risk. In the present con- is especially true of indigenous knowledge on
text, the risk is motivated by natural, technologi- how to adapt to hazard, which may have accreted
cal, social, intentional, or complex hazards and over decades or centuries of attempts to regulate
the potential outcome is disaster. As it is mainly impacts by trial and error. However, it is well
the result of social, economic, political, and cul- known that the world’s poor are the most vulner-
tural factors in decision making, vulnerability is able, especially where they are marginalized by
constructed socially. It is usually assessed or mea- mainstream political and economic forces. Such
sured in terms of the potential degree of loss likely groups lack the resources and the political power
 Vulnerability 981

to reduce hazard impacts. Accordingly, the vulner- societies more vulnerable. Increases in popula-
ability approach to disaster risk reduction, which tion are particularly significant in areas of high
pays particular attention to social justice, prefers hazards, such as world’s coasts, including those
a ‘bottom-up” or grassroots approach, and one at risk of tsunamis, storm surge inundation, and
that is based on “soft” rather than “hard” mea- sea-level rise. Social and technological complex-
sures—that is, it gives preference to social orga- ity are relentlessly increasing: one major source
nization, management, and administrative mea- of vulnerability is the degree of interconnected-
sures (such as land use control) over engineering ness in world commerce, such that disruptions in
solutions to hazard problems. Many studies of one area may have repercussions for economic
disaster have shown that the key to success is to activities in places that are otherwise quite unaf-
encourage participatory governance, or in other fected by the impact. Thus, the eastern Japa-
words, to give people and communities a stake in nese (Tohoku) earthquake and tsunami not only
the process of managing and reducing their own shut down the automotive industry in the area
vulnerabilities and increasing their own resilience. of direct impact but also reduced production in
In disaster studies, the investigation of haz- other countries and continents, as a result of sup-
ards, particularly those of geophysical origin, ply-chain failures.
has slowly given ground to the examination of
vulnerability, starting with physical susceptibil- Vulnerability Assessment
ity to the generation of casualties, damage, and In 1982, a seminal publication by UNESCO and
destruction, and moving on to social, economic, the United Nations Disaster Relief Organization
and cultural fragilities. There is now a movement (UNDRO) defined vulnerability as “the degree of
to progress from this to the active search for loss to a given element or set of elements at risk
means of increasing resilience and thus to turn resulting from the occurrence of a hazardous phe-
a negative focus of study into a positive one that nomenon of a given magnitude. It is expressed on
places more emphasis on solutions. This begs the a scale from 0 (no damage) to 1 (total loss).” This
question of the extent to which vulnerability is was intended to enable inventories of vulnerability
the opposite of coping, capacity, and resilience. to be compiled by assessing the different elements
Certainly, reducing vulnerability is an essential and summing or averaging the results on a propor-
prerequisite for increasing resilience, and coping tionate scale. Vulnerability assessment is compli-
mechanisms need to be invoked to do so yet vul- cated by the need to investigate diverse phenom-
nerability reduction is not the only factor in resil- ena (such as the structural robustness of buildings
ience, which requires a combination of participa- and the quality of mental health under duress). It
tion, communication, adaptability, attitude, and also involves varied geographical scales (indeed, it
redundancy. Nevertheless, resilience is unlikely is often scale-dependent) and dynamic processes
to be achieved unless vulnerability is well under- subject to different speeds and rhythms of change.
stood, both as a phenomenon and as a set of Measuring vulnerability in the 21st century
dynamic processes. involves probing concepts such as “susceptibil-
In the modern world, there is a continual dia- ity” and “fragility.” It requires that vulnerability
lectic between processes that create vulnerability be differentiated from “exposure,” which may
and those that reduce it. For example, the world’s mean that an asset, or a community, is in the line
23 “megacities” (metropolises with populations of attack by a potential hazard but does not indi-
of more than 10 million) are continually extending cate the extent to which it is at risk of a particular
into areas threatened by hazards such as flooding, level of harm. Hence, an electrical-power generat-
landslides, and ground subsidence. At the same ing station may be exposed to flooding because
time, building codes, land use control measures, it is located in a floodplain or on a coast, but it
and the organization of emergency management may not be very vulnerable if measures have been
services all contribute to reducing the potential taken to protect it against inundation.
impacts of future disasters. It remains to be seen Two alternative formulations put vulnerability
which of these opposing forces will triumph. In in a context of the other phenomena that need to
the meantime, several different trends are making be assessed or measured:
982 Vulnerability

(Hazard × Vulnerability × Exposure) / Resilience Another way to look at it is via the following clas-
= Risk [ -> Impact -> Response] sification of vulnerability types:

Alternatively: • Total: life is generally precarious. This is the

primitive state in which society is not yet
Hazard × (Vulnerability / Resilience) organized to deal with the threat of disaster.
[× Exposure] = Risk [ -> Impact -> Response] • Economic: people lack adequate
occupation. In disaster, livelihoods are a key
The choice of which conceptual equation to element of vulnerability, as they represent a
follow depends on whether or not one wishes vital source of income for recovery.
to make exposure an optional component and • Technological (or technocratic): caused
whether one considers resilience to be the direct by the riskiness of technology. The
opposite of vulnerability (second equation) or the proliferation of technology induces social
opposite of the whole assemblage of hazard, vul- and economic dependencies on systems that
nerability, and exposure (first equation). In its own may be damaged or taken out of service by
right, resilience embodies a combination of adap- disasters.
tation to hazard and the adoption of measures • Residual: caused by lack of modernization.
designed to resist impacts. Both elements can lead As vulnerability is a dynamic phenomenon,
to the reduction of vulnerability, for example, by it evolves with society and hazards. Hence,
forbidding the construction of buildings in highly it needs to be reduced by a constant process
floodable areas (thus inducing human activities to of adaptation to change.
adapt to the hazard) and building walls to contain • Delinquent: caused by corruption,
high water levels. negligence, and so forth. The predominance
As vulnerability is revealed in the impact of of unregulated special interests, such as
disasters, it can be given a simple tripartite clas- organized crime, can lead to vulnerabilities
sification. “Primary vulnerability” involves sim- that are high when the consensus in society
ple cause and effect. For example an earthquake is that they should have been reduced.
demolishes a building that is vulnerable to seismic • Newly generated: caused by changes in
forces because it does not have sufficient resis- circumstances. Emerging risks (e.g., new
tance to dynamic acceleration of its foundations. forms of pandemic disease) and changes
“Secondary vulnerability” involves the interaction in both hazard and exposure may raise
of causes, as when an earthquake causes a debris vulnerability, and the societal response
avalanche into a reservoir, which then leads to to it may lag behind because of inertia in
overtopping of the dam and downstream flood- collective perception and decision making.
ing. Finally, “complex vulnerability” results from
more complicated interactions, as when parts of In situations of complex vulnerability, several
critical networks and infrastructure are rendered of these types may coexist, which is to be expected
inoperable. in areas threatened by multiple hazards.
It was noted above that vulnerability is pri-
marily the result of the social forces inherent in The Context of Vulnerability to Disaster
human decision making. In fact, total vulnerabil- Since 1970, the gap between rich and poor has
ity is the sum of risk mitigation factors plus risk widened continuously. As the world becomes
amplification factors mediated by risk perception, more polarized and the prospects for social jus-
which can exert either a negative or a positive tice for marginalized people recede, so vulnerabil-
effect. Well-perceived and dreaded risks stimulate ity increases among the poor and disadvantaged.
a demand for vulnerability reduction measures; This is part of a process of risk transfer that is con-
underrated and ignored risks may lead to impacts sequent upon the globalization of commerce and
that are worsened by neglect of such measures. the exploitation of labor. In the modern world,
It was also noted above that vulnerability can losses of capital in disaster have so far not been
be treated according to a series of categories. catastrophic enough to threaten the global system
 Vulnerable Populations 983

of production. Capital has proven highly flexible Further Readings

in the face of disaster risks. If labor has proven Adger, W. Neil and Nick Brooks. “Does Global
highly vulnerable, this has not greatly upset the Environmental Change Cause Vulnerability to
leading decision makers. Disaster?” In Natural Disasters and Development
Considerable uncertainty surrounds the ques- in a Globalizing World, Mark Pelling, ed. London:
tion of “fat-tailed” distributions. These stem from Routledge, 2003.
the notion that hazard impacts are not regulated Aven, Terje. “On Some Recent Definitions and
by a simple magnitude-frequency rule in which Analysis Frameworks for Risk, Vulnerability, and
very large events are less of a threat because they Resilience.” Risk Analysis, v.31 (2011).
are so improbable. Instead, high-magnitude disas- Birkmann, Jörn, ed. Measuring Vulnerability to
ters are viewed as more likely than Gaussian prob- Natural Hazards: Towards Disaster Resilient
ability would predict, and vulnerability to them is Societies. Tokyo: United Nations University Press,
of course very high. 2006.
Climate change scenarios tend to reinforce the MOVE 2011. Assessing Vulnerability to Natural
“fat-tailed” distribution concept by implying that Hazards in Europe: From Principles to Practice.
tomorrow’s disasters may be orders of magnitude A Manual of Concept, Methodology and Tools.
larger than yesterday’s. Moreover, the concept of European Commission Project “Improvement of
cascading disasters suggests that the bulk of the Methods for Vulnerability Assessment (MOVE).”
vulnerability may not reside in a simple cause- http://www.move-fp7.eu (Accessed May 2012).
effect relationship but be present in the secondary Natural Disasters and Vulnerability Analysis. Geneva:
effects. At the simplest level, it may not be the Office of the United Nations Disaster Relief
earthquake but the tsunami it causes that does the Coordinator, 1982.
damage. In more complex cases, the loss of criti- Weichselgartner, Jürgen. “Disaster Mitigation: The
cal facilities may be the real disaster, irrespective Concept of Vulnerability Revisited.” Disaster
of what causal agent was present at the outset. Prevention and Management, v.10 (2001).
Despite the bleak picture of steadily increasing Wisner, Ben. “Assessment of Capability and
vulnerability among the least influential elements Vulnerability.” In Mapping Vulnerability:
of society, there is an alternative view of global- Disasters, Development and People, Greg Bankoff,
ism. It is gaining ground in the light of the debate Georg Frerks, and Dorothea Hilhorst, eds.
about sustainability. For disaster risk reduction London: Earthscan, 2004.
(DRR), this has two elements: DRR must interact
well with the need to create sustainable lifestyles
and adequate stewardship of resources, and DRR
must be sustainable in its own right. The misuse
of resources is obviously a source of future vulner- Vulnerable Populations
ability; meanwhile, a robust and resilient response
to disasters must involve identifying, measuring, Vulnerability to crises is the result of several fac-
and reducing vulnerability in each of the catego- tors, including physical proximity to a risk, per-
ries outlined above. Hence, although it is a nega- sonal characteristics such as education, financial
tive concept, vulnerability must be understood and assets, constraints, physical issues, and choices
faced up to if the more positive goals of a resilient, made by an individual. It involves both environ-
sustainable society are ever to be achieved. mental and social components such as risk, struc-
tural issues, gender, race, socioeconomic status,
David Alexander occupation, resources, social dependence, and
Global Risk Forum, Davos social networks. Moreover, issues such as home
location can also be related to crisis vulnerability.
See Also: Climate Change Adaptation; Coping It is widely accepted that high-risk groups vulner-
Capacity and Response Capability; Disaster Risk able to a crises include ethnic minorities, lower-
Reduction; Hazard, Definition of; Impact, Definition income groups, the young and the elderly, people
of; Interdependence; Risk Assessment. with disabilities, and female-headed households.
984 Vulnerable Populations

Therefore, the proportion of risk usually falls interpersonal or community networks, thus caus-
unevenly on different populations. ing a delay in response time.
Vulnerability is, to an extent, the product of
social and physical inequalities, the social fac- Disability
tors that influence or shape the susceptibility of The elderly and disabled have increased vulner-
particular groups to harm, factors that impede abilities in a crisis. Populations that are physically
their ability to respond, and the physical differ- or mentally disabled may be less able to respond
ences between persons. Past research supports the quickly or to take proper protective action during
contention that racial minorities and economically crisis events and therefore more likely to experi-
disadvantaged persons are typically hit hardest by ence harm. People living with disabilities have
a crisis. For example, nonminority and people of needs for particular services that may be unfamil-
higher socioeconomic status are usually better pre- iar to emergency workers or the general popula-
pared for disasters and serious accidents than oth- tion. Therefore, a person with a disability may be
ers. Minorities are at a disadvantage in terms of less likely to survive a crisis because he or she is
crisis preparedness because they are more likely to unwilling to go to emergency shelters or believes
have lower incomes, have nonexpendable finances, safety centers cannot provide for specific needs.
and be unemployed They also have less access to Further, some individuals with disabilities receive
transportation. The variability in crisis prepared- aid from others via some formal or informal
ness across ethnicity and socioeconomic status arrangement and may wish to wait before decid-
has been demonstrated in previous research. In an ing to react to the crisis. Finding someone with
analysis of the locations with the highest death toll whom to begin a new informal relationship may
after Hurricane Katrina, findings suggest that the be difficult. Given the time pressures of a disaster,
storm had the greatest impact on New Orleans’ collaboration of that assistance may be difficult.
black community. The neighborhoods hit hardest With more people now living with disabilities of
were often either the poorest or the most segre- some kind than ever before, a need has emerged
gated in the city. to more closely examine the needs of those with
Individuals with lower incomes, often socially disabilities during crisis events.
segregated on the basis of race, age, and class, do
not have resources to prepare for the onset of a Immigration
crisis. Fully aware of their limited resources, these Throughout the crisis life cycle, immigration
segregated populations tend to cling to and pro- status causes a unique challenge. Many undoc-
tect what they do have, causing them to be much umented immigrants do not seek health care
less likely to evacuate their homes during times of through traditional means because they are either
crisis. Thus, when disaster strikes, these individu- unaware of that for which they are eligible or
als often lose all possessions and must struggle to they are fearful because of their immigration sta-
obtain basic necessities, especially shelter. tus. Immigration status also raises the question
The most effective means of adequately prepar- of language, which will be a barrier in commu-
ing vulnerable populations for a crisis or disaster nication during a crisis. In the United States, cri-
may be in messages that are disseminated well sis and emergency messages are often broadcast
before the onset or threat of such an event. How- only in English, leaving many other groups need-
ever, differences exist in terms of their reliance on lessly vulnerable to the dangers. For example,
specific media within vulnerable populations, as nearly a third of New Orleans’ Spanish-speaking
such populations tend to view media that are not residents spoke English at a low proficiency rate,
local in format. Thus, practitioners should iden- raising the question about the need for bilingual
tify person or community networks to supple- communication of risks. With the exception of
ment the diffusion of emergency messages. Addi- a few markets, major television stations provide
tionally, some research has noted that specific only English programming; even in those markets
vulnerable populations are less likely to accept a that provide bilingual programming, stations
risk or warning message as credible without con- are often unprepared for bilingual broadcasts of
firmation of the message from others, specifically emergency messages. After Hurricane Katrina,
 Vulnerable Populations 985

Latino respondents were found to be lacking such populations. The goal of resilience is to help
preparations and/or did not anticipate the poten- vulnerable populations engage in the process of
tial strength of the storm and the implications preparing for, withstanding the onset of, and rap-
of staying put or evacuating. If local media out- idly recovering from a crisis, often returning to a
lets are prepared to broadcast crisis messages in sense of normalcy described as a characteristic of
multiple languages and address the limitations the pre-crisis state.
of emergency response if the directions are not
followed, it could reduce the harm and duration Jennifer A. Burke
of the potential crisis and potentially reduce the Strayer University
burden on local medical facilities that also may Patric R. Spence
not be prepared to meet such needs. University of Kentucky

Children See Also: Blame, Politics of; Catholic Relief Services;

Children represent a vulnerable group that often Commodity Shortages; Cooperative for Assistance
doesn’t receive direct attention in crisis man- and Relief Everywhere (CARE); Coping Capacity
agement. Children have physical vulnerabilities and Response Capability; Evacuation; Immigration;
to both the crisis trigger events and long-term Mass Media; Mental Illness; Poverty; Preparedness;
impacts of the crisis. Children represent a vulner- Refugees and Forced Migration; Vulnerability.
able group to crises, but at the same time chil-
dren should be part of the crisis planning process Further Readings
and can actively participate in crisis preparedness. Burke, J. A., P. R. Spence, and K. A. Lachlan.
Many programs are implemented in schools and “Crisis Preparation, Media Use, and Information
through the mass media that allow children to Seeking During Hurricane Ike: Lessons Learned
learn and practice crisis preparedness. for Emergency Communication.” Journal of
Children recover from traumatic events such as Emergency Management, v.8 (2010).
crises with time and various types of support, often Patton, D. and D. Johnston. “Disasters and
without professional intervention. Although reac- Communities: Vulnerability, Resilience and
tions to crises are time specific, there is a range of Preparedness.” Disaster Prevention and
risk factors that can increase vulnerability to lon- Management, v.10 (2001).
ger-term effects. In addition to physical vulnera- Peek, L. “Children and Disasters: Understanding
bilities, children have emotional vulnerabilities to Vulnerability, Developing Capacities, and
crises. They may develop emotional issues in the Promoting Resilience—An Introduction.”
aftermath of crises that require short-term coping Children, Youth and Environments, v.18 (2008).
or long-term counseling. Additionally, they are at Spence, P. R., et al. “Media Use and Information
risk for behavioral issues in the aftermath of a cri- Needs of the Disabled During a Natural Disaster.”
sis. Children who maintain an active and normal Journal of Health Care for the Poor and
schedule and take action after a crisis have been Underserved, v.18 (2007).
found to be less likely to develop post-traumatic Tierney, K. L., W. J. Petak, and H. Hahn. Disabled
stress disorder (PTSD) symptoms. Persons and Earthquake Hazards. Monograph No.
Often the term crisis resilience is used to 46. Boulder: University of Colorado, Institute of
describe any attempt to reduce vulnerability in Behavioral Science, 1998.
 W
War Crimes Similar values are included in the rules of chiv-
alry that banned attacks against the wounded, the
War crimes are committed during armed con- sick, women, and children.
flicts, whether international or internal, and this The first case of an international trial for war
main aspect distinguishes war crimes from other crimes took place in 1474 in Germany, when
crimes of aggression, or crimes against justice, or Peter van Hagenback was convicted, sentenced
against the whole of humanity. Thereby, “war to death, and executed for allowing his troops
crimes” refers to the violation of the principle that to rape, murder, and pillage. War crimes include
requires soldiers to act humanely even though the assaults, including killings, of civilians, confined
mission of these soldiers is to kill the enemy sol- soldiers (e.g., soldiers who are held as prisoners
diers. This thin line that separates the mercy and of war), nonconfined soldiers (e.g., use of poisons
the compassion that soldiers need to show during that produce more suffering than is militarily nec-
war from the idea of war crimes committed by essary for winning battles), and property or the
soldiers makes the international prosecution of environment (e.g., destruction of monuments that
such crimes a complicated process. is not necessary to win battles).
However, the most clearly defined war crimes
would be those that violate a multilateral interna- War Crimes and Humane Treatment
tional treaty (e.g., The Hague and Geneva Con- War crimes are considered crimes against humane-
ventions) that defines certain tactics that need ness rather than against humanity. Humaneness is
to be applied by one state against another state a context-oriented term and refers, for instance,
during war. There have also been some customs to the use of poison rather than bullets in battle.
that condemn certain tactics accepted as a kind of However, the view of humaneness as a context-
common law of war crimes. Thereby, such trea- based term varies across human history. For
ties and customs protect combatants when, for instance, the use of a catapult was once consid-
instance, they are prisoners of war, injured on the ered to be a war crime, but there is no such an
battlefield, and surrendered during battle. They issue nowadays. Furthermore, the definition of
also protect noncombatants against any deliberate what is humane in the battlefield is related not
or/and indiscriminate attack. Ancient world his- only to the type of weapons used but also to the
torian Herodotus refers to rules of war that were tactics applied by both sides. Thereby, raping
recognized by both the Persians and the Greeks. of women of a town taken after a battle ended

987
988 War Crimes

Three psychosocial workers (left) with the International Rescue Committee (IRC) talk with IRC’s gender-based violence program
coordinator (right). The IRC helps rape survivors in South Kivu, Democratic Republic of the Congo (DRC), restore their physical and
mental health. Since 1994, hundreds of thousands of women and girls in the DRC have been raped. Many are afraid to come forward
and therefore suffer in silence. In 2008, the United Nations Security Council voted unanimously to classify rape as a weapon of war.

was thought to be normal in the past but is now the mission requires. Certain principles about the
strongly condemned. Therefore, the definition of rules of war emanate from international treaties
what is humane that draws the boundaries of the and customs. Thereby, the principle of minimal
rules of war and what counts as a war crime is suffering refers to those acts that are necessary
mainly based on the development of new technol- for winning the battle. Tactics and weapons are
ogies of weapons and the acceptable tactics that to be chosen in such a way that minimizes the
change over the centuries. suffering of the enemy. Moreover, the principle of
Humaneness includes compassion and mercy discrimination mentions that soldiers should treat
in special circumstances of vulnerability of oth- civilians differently from enemy soldiers. Also,
ers. Such vulnerability may refer, for example, to the principle of proportionality points out that
a soldier who does not have a weapon at all when soldiers need to use an amount of force that is
the enemy soldiers do. Thereby, the violation of neither too strong nor too weak for the mission
humaneness in special circumstances, as described to be completed.
above, constitutes a war crime. For instance, U.S.
soldiers leaving for Kuwait in 1990–91 were Terrorism
given a pocket card that summarized the rules of Terrorists are not normal soldiers; their attacks
warfare. These written rules specified the soldiers’ do not take place with the support of a state,
commitment to fight only combatants, attack and they seem not to conform to the principle of
only military targets, spare civilian persons and discrimination. The rules of war provide us with
objects, and restrict destruction based on what a foundation that makes soldiers feel pride and
 Warm Site 989

honor and distinguishes them from simple crimi- action plan and manage complex operations in
nals. However, terrorists totally ignore the rules response to such crimes.
of war and the just war theory, which refers to
the beginning of a morally justified war and the Konstantinos Papazoglou
tactics of war that are morally justified. New York University

Sexual Abuse as a War Crime See Also: Civil War; Religious Violence; Terrorism.
The wars in Croatia and Bosnia-Herzegovina
became synonymous with rape. These atrocities Further Readings
made many people aware of rape as a common May, Larry. War Crimes and Just War. New York:
method of warfare and political oppression glob- Cambridge University Press, 2007.
ally. Sexual abuse in these wars was directed pri- Neier, Aryeh. War Crimes: Brutality, Genocide,
marily against women. Male prisoners were also Terror, and the Struggle for Justice. New York:
sexually abused and humiliated by their captors. Times Books, 1998.
Also, detentions of raped women were deliber- O’Neill, Kathleen. “The Balkan War Legacy: Rape as
ately prolonged in order to force impregnation of a Weapon of War.” (April 2012). http://www.pol
the victims of rape. However, the fact that some icymic.com/articles/6618/the-balkan-war-legacy
rapes were committed for the purpose of impreg- -rape-as-a-weapon-of-war (Accessed August 2012).
nating the victims initiated the position by some Turkovich, Tanya. “As DR Congo Crisis Persists,
American feminists that these crimes should be UN Classifies Rape as Weapon of War.” (June 24,
classified as genocide. Moreover, there was a dis- 2008). http://www.unicef.org/infobycountry
cussion among feminists on whether this crime /drcongo_44598.html (Accessed August 2012).
should be labeled as a war crime. Many scholars
currently believe that rape is frequently commit-
ted during an armed conflict and, hence, it should
be explicitly, and not generally, identified as a war
crime in international treaties. Warm Site
Crisis Managers and War Crimes A warm site is a designated standby recovery
Knowledge about the issues of war crimes will location where the organization can move its crit-
enable crisis managers to recognize critical situa- ical business processes and applications following
tions that could be identified as war crimes. They a disruption to the site where they are normally
will therefore be able to disseminate this knowl- hosted. It may or may not have the same capac-
edge about the atrocities of war crimes among ity as the original site, depending on the organi-
others, such as politicians, government officials, zation’s requirements. The site offers an agreed
professionals in nongovernmental organizations, number of workstations and is partly equipped
students, and the general public. A better under- with hardware, data and voice communications
standing of and involvement in the study of war interfaces, electricity, and environmental condi-
crimes will promote discussions and continue tioning but can enable the organization to assume
to strengthen the Geneva Convention and other only essential operations and processes after addi-
agreements intended to protect society from the tional provisioning of computers and other equip-
horror of war crimes. Therefore, experts can ment, software, and the last backup of applica-
advocate the formulation of an effective public tions that will be shipped to it in the event of a
policy on these vital issues in order to prevent primary site outage.
the repetition of mistakes, guarantee the imple- Warm site services are offered by vendors on
mentation of previously tested best practices, and an annual subscription fee that includes access to
prevent such crimes from happening again in the the site, the lease of equipment preconfigured to
future. This way, crisis respondents and critical the organization’s needs or, in the case that this is
decision makers can develop necessary capabili- owned by the organization, rack space allocation.
ties and expertise to develop a unified response The fee varies with the service level agreement
990 Warm Site

(SLA), which may guarantee the site to be backed ship extra equipment and load data from backup
up and running in 12, 24, or even 48 hours and media may extend the recovery time beyond the
also includes a number of disaster recovery tests RTOs determined in the BCP.
per year (usually two one-day tests). When the Warm sites may also be obtained on a shared
site is needed, the organization pays an additional facility basis. Organizations that choose this
“declaration fee”—this happens when preautho- option make sure that their contracts include a
rized personnel declare a disaster or a severe out- “no lockout” clause that guarantees the use of an
age that will trigger relocation to the site. Some appropriately preconfigured facility even in peri-
recovery vendors apply the declaration fee against ods of high demand.
the first few days of recovery (in accordance with An alternative to vendor-offered warm site ser-
the SLA) and charge a daily use fee as long as the vices is a warm site provided through reciprocal
warm site is occupied. agreement with a trusted partner organization
The organization may also opt for “hot site” that has a similarly configured site in a convenient
services where the vendor ensures immediate location. By this agreement, the organization that
failover or mirroring capability and guarantees is struck by a disaster or experiences an outage
a fully operational and backed-up facility within is allowed to use the partner organization’s office
four hours from declaration of severe outage space and equipment (normally during third shift)
or disaster. Personnel can report to the hot site in order to perform prearranged and agreed oper-
instead of to the primary facility and can start ations. The agreements must be detailed because
working on their daily business functions in a the hosting site might also have to run in degraded
suitable office environment with equipment that mode to some extent. Because this arrangement
fully replicates their office operations. However, normally includes no maintenance costs (it may
this “nearly instantaneous” failover of operations involve only prearranged fees to be paid upon acti-
is a highly costly option that not many organi- vation by one of the partners), this is a low-cost
zations are ready to opt for. The decision about alternative to a warm site recovery strategy that
the recovery strategy service level (cold, warm, or can provide speedy operation resumption, even
hot) will depend on the recovery time objectives if, at times, in degraded modes. Reciprocal agree-
(RTOs) and recovery point objectives (RPOs) set ments may also be tested in the same way that
by the organization’s Business Continuity Plan vendor warm site services are tested. It should be
(BCP) and, of course, the budget available for noted, however, that with changing requirements,
alternate sites. equipment and operating software may not be
Warm sites are the choice that most organiza- compatible between both sites, and the reciprocal
tions gravitate toward, as they are a reasonable warm site agreement does not bind any party to
compromise between cost and protection. As they keep up with the other. Information security may
already contain major equipment components, also be a concern in such an arrangement.
the elapsed time necessary to fully restore the
organization’s business processes is significantly Alexandros Paraskevas
reduced. Moreover, the annual tests included in Oxford Brookes University
the SLAs allow for better documentation and
configuration of the required recovery assets See Also: Business Continuity Management; Business
and facilitate the effective personnel and equip- Continuity Planning; Business Continuity Planning
ment relocation as well as the efficient resump- Life Cycle; Business Resumption Planning; Cold Site.
tion (recovery time actuals [RTAs]) of critical
business processes. With additional configuration Further Readings
pre-staged, carried out, and tested on-site, RTAs Hile, Andrew N. Business Continuity: Best Practices—
may be further reduced, depending on the scope World-Class Business Continuity Management.
of the recovery environment, the number of pro- Brookfield, CO: Rothstein Associates, 2005.
cesses, and the amount of data to be restored. On Snedaker, Susan. Business Continuity and Disaster
the other hand, there is always the risk that travel Recovery Planning for IT Professionals.
time of personnel to the warm site and the time to Burlington, MA: Elsevier, 2007.
 Warning 991

Whitman, Michael E. and Herbert J. Mattord. of these subsystems will render the whole warn-
Principles of Information Security. 4th ed. Upper ing process ineffective.
Saddle River, NJ: Cengage Learning, 2011.
On the Effectiveness of Warnings
Various factors influence the effectiveness of warn-
ings. The first is the predictability of the hazard.

Warning Imprecise Predictions

The problem of imprecise predictions is com-
On Monday, May 3, 1999, 76 tornadoes occurred pounded by other factors that influence the effec-
in seven hours across the states of Kansas, Okla- tiveness of warnings. Precise prediction is diffi-
homa, and Texas. The largest was a rare and cult or impossible if there are no precursors, or
extremely violent twister rated at magnitude 5 on if these are unclear or indeterminate. Likewise,
the Fujita scale, with wind rotation speeds of up to the speed of onset will determine the window of
500 kilometers per hour (km/hr) and a path that time available to assess the situation and issue a
was 130 km long and averaged 1.5 km wide. Dam- warning. The frequency, duration, and size of the
age exceeded $500 million, and 4,319 buildings impact are also relevant factors, as is the degree
were destroyed. However, good monitoring and to which it can be limited or controlled by timely
public communication processes were in place, action. Nevertheless, a clear situation of identifi-
which allowed warning times that varied between able precursors that have a known sequence and
20 and 120 minutes. This was ample time to take predictable timing would provide a good basis
cover. As a result, there were only 44 deaths, a for launching the warning process. Floods, snow
significant number but far fewer than would have avalanches, hurricanes, and storms often show
been the case if there had been no warning. promise in this respect. Despite a long, drawn-out
A warning is a recommendation or order for search for reliable precursors, earthquakes are
action to take place on the basis of a prediction largely unpredictable in the short term (although
or forecast. Predictions should be made by scien- general seismicity is known and predicted).
tists or other qualified experts, whereas warnings Through enhanced heat flux and surface defor-
should be the responsibility of public adminis- mation, volcanoes offer a good basis for predict-
trators, usually at the regional or local author- ing that an eruption is imminent, but it remains
ity level. Emergency management agencies are difficult to pin down the exact timing of its onset
typically responsible for warning the public about or how long it will last.
impending hazards. Hence, the warning process
has three subsystems: technical, administrative, Anatomy of a Warning System
and social (Figure 1). Absence of efficiency of any In synthesis, a warning system should consist of
technical and social components, monitoring and
evaluation procedures, technology and organiza-
tion, planning, and communication. The absence
of any of these ingredients is likely to compromise
the effectiveness of the whole system.
There are several stages in the implementation
of the warning process. To begin with, decision
makers who are responsible for public safety must
recognize that a warning is needed and that it is
feasible. They must then decide whom to warn,
about what, and by what means. A system must
be designed, installed, and tested. It must be able
to receive reliable information from the monitor-
ing of a hazard with sufficient time to convert it
Figure 1 The three subsystems of the warning process into a warning message and disseminate this to
992 Warning

users; for example, the general public in a given communicating with the public, a basic choice
area, or a specific subset of the public, such as must be made regarding the means of delivering
disabled people. A warning message should state the warning. Television and radio are useful if a
the following: sufficient proportion of the beneficiaries is tuned
in (i.e., not in the middle of the night and possibly
• What is likely to happen, that is, the nature not during working hours).
of the impact Loudspeakers on vehicles have potential for
• When it is likely to happen, that is, the time neighborhood warnings; so do sirens, except that
window of the prediction they send a nonspecific and hence potentially
• Where it is likely to happen, that is, the ambiguous message. Telephone chains can ensure
geographical area affected that individual householders are contacted, but
• What the consequences of the impact are they are time-consuming, even when automated
expected to be contact and message systems are used. Finally,
• What actions are required and whether considerable potential is offered by bulk Short
the response is obligatory or merely Message Service (SMS) text messages delivered to
recommended mobile telephones, and various automated warn-
• Whom to contact for further information ing systems of this kind are being developed.
However, there is still no warning mechanism
Before the system is used and a warning is dis- that fits all circumstances equally well. Hence, it
seminated, the recipients (e.g., the general public)
must be educated to understand the message and
respond to it appropriately. Use of the system in a
either test or in a real emergency will provide the
Case Studies: Earthquake Warnings
opportunity to evaluate it and design modifica-
tions that will improve its performance. It should Three examples of earthquake warnings issued
be borne in mind that a warning system should be to local governments by the U.S. Geological
dynamic, in that it will have to respond constantly Survey (USGS) in California serve to illustrate the
to changes in the hazard that is being monitored, difficulty of providing warnings against hazards
as well as changes in the responses manifested by where the state of precursors is poorly known
the people who are being warned. and understood. In the first case, the USGS
An additional factor is that warnings can be warned that there was an 86 percent chance
distinguished by phase. The primary division is that a magnitude 7 earthquake would occur in
between a hazard “watch” and a hazard “warn- southern California during a 25-year period.
ing.” The watch may state that “conditions have This would provide justification for retrofitting
occurred that normally precede a disaster.” This buildings but, of course, would offer no basis
allows for the possibility that they may abate for immediate protective action. Second, the
rather than increase, leading to the emission of an USGS warned that there was a 5 percent chance
“all clear” message. It also reduces the chance of that a magnitude 5.1 earthquake would occur
a false alarm. The warning will be issued at a later in the San Francisco Bay region during a series
point in time, when the threat has grown to the of specified five-day periods. Here, the window
extent that an impact is either certain or highly of time was much sharper, but the probability of
likely. More sophisticated distinctions also allow an event was too low to stimulate much action.
for an alarm phase, at which forces are required Moreover, other than being vigilant, little could be
to attain a state of readiness and pre-mobilization. done to be ready for the earthquakes should they
Besides the distinction between the “watch” occur. The same was true of the USGS’s warning
and the “warning,” more than one message is usu- of a 20 percent probability that an earthquake
ally needed. Moreover, the warning message must of magnitude 5.1 or greater would take place in
be adapted to changing circumstances, including a restricted area of southern California during a
variations in the way beneficiaries perceive it, given 30-day period.
as manifest in the actions that they take. When
 Warning 993

may be best to use a variety of delivery systems, they have socialized their response to a warning,
allowing for adaptation of the message to the and thus a warning system should include ample
means by which it is delivered. mechanisms to provide confirmation, for exam-
Once a warning message has been sent, it must ple, through a telephone call center. Regardless
be received, evaluated, and acted upon. Rates of of this, the first reaction to warnings tends to be
both reception and compliance need to be moni- disbelief and “normalcy bias,” the tendency to
tored. The effectiveness of a warning depends on believe whatever is the most comforting explana-
several factors. As noted above, the first is the tion of the prevailing situation. This is followed
physical opportunity to predict a threatening phe- by “latent confirmation,” in which the person
nomenon accurately and deliver a warning mes- who receives the warning asks himself or her-
sage. Second, the probable consequences of the self whether it accords with his or her system of
impact are important. People tend to overestimate beliefs, personal knowledge, and life experiences.
potentially spectacular hazards and underesti- Panic is an unlikely response to warning, and
mate those that appear less threatening. Gener- there may instead be “unconflicted inertia,” the
ally, warning messages that succeed emanate from tendency to undervalue the warning. Sometimes
official sources and are clear, consistent, precise, this stems from “cognitive dissonance,” the ten-
repeated, and confirmable. dency to believe two things that are not reconcil-
able; for example, “there is a seismic hazard but
How People React to Warnings although I live in the area affected, I am not at
The subject of how people react to warnings is risk of earthquakes.” Finally, there may be some
rather complex. Given an order to take action— deviant behavior. In the past, tsunami warnings in
for example, to evacuate—there will be a contin- both Hawaii and California have induced people
uum of reactions. Some people will follow orders (especially young males) to ignore instructions
with alacrity, others after a period of evaluation or to evacuate to high ground and to make for the
inactivity. Some will devote most of their energy shore “to see the waves come in.” This has led to
to attempts to confirm the warning, while others deaths by drowning.
may receive it and do nothing. The worst case is In contrast, sociologists have been able to
that of people who totally deny the threat and thus construct a profile of people who react best to
take no action. However, with respect to behav- warnings. The archetypal “good respondent” is
ior such as evacuation, the deniers may eventually female, is between the ages of 25 and 40, is not
take action merely not to be seen as different by a member of an ethnic or other minority group,
the rest of the community. Nevertheless, warnings is well integrated into the local community and
seldom, if ever, elicit 100 percent compliance, and its institutions (but possibly has not lived there
they are usually impossible to enforce by polic- throughout her life), has a good education and
ing actions, such as arresting people accused of middle or high social status, is a parent with chil-
doing the wrong thing. Hence, there will always dren living at home, lives near relatives and uti-
be a continuum between adaptive and maladap- lizes kinship networks for support, and is well
tive behavior in response to warnings. able to understand the risk.
People tend to react to warning messages dif-
ferently according to circumstances; for example, The Warning Process in Practice
a tornado warning is difficult to believe if the sky One important aspect of warnings concerns the
remains blue. Also significant are personality fac- false alarm. The U.S. Geological Survey installed
tors, individual experience, and social context. some 300 monitoring instruments on a locked
Confirmation behavior may be very important, part of the San Andreas fault at Parkfield, Cali-
and it tends to begin in the family with a pro- fornia. In 1993–94, the USGS made it known that
cess of socialization that may extend to colleagues there was a 90 percent chance of a magnitude 6 or
and friends. Confirmation is inherent in warn- greater earthquake during an 18-month period.
ings issued by people who are known authori- Interest in Parkfield soared, but after 18 months,
ties, such as a chief of police. In any case, people there had been no earthquake. A subsequent
will contact the authorities for confirmation after inquiry made it known that the USGS was not at
994 Weapons Trafficking

fault, and the warning was justified, despite the and Response in Local Government.” Disaster
fact that the 10 percent odds had prevailed. Soci- Prevention and Management, v.17 (2008).
ological research is equivocal about false alarms, Fitzpatrick, Colleen. “The First Alert of the Parkfield
which have mostly been studied in the context of Earthquake Prediction Experiment: A Description
the erratic behavior of hurricanes that were pre- of Organizational Response.” International
dicted to make landfall and either did not do so Journal of Mass Emergencies and Disasters, v.12
or missed the communities they were predicted to (1994).
strike. A proportion of respondents lost faith in Freeman, Lynn A. “Warning Response.” Journal of
the warnings, while others recognized their prob- Emergency Management, v.5 (2007).
abilistic nature and benefited from being sensi- Glahn, Bob. “Tornado-Warning Performance in the
tized to the hazard and to mitigation procedures. Past and Future: Another Perspective.” Bulletin of
Finally, one great failure of the warning pro- the American Meteorological Society, v.86 (2005).
cess underlines the importance of the connec- Hall, Michael L. “Chronology of the Principal
tion between its technical, administrative, and Scientific and Government Actions Leading up
social subsystems. On the night of November 13, to the Catastrophic Eruption and Subsequent
1985, the Colombian volcano Nevado del Ruíz Debris Flows of November 13, 1985.” Journal
produced a phreatic eruption that sent lahars of Volcanology and Geothermal Research, v.42
(volcanic mudflows) coursing into towns and vil- (1990).
lages on its flanks, notably the town of Armero. Kirschenbaum, Alan and Carmit Rapaport. “Disaster
Some 23,000 people died. Why had they not been Warnings and Compliance: The Impact of Social
warned? The volcano was heavily monitored Process Factors Over Time.” International Journal
with scientific instruments. A hazard map, which of Mass Emergencies and Disasters, v.27 (2009).
proved substantially accurate, was newly drafted Sorensen, John H. “Hazard Warning Systems: Review
and had been shown to local residents. However, of 20 Years of Progress.” Natural Hazards Review,
there was a failure of communication between the v.1 (2000).
volcanologists, civil protection authorities, and U.S. National Research Council. Public Response
the public. Either there was no evacuation, or it to Alerts and Warnings on Mobile Devices:
was ordered too late to be of use. Summary of a Workshop on Current Knowledge
In part, this reflected the division of responsi- and Research Gaps. Washington, DC: National
bilities between Bogotá and Armero. In part, it Academies Press, 2011.
had to do with the unpredictability of volcanic Zschau, Jochen and Andreas N. Kuppers, eds. Early
eruptions, especially at night in the absence of Warning Systems for Natural Disaster Reduction.
good visual information. Above all, there was a Berlin: Springer, 2001.
failure to appreciate the need for timely commu-
nication. A great opportunity to save people by
warning them was thus lost.

David Alexander Weapons Trafficking

Global Risk Forum, Davos
Weapons trafficking, the illegal smuggling of con-
See Also: Agency Notification and Mobilization; traband weapons, can exacerbate political turmoil
Crisis Communications; Early Warning Systems; in regions facing instability. Weapons trafficking
Evacuation; U.S. Geological Survey (USGS). can include the movement of small arms, light
weapons, ammunition, and explosives. Although
Further Readings weapons trafficking has taken place for centuries,
Atwood, L. Erwin and Ann Marie Major. “Exploring over the past two decades international agencies
the ‘Cry Wolf’ Hypothesis.” International Journal and authorities have moved to curtail such move-
of Mass Emergencies and Disasters, v.16 (1998). ment because it causes political and economic vol-
Collins, Matthew L. and Naim Kapucu. “Early atility. Weapons trafficking is related to but differ-
Warning Systems and Disaster Preparedness ent from commerce in firearms, which, although
 Weapons Trafficking 995

at times controversial, is in compliance with local appropriate for a variety of unlawful uses. In con-
and national laws. trast, major weapons, such as missiles, tanks, and
aircraft, have a high cash value, are difficult to
Background transport, and are much more closely watched by
Weapons trafficking is a concise but narrow term. government entities.
Though historically, weapons trafficking has con- Precisely which weapons transfers can be
centrated upon illicit transfers of ammunition, deemed “illicit” is open to some debate. Dur-
arms, and associated materials, it has expanded in ing much of the Cold War, the United States, the
recent decades to include acquisition, manufacture, Soviet Union, and their allies asserted that sup-
possession, storage, and use of such weapons and plying arms to nonstate rebel groups (also known
materials. The process of weapons trafficking is as “freedom fighters”) was a legitimate activity.
somewhat hard to understand because of the mul- Although nations facing insurgencies and their
tiplicity of forms that it can take. Weapons traffick- allies maintained this behavior was illegal, enough
ing is driven by demand from a variety of clients, uncertainty existed that neither side protested as
including armed participants in wars, bandits and vigorously as it might have done. After the end
insurgents, criminals and criminal organizations, of the Cold War, these feelings changed, and by
embargoed governments, and individuals who the mid-1990s, a variety of opinions converged
desire firearms but who are prohibited from own- to better define illicit transactions. In 1996, for
ing them by local laws and regulations. Although example, the United Nations (UN) Disarmament
some weapons that are transferred illicitly are man- Commission defined “illicit arms trafficking” as
ufactured especially for this purpose, many others any international arms trade that is in contraven-
are procured from a variety of sources, including tion of state or international laws. Although cer-
arms captured in battle, gun owners, legitimate tain practices are still contested, a growing con-
manufacturers, and military arsenals. sensus regarding weapons trafficking has led to
The types of transactions that comprise weap- growing international cooperation in an attempt
ons trafficking also vary greatly. The majority to defuse crises springing from such activity.
of weapons trafficking transactions are small
transactions by individuals or firms that know- Initiatives
ingly fail to comply with regulations and laws There has been a growing recognition that inter-
related to arms transfers, such as when guns are national crime and corruption fuels illicit weap-
sold to forbidden recipients. Larger transfers of ons trafficking. As a result, initiatives designed to
weapons, often involving high-value shipments hinder or halt unlawful weapons trafficking have
delivered to out-of-the-way locations, are con- increasingly sought to develop comprehensive
ducted by dishonest brokers or middlemen who responses to the underlying conditions causing
utilize established networks and channels that instability that creates a market for illicit arms.
are also employed for smuggling other illicit Additionally, individual nations have seen the
goods, such as narcotics or counterfeit products. value of cooperating with other states in efforts to
Finally, governments themselves sometimes deal combat arms shipments, investigate criminal uses
in covert weapon sales, both by ignoring the first of weapons, and prevent the flow of arms to areas
two types of transactions and by deals arranged of conflict. Responses to combat weapons traf-
directly through government agencies. The types ficking have occurred on the national, regional,
of weapons sold also vary significantly. Many and international fronts.
weapons involved in illicit transfers are firearms During the late 1990s, the United States began
and light weapons, which are easily transport- supporting an initiative known as Plan Colom-
able and fairly easy to conceal. Firearms and light bia, which was a multifaceted campaign to reduce
weapons have a relatively low cash value and narcotics and weapons trafficking in that South
can be transported by individuals or smuggled in American nation. Plan Colombia combined drug
legitimate shipments of other goods. Once deliv- interdiction, support for economic development,
ered, firearms and light weapons are easily main- military assistance, eradication of drug crops,
tained and operated by the end purchaser and are and a crackdown on weapons trafficking in an
996 Whistle Blowers

effort to reduce the underlying conditions causing Further Readings

instability in the region. Part of the United States’ Farah, D. and S. Braun. Merchant of Death: Money,
war on drugs, Plan Colombia was endorsed by Guns, Planes, and the Man Who Makes War
the administrations of Bill Clinton and George W. Possible. Hoboken, NJ: John Wiley & Sons, 2007.
Bush. Despite this, Plan Colombia was criticized Feinstein, A. The Shadow World: Inside the Global
by some as being ineffective and as more focused Arms Trade. New York: Farrar, Straus & Giroux,
on providing support to the Colombian govern- 2011.
ment than on combating narcotics or weapons Greene, O. “Examining International Responses to
trafficking. Regional initiatives to combat weap- Illicit Arms Trafficking.” Crime, Law & Social
ons trafficking also became more common begin- Change, v.33 (2000).
ning in the 1990s, such as the initiative of the
Organization of African Unity (OAU) to reduce
illicit arms trade in sub-Saharan Africa. Individ-
ual African governments coordinated their anti–
weapons trafficking initiatives through the OAU, Whistle Blowers
and this led to a reduction in the amount of light
arms available. On the international level, the Crises and whistle blowers have some noticeable
UN ratified a firearms protocol in 2005 that was commonalities. The former are extraordinary sit-
designed to regulate the manufacturing and traf- uations, and the latter are extraordinary people.
ficking of small arms in an effort to curtail illicit Same poles of magnets repulse each other. The
arms transfers. Focusing as it does on handguns, same seems to hold true for whistle blowers and
light missiles, machine guns, and pistols, the UN crises. That is, if there are whistle blowers in an
firearms protocol provides the first international organization, crises are less likely to happen, or
attempt to regulate the production and spread of if there is crisis resulting from corrupt, illegal, or
firearms. Those nations that ratify the protocol unethical behavior, this might probably be because
agree to initiate a series of crime control measures of a lack of whistle blowers in that environment.
and to criminalize the illicit manufacture or sale Therefore, whistle blowers may play signifi-
of firearms. To date, over 100 nations have rati- cant roles before, during, and after crises. If there
fied the UN firearms protocol, including Canada are active whistle blowers in an organization, the
and the European Union. The United States, how- “before” stage of a crisis may be less likely to turn
ever, has not ratified the agreement. into an actual crisis, as whistle blowers may pre-
vent it from happening by intervening at earlier
Conclusion points. If a crisis occurs and there are dedicated
Weapons trafficking is important to the crisis whistle blowers around, the directions and dimen-
manager because such behavior can jeopardize sions of the crisis may noticeably change, primar-
or make vulnerable the best of crisis management ily because those who cause the crisis by a chain
plans. Only by anticipating the unexpected and of misdeeds may attempt to cover and manipu-
understanding that illegal and illicit arms traf- late the underlying facts and factors during cri-
ficking may provide wrongdoers with otherwise sis. Whistle blowers stand up at great personal
unforeseen weapons can the crisis manager fully expense during such times to expose an organi-
prepare to meet this challenge. Skillful crisis man- zation’s dirt. Finally, in the aftermath of a crisis,
agers keep informed about otherwise irrelevant whistle blowers may enable a fast—and possibly
illegal behavior that might affect their operations. the best—recovery, shedding light on what actu-
ally happened and why. If this is the case, similar
Stephen T. Schroth mistakes are unlikely to be repeated.
Knox College
What Is a Whistle Blower?
See Also: Agency Notification and Mobilization; Even though there is no standard definition, a
Arms Control; Civil War; Hijackings; Human whistle blower is essentially one who exposes ille-
Trafficking; Interstate War; Revolution. gal, unethical, or wrong behaviors to internal or
 Whistle Blowers 997

external authorities to end such behaviors and/or practice of whistle blowing. Today, millions all
get losses recovered for the common good, often over the world can become aware of almost every
acting at significant risk to themselves and their single detail of a case instantly, and nothing is a
families. secret once the whistle is blown.
Daniel P. Westman categorizes whistle blow-
ers into three groups: passive, active, and embry- Obstacles and Costs
onic. Passive whistle blowers are generally those The first distress that whistle blowers face is the
who come forward and provide information to issue of loyalty. Whistle blowers voice wrongdo-
authorities about illegitimate activities upon ings in their own organizations from which they
official request. Active whistle blowers reveal receive paychecks. For this reason, they are first
coworker misconduct in or outside organiza- rejected and isolated by management and fellow
tions. Embryonic whistle blowers are terminated workers under the guise of being disloyal. Fear of
before they expose illegitimate activities. There retaliation is evidently a major concern for whis-
is another categorization, as internal and exter- tle blowers.
nal whistle blowers, depending on whether they Whistle blowers may also face legal troubles
voice the illegitimate activities within the organi- because external whistle blowing may be against
zation or report them to outside authorities or the their employment contract, resulting in termina-
government. Marcia P. Miceli and Janet P. Near tion and even lawsuits. Such probabilities leave
found that whistle blowers are more likely to hold some whistle blowers in a state of limbo.
higher professional status than others who keep There are studies clearly indicating existence
silent. Depending on the professional status, the of a correlation between ethics and whistle blow-
support whistle-blowers receive out of the orga- ing. Accordingly, whistle blowers are known to
nization is more likely to increase. On the other be people of high character. However, this often
hand, they have more chances of reemployment comes with a price to whistle blowers. Their neg-
after getting fired. Some of the famous whistle ative experience varies in a wide range of costly
blowers who made history are W. Mark Felt (also reactions in their professional and personal lives.
known as Deep Throat), Daniel Elsberg, Frank Rejection and isolation by fellow workers, dis-
Serpico, Peter Buxtun, Bradley Manning, Coleen crimination, mobbing and harassment within the
Rowley, Mark Hodler, Cheryl Eckard, and Sher- organization, loss of job (getting fired), ostra-
ron S. Watkins. cism, and other forms of retaliation are what
usually follow a whistle blower. These nega-
Brief History and Rise of Whistle Blowing tive experiences inevitably reflect on one’s per-
A series of events, more notably after the 1960s, sonal life. It is not unusual for whistle blowers
resulted in a gradual evolution of whistle blowing, to become depressed, lose their financial assets
as discussed by Martinella M. Dryburgh. Legal and friends, get divorced, and suffer detrimental
regulations in favor of consumers to protect them health effects.
against poor quality or unsafe products served Nevertheless, doing the right thing sometimes
as an initial step igniting the idea and practice of may be unexpectedly rewarding. When Cheryl
whistle blowing. This was followed by a genera- Eckard took the risk to expose a serious problem
tion of student activists who entered the work- at GlaxoSmithKline, a worldwide pharmaceuti-
place as responsible employees during the 1970s. cal company, she did not even imagine that the
This generation made the atmosphere more con- company would be fined for $750 million and she
ducive for people to stand up against unfair prac- would receive $96 million after undergoing a very
tices in the workplace. Other legal regulations difficult time, Peter Stiff reported. Richard Caruso
requiring ethics training for federal employees blew a whistle with his colleague Steve Rigg on
seem to have contributed to development of whis- corruption in Corcoran State Prison in California.
tle blowing within government. Developments in He has experienced a series of serious troubles in
communication technologies and the unavoidable the workplace after blowing the whistle. He filed
interest of mass media in whistle blowing cases a lawsuit claiming that the Department of Correc-
provided a new dimension to the concept and tions failed to protect him against retaliation and
998 Whistle Blowers

ultimately received $1.7 million in compensation, framework is needed to protect them against dif-
as Martinella M. Dryburgh pointed out. ferent forms of retaliation. The legal regulations
on whistle blowing date back to as early as 1863.
Relationship With Crisis Management The oldest handy legal tool regarding whistle
Both in government and in business, depending blowers is the False Claims Act. It is often called
on the seriousness, crises give birth to reforms. the Lincoln Law because it was passed during
During 2004, the United Nations (UN) faced Abraham Lincoln’s presidency. The act was origi-
what is known as the oil-for-food scandal. Other nally passed to prevent contractors from deceiv-
problems, such as organizational inefficiency, cor- ing the government by selling unfit mules and
ruption, and poor management, have also been horses and defective military equipment during
voiced to the UN. General Christopher Burnham, the American Civil War. It stipulates that a person
who was hired by the UN to oversee reforms, who reveals a misconduct on behalf of the gov-
named the scandal a reputational crisis. He ernment and helps recover any losses will receive
pointed out the need for reform in the UN, indi- 15 to 25 percent of recovered losses. Today,
cating an efficient whistle blowing policy to be a whistle blowers still enjoy the benefits offered by
major element, as reported by Nick Wadhams. this law. Another major legal tool is the Whistle-
blower Protection Act of 1989 (WPA).
Policy Implications The WPA protects federal employees who come
With several renowned examples, the impact of forward to expose agency misconduct. The WPA
whistle blowers on organizational functioning provides protection for federal agency workers
has become apparent both in industry and in gov- against any form of retaliation. The 2002 Sar-
ernment. Therefore, it is imperative that strong banes-Oxley Act sets another good example of
whistle-blower mechanisms be included in official legal protection shielding whistle blowers, pro-
and operative policies of organizations. Along vided that their actions fall into what the act pre-
with written policies, whistle blowers should scribes as protected activity. Legal frameworks
be encouraged by creating a transparent work may fall behind contemporary needs as soci-
environment conducive to voicing misconduct. ety changes; therefore, they should be updated,
Depending on the environment of each organiza- revised, or reenacted in accordance with social
tion, there might be several ways to ensure this. changes and changing needs.
Professional ethics training for employees can Another step would be building more con-
be recommended as an initial step. Research venient working channels for whistle blowers
findings indicate a strong correlation between to act. Technology should be utilized as much
such training programs and reporting wrongful as possible. Providing anonymous means of
actions in organizations, as pointed out by Dave communications, such as Web sites, short mes-
Slovin. Such training would provide a basis to sage services, or hotlines, may prove adequate.
raise awareness and set ethical standards, with Telephone hotlines turn out to be considerably
mutual involvement of employees and manage- more efficient in detecting and deterring miscon-
ment. Eradicating gray areas where unethical duct. For example, as interestingly pointed out
behavior is likely to be nurtured by enhancing by Slovin, fraud losses are reported to decrease
transparency would provide a significant contri- nearly 60 percent when hotlines exist to report
bution. Thus, nobody would have an excuse to fraud. Also, one of every five Americans has per-
cover up wrongdoing, because everybody gets sonal knowledge of fraud in their workplace.
together to stand up against it. Gary R. Rothwell Nearly 40 percent of them are willing to step for-
and Norman J. Baldwin point out that employ- ward and reveal what they know if they are sure
ees of certain government agencies are more their identities will be kept anonymous. Nearly
likely to report misconduct, partly because of 60 percent of possible whistle blowers indicate
ethics training programs. they would prefer a telephone hotline over a tra-
As mentioned above, one of the major concerns ditional letter or Web site.
whistle blowers have is the fear of retaliation. In Crises happen often as a result of a chain of
order to ease their concerns, an efficient legal illegal activities or misconduct that damages
 Wildfire 999

public interest or causes extensive harm to oth- Further Readings

ers. Whistle blowers are those who stand up and Devine, Tom and Tarek F. Maassarani. The Corporate
try to stop such unjustifiable actions while risking Whistleblower’s Survival Guide: A Handbook for
themselves. There are several whistle blowers who Committing the Truth. San Francisco: Berrett-
have changed the course of events, people, and Koehler, 2011.
policies at large organizations. Whistle blowers Dryburgh, M. Martinella. “Personal and Policy
should be considered major figures in the context Implications of Whistle Blowing: The Case of
of crisis management. After traffic accidents, tak- Corcoran State Prison.” Public Integrity, v.11/2
ing immediate on-site safety measures and open- (2009).
ing jammed traffic to prevent subsequent acci- Glazer, Myron Peretz and Penina Migdal Glazer.
dents, carrying the injured to hospitals as soon as The Whistleblowers: Exposing Corruption in
possible, providing them with health services, and Government and Industry. New York: Basic Books,
getting damaged vehicles repaired are necessary 1991.
and valuable actions. Greene, Annette D. and Jean Kantambu Latting.
However, all these necessarily fall into a set “Whistle Blowing as a Form of Advocacy:
of “reactive” measures. What is important and Guidelines for the Practitioner and Organization.”
even more valuable is to take proper precautions Social Work, v.49/2 (2004).
to prevent accidents before they happen. Whistle Miceli, Marcia P. and Janet P. Near. “Individual
blowers are people of high character who come and Situational Correlates of Whistle Blowing.”
forward to try to prevent large-scale social acci- Personnel Psychology, v.41 (1988).
dents before they happen. Unfortunately, there Miceli, Marcia P. and Janet P. Near. “Organizational
is not a “crisis meter” to gauge how many crises Dissidence: The Case of Whistle Blowing.” Journal
have been prevented because a whistle had been of Business Ethics, v.4 (1985).
blown. The numbers of potential crises prevented Rothwell, Gary R. and Norman J. Baldwin.
by whistle blowers are unknown. Similarly, whis- “Ethical Climates and Contextual Predictors of
tle blowers may play an important role during Whistle Blowing.” Review of Public Personnel
and after crises by revealing underlying facts from Administration, v.26 (2006).
within. This provides for faster recovery after Slovin, Dave. “Blowing the Whistle.” Internal
crises and contributes to reducing repetition of Auditor (June 2006).
similar mistakes in other organizations. Maybe Stiff, Peter. “Whistleblower Paid $96m for Leaking
the best crisis management is to manage to pre- GSK’s Bad Practice.” Times (United Kingdom)
vent crises before they come about, and such a (October 28, 2010).
low-cost management tool would be by means Wadhams, Nick. “UN Faces Reputation Crisis After
of active whistle blowers. This can also be called Scandal.” AP Online (2005).
“proactive” crisis management. Watkins, Sherron S. “Ethical Conflicts at Enron:
Moral Responsibility in Corporate Capitalism.”
Irfan Demir California Management Review, v.45/4 (2003).
Independent Scholar Westman, Daniel P. Whistleblowing: The Law of
Retaliatory Discharge. Washington, DC: BNA,
See Also: Disaster Risk Reduction; Incident 1991.
Management; Network for Good; News Media;
Organizational Failure; Policy Setting; Political
and Organizational Leadership; Pre-Crisis Training
and Planning; Prevention; Public Awareness and
Education; Public Image; Recovery; Reputational Wildfire
Risk; Risk; Risk Analysis; Risk Assessment; Risk
Society; Risk Treatment; Scapegoating; Situational Forest and rangeland fires (wildfires) are sources
Analysis; Social Media; Strategic Plans; Strengths, of important ecological and economic damage, as
Weaknesses, Opportunities, and Threats; Training; well as serious risks to human lives and settlements.
Trigger Events; Warning. A wildfire is an environmental conflagration that
1000 WIldfire

burns out of control and threatens people, build- particular temperature, ambient humidity, and
ings, or resources. In Australia, where wildfires the speed, direction, and variability of winds.
are a particularly important natural hazard, they Finally, the topography and ground slope in the
are known as bushfires. About 40 percent of Aus- local area interact with the other factors to exert
tralia is susceptible to bushfire hazards (i.e., it has some control on rates and directions of burning.
enough combustible vegetation), which are a par- In fact, a wildfire can climb a slope, propelled by
ticularly strong risk at the urban-wildland inter- convection of wind and radiation of heat.
face. Although it is the hottest part of Australia, In geographical terms, fires tend to spread in a
the desert at the heart of the continent is not at nonlinear manner. Large expansions in area occur
risk; rather, it is the vegetation in less arid areas, during the early phases as abundant fuel is con-
especially those that are settled. sumed, and asymptotically smaller expansions are
Wildfire is a natural phenomenon that has characteristic of later periods as fuel is consumed
always existed where dry vegetation is present. or the fire is brought under control. Owing to their
The causes of wildfires can be divided into natural demand for oxygen, large fires create their own
and anthropogenic. Lightning strikes are a natu- drafts, which can lead to fire-induced convection
ral cause whose importance varies from place to and a positive feedback situation in which the fire
place with meteorological and vegetational con- creates substantial winds, effectively a firestorm.
ditions. Human negligence and vandalism have There are various classifications of wildfires.
come to be dominant causes, especially at the The simplest and most common has six catego-
urban-rural interface. It is thought that vegeta- ries. A “ground fire” involves combustion without
tive fermentation leading to spontaneous com- flames in the roots and undergrowth. A “surface
bustion may cause fires, but the evidence for this fire” may occur in rangelands, bushes, and plant
is extremely scarce. The frequency of wildfires in litter. In a “dependent crown fire,” the crowns of
the past can be calculated by assessing damage to trees catch fire but the fire is propagated in the
the xylem (wood) of trees and dating it by count- undergrowth. In contrast, a “running crown fire”
ing the annual rings, a process known as dendro- propagates the flames rapidly through the tree
chronology. Indications may also be present in the crowns. This may lob burning brands ahead on
sedimentary record, as fires are often followed by the wind and thus cause a localized, concentrated
episodes of accelerated erosion and deposition. “spot fire.” Finally, if the wind changes direction
The essential ingredients of a wildfire are com- and the combustible material has not been com-
bustible material (fuel), heat, and oxygen. The pletely consumed, the result may be a “backfire.”
dimensions, duration, and intensity of wildfires It is also possible to classify the phases of wild-
vary according to several group factors. The fire. At the beginning, it may be out of control.
first of these includes the type, flammability, and Thereafter, a “confined fire” is limited to a prede-
water content of combustible material (Table 1). termined area using natural and human-made bar-
Together, these represent the fuel loading fac- riers. After considerable intervention by firefight-
tor. Second are meteorological conditions, in ers, a “contained fire” is surrounded by a control

Table 1 Characteristics of fuels in relation to wildfire occurrence

Typical values Grass Brush Slash Timber

Fuel loading (tons/hectares) 2.6–12.9 50–100 80–500 260–1,500
Fuel availability (percent) 100 5–95 10–70 5–25
Ground fuels Leaves, grass and limb-wood, duff,
roots
Surface fuels Low vegetation, large logs, leaves,
grass and limb-wood
Aerial fuels Tree trunks, branches, moss and snags
 WIldfire 1001

line so that it cannot spread further. Finally, once it “chaparral” in California), which is highly flam-
is under control, the fire is completely encircled by mable. Mediterranean vegetation can give rise
the “control line” and burns in predictable ways. to very hot fires (540–1,100 degrees C), fed by
Wildfires have both beneficial and destruc- dry bushes that are full of highly flammable oils.
tive effects on the natural environment. Regard- The same is true of the eucalyptus species that are
ing vegetation, they can stimulate the growth of common in Australia. The elimination of Mediter-
rangelands and meadows, as well as the flower- ranean vegetation by wildfire can impermeabilize
ing of bushes and plants. They can encourage the surfaces by depositing natural polymers (hydro-
germination of seeds, but they may restrict the phobic residues), which increase flood potential.
growth of woody plants. With respect to the soil, This in turn leads to surface slides of dry ravel
they can purify it by destroying toxins, fungi, and and, in conditions of saturation, serious mudflow
parasites, but on the other hand, they may cause and debris-flow hazards. Hence, wildfires in Med-
accelerated erosion. Although wild animals can iterranean environments contribute to accelerated
generally cope well with natural fire, birds may erosion and the formation of gullies.
find their nests destroyed and their habitats frag- There is no doubt that human activity has
mented. Nevertheless, ecological environments increased the frequency of wildfires in inhabited
created or maintained by wildfire show the great- areas. A “controlled fire,” the deliberate setting
est diversity of species. of small fires, can reduce fuel loading levels, but
Particular fire risks apply to the Mediterra- it remains controversial and can cause damage if
nean maquis or macchia vegetation (known as the fire gets out of control. On the other hand, the

Fire crews set backburn fire to stop the Poomacha fire in San Diego from advancing westward, October 26, 2007. In one of the worst
U.S. wildfire seasons on record, nearly 1,000 firefighters fought the 16 wildfires that roared in 50- to 60-mph winds and burned
nearly 500,000 acres from the Simi Valley to the Mexican border. Ten people died as a direct result of the fires, and 85 others were
injured, including at least 61 firefighters. Over 321,000 people evacuated their homes, 2,233 of which were destroyed.
1002 Worker Error

total elimination of wildfires allows massive accu- See Also: Avalanches and Landslides; Crisis
mulations of flammable material and therefore Information Management Systems; Fires.
leads to much bigger and hotter fires that spread
more rapidly. Hence, fire suppression is wide- Further Readings
spread in areas of high hazard. This can involve Arrowood, Janet C. Living With Wildfires:
lookout towers and field patrols as well as aerial Prevention, Preparation, and Recovery. Denver,
surveillance. It can also involve infrared monitor- CO: Bradford Publishing, 2003.
ing from the ground, the air, and satellites. Cottrell, Alison. “Communities and Bushfire
In order to fight a wildfire once it has broken Hazard in Australia: More Questions Than
out, crews need to reduce the supply of heat, oxy- Answers.” Global Environmental Change Part B:
gen, or fuel to the fire. Fires are dangerous and Environmental Hazards, v.6 (2005).
sometimes unpredictable phenomena, so it is Crutzen, Paul J. and Johann G. Goldammer, eds. Fire
important that firefighters are fully trained per- in the Environment: The Ecological, Atmospheric,
sonnel. Parachute brigades can be used in areas and Climatic Importance of Vegetation Fires.
that are difficult to reach, but care must be taken Chichester, UK: Wiley, 1993.
to ensure that they do not become encircled by Johnson, Don, “California’s 2007 Fires: A
the fire. Corridors of low fuel loading can be con- Coordinated Response.” (2008). http://www.cdph
structed either before fires occur or at the time in .ca.gov/programs/cclho/Documents/JOHNSON
order to contain them. spring2008.pdf (Accessed August 2012).
Water or flame-retardant chemicals can be Koo, Eunmo, Patrick J. Pagni, David R. Weise, and
dumped on the fire from aircraft. For example, John P. Woycheese. “Firebrands and Spotting
Bell-412 helicopters can transport 1,400 liters of Ignition in Large-Scale Fires.” International
water, which can be brought up from lakes. The Journal of Wildland Fire, v.19/7 (November 2010).
Erickson Air Crane has a larger capacity. C-130 Pyne, Stephen J. Fire: Nature and Culture. London:
transport airplanes can carry 11,000 liters of Reaktion Books, 2012.
flame-retardant chemicals, and Canadair CL-215 Pyne, Stephen J., Patricia L. Andrews, and Richard
Super Scooper aircraft are able to descend upon D. Laven. Introduction to Wildland Fire: Fire
a lake and take up 6,000 liters of water in 12 Management in the United States. 2nd ed.
seconds. Chichester, UK: Wiley-Blackwell, 1996.
Information management and command and
control systems are important to fire fighting,
especially when large or numerous fires need to
be tackled. California Firescope is a model system
that was inaugurated in 1970. It was the basis Worker Error
of the development of the incident command
system (ICS) and currently offers a multiagency Webster’s online dictionary defines an error as “an
coordinating system (MACS) that coordinates the act or condition of ignorant or imprudent devia-
fieldwork of 28 agencies through an operations tion from a code of behavior” and also “an act
coordination center (OCC). This ensures that the involving an unintentional deviation from truth
tactical approach to fire fighting is rational and or accuracy.” There are different possibilities and
efficient. California Firescope also includes an proneness to errors in the workplace by workers.
information system and data bank, which cov- Workers, like all human beings, are all prone to
ers weather forecasting, infrared surveillance of errors. Worker errors are responsible for various
areas at high risk of fire, immediate reports on the accidents in the workplace, failures, and product
state of fires and status of suppression activities, or service defects. About 96 percent of the errors
and advice on the best tactics to adopt for fighting that occur in the workplace are attributed to
particular fires. worker error or human error. Human error can
be described as an inappropriate human act, deci-
David Alexander sion, or behavior that causes or has the potential
Global Risk Forum, Davos to cause undesirable events like accidents, poor
 Worker Error 1003

system performance, system failures, product/ser- or inattention, mainly the result of the worker
vice defects, or reputational crisis. becoming accustomed to what they do. The
Several factors affect workers’ proneness to majority of the errors committed by workers in
error in the workplace. They include the environ- the workplace are a result of this type of error.
ment, equipment design, organization, procedures,
competence, and training. Worker error is respon- Rule-based error: This type of mistake is often
sible for many of the disasters that occur in the a result of using an inappropriate rule. Workers
workplace. It has been fingered as the main cause in an organization are governed by policies and
or contributory factor in a majority of catastrophic procedures. A worker can apply a wrong proce-
historic events, including the Exxon Valdez acci- dure, for example, and it results in an unintended
dent, Bhopal chemical plant disaster, Pier Alpha, outcome.
Chernobyl nuclear plant disaster, and even more
recently, the Fukushima nuclear plant disaster trig- Knowledge-based error: This is usually a mistake
gered by the earthquake and tsunami but made or inadequate human performance resulting from
worse by worker error. Many accident and incident inaccurate understanding of a system or lack of
reports cite human error as the primary cause. It is expertise. Sometimes, workers have to depend
estimated that in the United States, worker errors on stored knowledge in dealing with situations,
are responsible for 70 percent of airplane accidents especially during crisis or when the unanticipated
and 60 percent of nuclear plant accidents. It is also happens.
estimated that in the intensive care units of hospi-
tals, doctor/nurse errors occur at a rate of about Although it is impractical to completely elimi-
1.7 per patient daily. nate human errors in the workplace, as “to err is
Worker errors can be classified as errors of human,” according to an old Latin saying, orga-
commission or errors of omission. In errors of nizations can effectively manage worker errors by
commission, the worker takes an inappropriate taking steps to reduce the chances of errors occur-
action that results in an unintended outcome; ring and to minimize their potential consequences.
for example, an operator performs a step incor- Error management is an organizational strategy
rectly or performs an extra step that is incorrect. that focuses on understanding the causes of worker
In errors of omission, worker inaction results or errors in the workplace and takes appropriate
contributes to deviation from an intended out- actions to reduce incidences and minimize poten-
come; for example, an operator fails to perform tial consequences. Worker errors can be managed
a procedural step. There are three types of errors by creating systems that are able to accommodate
committed by humans: mistakes, lapses, and errors and limit their effects and also by reducing
slips. They are directly related to the three stages their incidences through reduction design strate-
of cognition: planning, storage, and execution. gies. The reduction design strategies can be exclu-
Mistakes happen when workers follow the steps sive, preventive, or fail-safe. Exclusive strategies
in the plan but the outcomes achieved are unin- are those that make it impossible for the human
tended, mainly because of the original plan being error to occur. For example, human error haz-
wrong. Lapses are the result of memory loss or ards in equipment operations can be designed out
forgetfulness; they are not observable events. Slips during the design phase. Preventive strategies are
are observable events not in accordance with the those where systems are put in place to make it
original plan. They are associated with the execu- difficult for errors to occur but do not make it
tion stage of cognition. impossible to commit error. Fail-safe strategies
There are three levels of cognitive task process- are for mitigating the effect or consequences of a
ing, namely skill based, rule based, and knowl- worker error, for example, a machine refusing to
edge based. Errors occur at each of these levels of start because a dangerous component is exposed.
human behaviors. A fail-safe strategy reduces consequences.
For effectiveness, error management must
Skill-based error: This includes slips and lapses. be done in a systematic manner. Errors should
It occurs usually due to misplaced attention be identified systematically, with proper risk
1004 World Health Organization (WHO), UN

assessment carried out and adequate control mea- Reasons for a Health Coordinating Body
sures put in place to reduce occurrence of errors The history of the world is punctuated with health
and their potential consequences. This should be crises, including, for example, the Great Plague in
done in a nonpunitive manner in an environment the 17th century and influenza between 1918 and
of trust supported by a positive leadership. Where 1919 that claimed about 20 million to 50 million
worker errors do occur within an organization, lives around the world in the aftermath of World
lessons should be learned and improvements War I. History has demonstrated that in situations
made to prevent future occurrences. where health crises are not managed efficiently,
lives may be lost, resulting in a paralysis of the
Augustine Osamor Ifelebuegu normal functioning of a country, region, or local-
Coventry University ity, and a heavy economic and human price may
be paid for inefficiency in managing the crisis.
See Also: Decision Making Under Stress; Failover; In spite of significant human, social, and tech-
Organizational Failure; Risk Assessment. nological advancements in the 21st century, cur-
rent opportunities brought about by migration
Further Readings and globalization may paradoxically provide the
Dekker, Sidney. The Field Guide to Understanding right conditions for a crisis to emerge relating to
Human Error. London: Ashgate, 2006. cross-border infections. Is also plausible to under-
Peters, George and Barbara Peters. Human Error: score that migration of humans is not the only
Cause and Control. Boca Raton, FL: CRC Press, factor likely to trigger health crisis when one con-
2006. siders the range of transborder agents that play a
Rason, James. Human Error. New York: Cambridge part, such as rivers flowing across international
University Press, 1990. boundaries, airborne diseases, and wild animal
movements such as those of birds, which cannot
be effectively managed by official migration poli-
cies or practice. Indeed, around 2010, avian flu
threatened to bring the world to its knees as nor-
World Health Organization mal disease prevention systems and controls were
subjected to unprecedented pressures.
(WHO), UN
The WHO Organization
Health is a right, and it forms part of the most Mandated as a coordinating and guiding author-
common and critical needs of humanity; as such, ity, the WHO has received mixed responses from
throughout history the existence and effective- some stakeholders regarding the extent of its suc-
ness of agencies such as the World Health Orga- cess in meeting its objectives. The WHO’s visibility
nization (WHO) has been extremely important. in crisis situations on the international stage can-
As a successor to the League of Nations’ Per- not, however, be easily disputed despite the orga-
manent Health Organization, the WHO was nization not having been particularly successful in
founded in 1946 under the mandate of the United positively influencing its image like other United
Nations to coordinate and guide international Nations agencies such as the United Nations Chil-
health policy and practice. The aim of the WHO dren’s Fund (UNICEF). In spite of some concerns
was to assist with “the attainment by all people about its image, the agency in many ways has
of the highest level of health,” which was defined made some notable strides in health, including,
as “a state of complete physical, mental or social for example, being a very reliable source of pri-
well being and not merely the absence of disease mary education and data in relation to the human
or infirmity.” immunodeficiency virus and acquired immune
Although it took until 1946, at the World deficiency syndrome (HIV/AIDS) crisis that has
Health Assembly (WHA), to develop an interna- defined much of the health discussions since the
tional health organization of its kind, it is argu- mid-1980s. Close examination of the WHO’s
able that this development had been long overdue. work and history reveals that the diverse interests
 World Health Organization (WHO), UN 1005

among its stakeholders have partly contributed to management includes frameworks for dealing
its somewhat burdensome/negative crisis of image. with the unexpected crisis occurring in world
Considered as a whole, however, the discussion health. This may entail designing effective and
about the WHO’s successes and shortcomings to tested strategies whenever needed. Thus, learning
mitigate and manage crisis can best be appreciated through research and sharing of information and
in terms of the categories outlined below. vaccines across laboratories, health practitioners,
and systems become necessary to inform decision-
Compliance making processes where strategies need to be put
An important aspect of effective crisis manage- in place with urgency. Indeed, there is evidence to
ment revolves around compliance in certain suggest that the WHO has proactively and signifi-
areas. Despite some criticisms of the structure cantly helped in formulating platforms for sharing
of the WHO and the interrelationships between information and learning. An example of this is
various parts of the organization, the WHO has the pandemic influenza preparedness framework.
shown some leadership in coordinating some This framework coordinates a range of stake-
issues that could have triggered a crisis. When holders, including industry and member states, in
people travel across borders, it is expected that implementing an international strategy for influ-
they will normally consider obtaining an Interna- enza preparedness and planning responses for the
tional Certificate of Vaccination. The WHO can future. Aimed at addressing likely bottlenecks in
designate diseases to apply as part of an impera- an event of an influenza pandemic crisis, it aims
tive for international travel, which could lead to to increase equity of access to vaccines and medi-
prevention of disease, epidemics, and loss of life. cines for pandemics.

Capacity Building and Partnerships Crisis in the Organization’s Image

Effective crisis management also involves plan- The image of any organization at times has been
ning and having beneficial partnerships to affected negatively for reasons outside its own
enhance capacity. During its rather turbulent his- control. As the WHO principally depends on
tory, the WHO has made some positive contribu- member states’ funding for its key projects, some
tions toward leadership and guidance in health, aspects of decision making to meet some of its
evidenced by some notable initiatives that have primary objectives have at times been affected.
perhaps not been adequately acknowledged. In The WHO as an organization has sometimes
an attempt to manage a looming financial crisis faced financial pressures because of shortfalls in
likely to derail its programs, the WHO chose to its budget resulting from member states’ economic
reform itself by adopting a strategy that involved considerations as well as donor preferences. The
collaboration with private players, including, for WHO has projects and programs that are key
example, the Gates Foundation, to found the to its objectives, and it has sometimes been nec-
Global Alliance on Vaccines and Immunization essary to reform and attract the required funds
(GAVI), which focuses on targeting certain ill- and support from a range of funders. Thus, the
nesses such as malaria. WHO has for some years also collaborated with
private organizations, which in turn have signifi-
Training and Development cantly invested in some agreed health initiatives.
Disease outbreaks happen, and it is essential This strategy has, however, at some points been
that there is necessary expertise and systems in met with fierce criticism from some quarters on
place to prepare and respond effectively in these ideological grounds. Critics have stated that the
situations to avoid their becoming a crisis. Thus, WHO demonstrated reluctance in criticizing the
training and development on specific knowledge pharmaceutical industry for inhibiting access to
of how outbreaks happen and interrelation- medicines for the poor people of the world by
ships between a range of practitioners and criti- way of market and pricing practices. Second,
cal aspects of decision-making systems nation- critics have argued that the WHO was collabo-
ally and across borders are imperative. One of rating with private funders, such as the World
the most important elements of effective crisis Bank, who were advocating damaging neoliberal
1006 World Water Relief

approaches within WHO delivery systems, international immunization procedures and also
including the introduction of user fees for access- delivered on databases and near-real-time infor-
ing health services. Thus, the WHO’s attempt to mation regarding potential pandemics such as
solve the financial crisis within its organization HIV/AIDS and highlighted information on the
through embracing private funders to deliver sus- impact of crises on individuals and families.
tainable health services has not necessarily been Indeed, at the start of the 21st century, the WHO
without problems. designed mechanisms for sharing expertise and
As can be noted here, whereas crisis manage- knowledge on the prevention of avian flu and pre-
ment may involve issues related to the services vented it from turning into a world crisis.
offered by an organization externally, internal In conclusion, the above discussion has high-
organizational issues are equally crucial to effec- lighted both the successes of the WHO and the
tiveness. The external image of an organization, perception of crisis relating to the organization’s
whether brought about by internal friction, failings image. It may be argued, however, that many of
in managing interrelationships or various aspects the issues at the center of the WHO have been
of procedures, or simply choices of partnerships in unfounded and not of the agency’s own making.
achieving goals, may enhance, hinder, and cloud Perhaps this crisis of the WHO could be addressed
the normal functioning of an organization. simply by being even more visible on the field, just
as UNICEF has successfully done.
Writing the Authoritative Chapter
The WHO has led the charge of providing the Martin Nthakomwa
necessary health monitoring information to guide Coventry University
policy and practice. The agency has been crucial
in offering both strategic and operational support, See Also: Cholera; Drug Resistance; Ebola Virus;
capacity building, and surge capacity during emer- Emergency Medicine; Epidemics; Health and Medical
gencies. Further to this, the WHO has played a key Response Scenarios; HIV/AIDS Epidemic; Infectious
leadership role in coordinating research, develop- Disease; Infestations, Parasite; Influenza; Malaria;
ing effective communication and responses to Measles; Pandemics; Public Health Surveillance;
health pandemics and epidemics, and responding Quarantine; Severe Acute Respiratory Syndrome
during emergency response stages and has been (SARS); Smallpox; Social Distancing; Triage;
successful in managing crisis. Through the clus- Tuberculosis; Vaccinations.
ter system that has been adopted by the United
Nations agencies, the WHO is responsible for the Further Readings
health cluster. Cluster systems are approaches used Grahame, D. A. World Health Organization.
for coordination of responses during emergen- Milwaukee, WI: World Almanac, 2004.
cies. Under the cluster arrangement, humanitarian Wilson, F. and M. Mabhala. Key Concepts in Public
agencies or organizations with special expertise in Health. Los Angeles, CA: Sage, 2009.
specific areas of response are tasked to lead speci- World Health Organization. http://www.who.int/en
fied aspects of need. (Accessed July 2012).
World Health Organization. “Public Health
Conclusion Surveillance.” http://www.who.int/topics/public
Despite the somewhat mixed conclusions regard- _health_surveillance/en (Accessed July 2012).
ing the successes of the WHO and concerns about
its image, when the chapter of the WHO’s contri-
bution to crisis management since its formation is
finally written, the WHO’s role is likely to occupy
a respectable place. It has guided health policy and World Water Relief
initiatives with a combination of public health
care and technical support through some of the World Water Relief is a small charitable orga-
most challenging times, both economically and nization based in Atlanta, Georgia, focusing on
through disease outbreaks. It has spearheaded providing clean water and hygiene education.
 World Water Relief 1007

The locations of the organization’s work are the the water quality. Through Dr. Fussell’s work and
Dominican Republic and Haiti. The group pro- encouragement, World Water Relief was formed.
vides water filtration and works in schools to help World Water Relief was founded in 2008 with a
children become aware of the importance of clean focus on water purification solutions being imple-
water and hygiene. The hope is that if the children mented in sustainable ways for those in develop-
see clean water and hygiene as important values, ing nations. The first funds came from a gift from
they will help transform their society by instilling First Water, Inc., an Atlanta, Georgia–based com-
these values as well. The organization works with pany supplying water purification products and
partner groups. services in disaster settings. World Water Relief
World Water Relief seeks to bring a holistic has a worldwide interest, but its initial efforts
approach to helping those in need of clean water. have been directed toward meeting needs in Haiti
In addition to providing water filtration systems, and the Dominican Republic. The Dominican
World Water Relief has a program using the acro- Republic was entered first. In July 2009, the first
nym WASH (water, sanitation, hygiene) as a basis project in Haiti was begun.
for a platform to help children and their families. After the January 2010 earthquake in Haiti,
This approach is used in schools to reach the chil- World Water Relief made its disaster relief trip
dren first. In fact, World Water Relief has moved there within three days. Relief work was estab-
exclusively to using WASH in schools as its sole lished in Port-au-Prince and included water-truck
programmatic component for impacting those in delivery coordination, installing water filtration
need of clean water and education. In schools that units, and locating water tanks. Two solar-pow-
are targeted by the charity, children receive edu- ered water filtration systems were provided ini-
cation in hygiene issues. World Water Relief also tially. Other filtration systems were shipped there
provides purified drinking water to the schools soon thereafter. Over two months, 18 portable fil-
with the use of three-stage filtration systems that tration systems were installed. These systems pro-
are composed of sediment and carbon filters and vided water for at least 10,000 people. The group
ultraviolet disinfecting. Hand-washing stations worked with churches, clinics, hospitals, schools,
are made available, and bathrooms at schools are and tent camps. When World Water Relief first
upgraded to provide more sanitary conditions. came into Haiti after the 2010 earthquake, it
Hygiene training is aided by the joint offering of focused on short-term relief, but that focus has
English lessons. The opportunity to learn English shifted to more long-term efforts. In Haiti, this
is a big draw to the hygiene classes. World Water meant moving most work from Port-au-Prince
Relief’s position is that impacting students empow- to the central plateau area, developing long-term
ers them to live better lives themselves and makes projects with an eye to sustainability. An example
these students change agents for their families and of the focus on creating projects that are sustain-
communities. able is shown by the fact that when the organiza-
Dr. Kevin Fussell, whose work led to the found- tion budgets for a project, it seeks to have suffi-
ing of World Water Relief, was on his fifth medical cient money to maintain the filtering systems for
mission from North Carolina in a settlement in 10 years. In Haiti, World Water Relief has also
the Dominican Republic when he became alarmed been involved in cholera prevention programs.
at the continued cases of parasitic and intesti- The spread of cholera is increased by the presence
nal cases they were seeing in the population. He of unclean water; clean water helps prevent this
became convinced that medical treatment alone deadly disease.
was not going to be enough to address the needs In the Dominican Republic, World Water Relief
in these communities. After research and con- is seeking to bring clean water to 18 bateyes
versations with other doctors, he was convinced located near the border with Haiti. A bateye is a
that water contamination was a major cause of sugarcane camp where Haitian refugees and poor
the problem. The contaminated water was lead- Dominicans work. It was in one of these bateyes
ing to dangerous giardia infections. Giardia is a where the idea for World Water Relief was born.
protozoa found in water contaminated by raw World Water Relief gives credit to its board of
sewage or in waters where animals have impacted directors for its efficiency. The directors’ areas of
1008 World Water Relief

expertise include business, finance, governmental, a source of clean water, the management team
and philanthropic communities. The organization of World Water Relief studies the problem, does
claims to rely on board members as well as other the proper engineering, and sources the resources
volunteers to give of time and areas of expertise in needed to correct the problem.
the work of World Water Relief. Financial contri-
butions of the board members enable the charity Ken B. Taylor
to carry out administrative functions while using New Orleans Baptist Theological Seminary
100 percent of all donations on projects in Haiti
and the Dominican Republic. In addition to the See Also: Earthquakes; Freshwater Demands and
board of directors, there is an advisory council. Shortages; Infectious Disease; Noncommunicable
Partnerships have been developed with a num- Diseases; Nongovernmental Organizations; Poverty;
ber of organizations, including Children of the Vulnerable Populations.
Nations, U.S. Agency for International Develop-
ment (USAID), Partners in Health, World Vision, Further Readings
UNICEF, Global Soap Project, and Rotary Inter- Falchin, Irene M., ed. Earthquake in Haiti: Aftermath
national. World Water Relief also partners with Conditions and Crisis Response. Hauppauge, NY:
local organizations to maximize the sustainability Nova Science Publishers, 2012.
of implemented projects. Strategic partnerships Smolan, Rick and Jennifer Erwitt. Blue Planet Run:
and good practices are essential to the effective- The Race to Provide Safe Drinking Water to
ness of World Water Relief. When asked by a the World. Mill Valley, CA: Against All Odds
potential in-country partner for help in obtaining Productions, 2007.
 Y
Y2K Bug alike, it became clear that the Y2K issue was one
that could not be ignored, as potential simple pro-
Months before the close of the 20th century and gramming glitches were increasingly being identi-
the beginning of the 21st, much attention was fied as preparations to move into a new computer
paid to what was termed the Y2K Bug. Y2K is dating system came into fruition.
a “numeronym” denoting the year (Y) and the
rollover into the new century, two thousand (2k). Mitigation
The perceived “bug” represented a problem in Computer programmers expended extensive
computer programming: computers, which had time and effort attempting to forecast poten-
been operating with a simple date identification tial Y2K bugs in then-current programming and
program beginning with “19” and ending in the sought to send out “patches” to various busi-
last two digits of that year (for example, 19 [rep- nesses and organizations in an attempt to fix any
resenting the 20th century] together with the year, potential issues or problems as the transition
1998 [written as 98]), were expected to malfunc- was made out of 1999 into 2000. Notably, it
tion as computers made the switch out of the 20th became clear that some programmers had failed
century and into the 21st century. to take leap years into account when designing
The problem was conceptualized as significant their time and date systems in several computer
and was perceived to be a widespread and global programs. This problem forced companies and
issue, as computer programmers and others who organizations around the globe to check and
worked in industries that relied heavily on comput- upgrade their computer systems prior to Janu-
ers (e.g., banks, hospitals, stock market) worried ary 1, 2000—some programmers had misunder-
that there would be a global shutdown as comput- stood that although years evenly divisible by 100
ers made the rollover transition from dates begin- are not leap years, those divisible by 400 are leap
ning with “19” into dates beginning with “20.” years: 2000 was a leap year. Recognizing that
Further, significant concern arose about data pro- there were likely to be issues with the computer
cessing capabilities when the previous two-digit dating systems, and anticipating major malfunc-
dating system became obsolete and it became nec- tions if the computers were not patched prop-
essary for a four-digit dating system to come into erly, computer programmers sought to identify
existence. Given this valid concern on the part of potential problems and computer clients early
programmers and business owners and operators on and worked ardently to create the necessary

1009
1010 Y2K Bug

fixes so as to permit as seamless a transition as was well documented that problems associated
possible into the new century. with the Y2K bug could emerge even after Janu-
Because computer programmers were proactive ary 1, 2000, specific emphasis was placed on
in attempting to develop the necessary patches to identifying the bugs that emerged as a result of
ensure a smooth computer-based transition into date programming.
the 21st century, the anticipated problems (non- Typically, computer programs use a combined
functioning ATM machines, glitches in air traf- date and time stamp within a fixed binary field.
fic control, problems with monitoring of criti- This technique enables data to be stored easily
cal care patients in hospitals, etc.) were limited. based upon a simple logarithm. However, there
These remedial efforts on the part of computer were specific problems that emerged from date
programmers limited significantly the number of programming, including issues with Microsoft
problems associated with the Y2K bug. Excel, C-Programming, and Java Script. As such,
while the leap year problem was definitely an
Legitimate or Overblown Concern? issue, key problems relating to a possible Y2K
Was it necessary for there to be such exagger- computer shutdown were effectively mitigated in
ated concern over the potential Y2K bug, or the United States through the passage of the Year
did the concern itself propel computer program- 2000 Information and Readiness Disclosure Act,
mers into attempting to solve computer glitches which was aimed at maintaining normal opera-
before they occurred to mitigate the potential for tions in the event of Y2K-associated problems.
severe issues and complete computer shutdowns? This Y2K Act created a three-pronged approach
Because many computer programs stored infor- to potential problems posed by the shifting of
mation using only the last two digits of the year dates into the new millennium that included out-
(e.g., 1989 would be stored as 89), legitimate reach and advocacy, monitoring and assessment,
concern arose that computers would begin to rep- and contingency planning and regulation.
resent incorrect dates, thereby wreaking havoc Although most organizations and entities had
on the generation and maintenance of valuable Y2K contingency plans, there were neither cen-
computer data and potentially causing a complete trally located solutions to problems with pro-
shutdown of a computer system. gramming and leap year conversions nor univer-
As it became clear when Y2K came and went, sal “band-aids” to fix every possible glitch. As a
it is not known, precisely, whether there were result, the Y2K issue had to be anticipated and
extensive problems or shutdowns as a result mitigated well in advance of the beginning of the
of the initial date programming issue. What is 21st century in order to protect valuable com-
known, however, is that relevant entities (banks, puter systems, data, and even national security.
governments, prisons, etc.) took the necessary
precautions, recognizing that there could be a Dana M. Greene
potential problem with the transition to Janu- University of North Carolina
ary 1, 2000, and that information technology
(IT) professionals engaged in proactive problem- See Also: Backup Facility; Backup Media; Backup
solving and sought out corrections and other Strategy; Business Continuity Planning; Cabinet
trouble-shooting techniques in advance of the Office, UK; Disaster Recovery Plan Test Cycle;
turn of the century. Failover; Mitroff’s Five Stages of Crisis Management;
What is notable about the Y2K bug is that Warning.
while computer systems were expected to fail,
thereby causing a domino effect of critical infra- Further Readings
structure to also crumble, the Y2K “problem” Carrington, Damian. “Was Y2K Bug a Boost?” BBC
was nowhere near what it was anticipated to be News (January 4, 2000).
because entities paid attention to the warnings Cope, Jim. Y2K: Lessons Learned From World-Class
about what “might” happen if computer systems Companies. Indianapolis, IN: Que, 1999.
were not patched properly prior to the beginning Fry, Stephen. “In the Beginning Was the Nerd.”
of the new millennium. As such, and because it Archive on 4. BBC Radio (October 3, 2009).
 Appendix

2010 Annual Report

Bureau for Crisis Prevention and Recovery

United Nations Development Programme

1011

Marketing Graphic Design Design Illustrations Consultant Consultancy Rodrigo Domingues

Table of Contents
1012 Appendix

Table of Contents
Foreword by Helen Clark 5

Introduction by Jordan Ryan 7

Foreword by Helen
Achievements Clark Risk Reduction and Recovery
in Disaster 5
1033
11

Introduction byinJordan
Achievements Ryan
Early Recovery 7
1034
19

Achievements in Disaster Risk Reduction

Conflict Prevention and and Recovery
Recovery 11
1037
29

Early Recovery
Achievements in Gender Equality in Crisis Prevention and Recovery 19
1045
41

Achievements in Conflict Prevention and Recovery

Global Partnerships 29
1053
47

Achievements in Gender Equality in Crisis Prevention and Recovery

Conclusion 41
1063
53

Global Partnerships
Financial Summary 47
1069
59

Conclusion
Annex – Financial Report 1075
53
63

Financial
AcronymsSummary 1080
59
75

Annex – Financial Report 63

Acronyms 75
 Appendix 1013

Foreword by Helen Clark

Empowered lives. Resilient nations.

A more just and equitable world is one which will be more stable and secure. Recent events in the Arab states
remind us that economic and political exclusion can be a combustible combination.

The United Nations Development Programme (UNDP) works with countries to reduce poverty, promote
democratic governance, prevent and recover from crises, and protect the environment and combat climate change.

Our Bureau for Crisis Prevention and Recovery (BCPR) has a critical role in supporting all of UNDP to meet these
responsibilities by strengthening the capacities of countries to prevent and recover from crises. It assists
countries to move from immediate recovery to longer-term development, as early as possible during and after
crises, thus providing the essential foundation for sustained rapid human development.

Crises, whether generated by conflict or disaster, cause trauma and suffering. They impose human, social and
economic costs which can last for generations, and set back hard won development goals. BCPR supports
countries to build the capacity for recovery through the formulation of disaster risk reduction and crisis response
strategies, and promoting early recovery. This support is instrumental in providing hope to the poorest, isolated,
and most vulnerable population groups, who are often the most at risk from violence and the most seriously
affected by disasters.

BCPR’s role in crisis settings, its partnerships on behalf of UNDP with other UN agencies, and its ability to engage
the development community more broadly, ensure that assistance can be provided rapidly, in the appropriate
places, and with the maximum impact for those most in need. In that context, the Thematic Trust Fund for Crisis
Prevention and Recovery, if adequately resourced, provides for a rapid and effective response at the country
level, where time is of the essence and where other funding mechanisms can take time to be put in place.

At the end of last year, I approved a transformation plan for BCPR designed to strengthen the Bureau to respond
even more effectively to the increasing demand for its services from Country Offices. As part of an overall
UNDP effort, the Bureau will work especially hard to scale up our prevention work—helping governments,
communities, and civil society to find solutions to tensions and conflict on the basis of consensus, and
strengthening readiness for disaster. As was proved time and again in 2010, modest investments in prevention
and preparedness do save lives.

Looking ahead, BCPR will be instrumental in UNDP’s efforts to improve the security, rebuild the livelihoods,
and restore the hope and dignity of the disrupted and displaced. This enables UNDP to fulfil its mandate to
empower lives and build resilient nations.

Helen Clark
Helen Clark
UNDP Administrator
UNDP Administrator

5
1014 Appendix

Introduction by Jordan Ryan

As part of UNDP, and working through the UN system as a whole, BCPR is responsible for advancing
peace and development by strengthening capacities of countries to prevent and recover from crisis and
regenerating the well-being and livelihoods of those affected by natural disaster and armed violence.
In our work, we are guided by a concept of ‘HOPE’, which seeks to restore ‘healthy’ societies after crisis;
provide ‘opportunities’ for the poorest and most vulnerable; ‘protect’ communities from violence; and
‘empower‘ women to contribute to their country’s recovery. This annual report of BCPR describes our
progress in meeting these responsibilities during 2010.

Our principal task at BCPR is to respond effectively and efficiently to requests for crisis prevention and
recovery services by UNDP Country Offices. Their requirements during 2010 were many and varied.
BCPR and its partners provided experts and programmatic support on rule of law, justice and security;
small arms and mine action; disarmament, demobilization and reintegration; women’s empowerment in
crisis; disaster risk reduction; and livelihoods and employment creation.

In Burundi, for example, BCPR support led to increased political participation of women. In Kenya, efforts by
UNDP Kenya, with assistance from BCPR, recovered and destroyed small arms and developed mechanisms to
identify and defuse violence in advance of the referendum on the Constitution. UNDP’s support for national
and local dialogue and conflict management efforts in Kenya, Kyrgyzstan and Solomon Islands helped create
the conditions for a non-violent outcome following elections. BCPR assisted 21 countries to create safe,
stable settings as part of disarmament, demobilization and reintegration programmes. In Colombia and Sri
Lanka, women’s organizations were engaged to plan, implement and monitor community-based projects,
and Peace and Development Advisors and similar specialists were deployed in 35 countries to support
national actors in addressing emerging tensions, and building consensus around critical priorities.

Natural disasters often dramatically reverse development gains. Accordingly, BCPR made a major effort
during 2010 to help reduce and mitigate the risks of disasters. It is difficult to anticipate disasters, such as the
impact of the earthquake in Haiti (with over 300,000 killed) or floods in Pakistan (with more than 18 million
people affected). Yet, the preparations made by BCPR and other partners in the UN system with respect to
the Fast Track Policies and Procedures (FTP) proved to be extremely valuable. Within hours of both disasters
the FTP mechanism had been activated and SURGE teams, composed of UNDP staff members redeployed
to help UNDP country offices foster better recovery and development opportunities for people affected by
crisis, were responding. BCPR mobilized 58 experts during January and May to support disaster mitigation
and recovery in Haiti. In addition to expertise, BCPR also provided funding and programmatic support to the
UNDP Country Office. An especially noteworthy outcome was the Fast Track support provided for
cash-for-work and other emergency employment schemes. These initiatives served the displaced, helped
resettle those affected, with women and youth specifically targeted for assistance.

Crisis and post-crisis situations are especially dangerous for women and girls and place special demands on
prevention and recovery actors such as BCPR. Several achievements in 2010 made notable contributions
to reducing sexual assault and holding accountable those responsible for sexual and gender-based

7
 Appendix 1015

violence (SGBV).They included the provision of legal aid services, the extension of mobile courts, the referral
of SGBV cases to formal courts, gender-sensitive training of police, and the provision of special security to
protect internally displaced persons, especially women and children. Disaster risk reduction planning is
now gender-sensitive, and women’s organizations are directly involved in crisis prevention activities and
community-based development projects.

The strategic review of BCPR was completed in early 2010. The review emphasized the need to better
integrate Crisis Prevention and Recovery within UNDP and the UN system, to be more strategic, results-
oriented, and to provide more thorough and timely analysis and technical support in the areas of conflict
prevention, disaster risk reduction, and early recovery. We now have a new operational structure, with most
BCPR support organized in New York and a strong Liaison Office in Geneva. Work continues to better align
BCPR’s activities with the priorities of UNDP’s regional bureaus. The reorganization of human resources is
proceeding, senior managers have been appointed, and the operations of the Liaison Office in Geneva
have been streamlined. A key dimension of the transformation has been the adoption of a Multi-year
Results Framework that is supported by comprehensive agency-wide monitoring and evaluation of our
activities. The transformation will continue into 2011 and early 2012 with the development of a monitoring
and evaluation strategy, special emphasis on improving financial performance, expanding and deepening
our partnerships, and further upgrading our information and knowledge management. Each of these will be
boosted by additional support for senior management and leadership training.

A fundamental feature of BCPR’s operations is cooperation and collaboration through a range of partnerships
both within the UN system and with other development agencies. Several new partnerships emerged in 2010
and many of the existing partnerships were strengthened. Our relationship with the European Commission
continued to evolve in constructive ways. BCPR has also deepened its cooperation with the World Bank.
Current efforts involve a pilot study to improve governance and administration in post-conflict societies.
The 2011 World Development Report on Conflict, Security, and Development provides a number of entry points
through which UNDP can expand its cooperation with the World Bank. BCPR is actively supporting this effort.

Our work in BCPR confirms on a daily basis the harsh toll that disaster and crises take on regions and countries,
and their people. All too frequently, it is the poorest and most vulnerable, particularly women, children
and youth, who suffer the most. It is also these groups who tend to have the fewest capacities for recovery
from crises. This is why we place so much emphasis on disaster risk reduction, being prepared to respond
immediately when disasters or crises occur, and creating the partnerships and connections that ensure that
early recovery efforts are well-organized and well-funded and deliver results. Through our partnerships both
within and outside the UN system, we have accomplished a great deal over the last year, and indeed, in the
decade since the Bureau’s formation. Many challenges remain and I am confident that BCPR’s transformation is
taking the Bureau in the right direction to ensure we are better placed within UNDP to meet them.

Jordan
Jordan Ryan
Ryan

Assistant Administrator
andAssistant
Director,Administrator
BCPR, UNDP
and Director, BCPR, UNDP

8
1016 Appendix

During 2010, UNDP, with BCPR

technical input, provided support to

78 COUNTRIES
to strengthen their capacity for Disaster
Risk Reduction, Prevention and Recovery

IRIN - Abdul Majeed Goraya, Pakistan / Opposite page: IRIN - Abdul Majeed Goraya, Pakistan

From July to September 2010, Pakistan experienced some of the

worst floods in its history, affecting approximately 18 million people.
UNDP was among the first international organizations to respond.
 Appendix 1017

1
1
ACHIEVEMENTS IN

ACHIEVEMENTS IN
Disaster Risk Reduction
and Recovery
Disaster Risk Reduction
and Recovery
2010 was a devastating year for some of the world’s UNDP in Action: Fulfilling
most vulnerable. There were 373 earthquakes, Commitments on the Ground
floods, cyclones, volcanic eruptions, and droughts During 2010, UNDP provided support to 78
2010 was a devastating year for some of the world’s UNDP in Action: Fulfilling
affecting 208 million people. The natural disasters countries to strengthen their capacity for DRR,
most vulnerable. There were 373 earthquakes, Commitments on the Ground
of 2010 led to 300,000 deaths and, according to Prevention and Recovery. As a member of the
floods, cyclones, volcanic eruptions, and droughts During 2010, UNDP provided support to 78
the Centre for Research on the Epidemiology United Nations International Strategy for Disaster
affecting 208 million people. The natural disasters countries to strengthen their capacity for DRR,
of Disasters, involved losses of US$ 110 billion, Reduction (UNISDR), UNDP leads specific technical
of 2010 led to 300,000 deaths and, according to Prevention and Recovery. As a member of the
making it one of the most expensive years areas guided by priorities set out in the Hyogo
the Centre for Research on the Epidemiology United Nations International Strategy for Disaster
on record. Framework for Action.
of Disasters, involved losses of US$ 110 billion, Reduction (UNISDR), UNDP leads specific technical
Hazards are natural but disasters are not UNDP helped governments in 15 high-risk
making it one of the most expensive years areas guided by priorities set out in the Hyogo
inevitable. Human losses and economic damage can countries create a solid institutional and legal
on record. Framework for Action.
be limited through comprehensive preparedness basis to reduce disaster risks. With UNDP support,
Hazards are natural but disasters are not UNDP helped governments in 15 high-risk
and risk reduction measures. four high-risk provinces of Papua New Guinea now
inevitable. Human losses and economic damage can countries create a solid institutional and legal
UNDP’s work in Disaster Risk Reduction (DRR) have fully functioning disaster management offices
be limited through comprehensive preparedness basis to reduce disaster risks. With UNDP support,
has a high payoff. Building national capacities to with well-staffed and appropriately equipped
and risk reduction measures. four high-risk provinces of Papua New Guinea now
manage risks significantly decreases mortality and emergency operations centres. Disaster management
UNDP’s work in Disaster Risk Reduction (DRR) have fully functioning disaster management offices
recurrent disaster losses, accelerating post-disaster committees include representatives from Non-
has a high payoff. Building national capacities to with well-staffed and appropriately equipped
recovery and protecting development investments governmental organizations (NGOs), women’s and
manage risks significantly decreases mortality and emergency operations centres. Disaster management
recurrent disaster losses, accelerating post-disaster committees include representatives from Non-
recovery and protecting development investments governmental organizations (NGOs), women’s and
 1018 Appendix

How can disasters affect progress towards achieving the Millennium Development Goals (MDGs)?
MDG Direct impacts Indirect impacts
Negative macroeconomic impacts (severe
short-term fiscal impacts and longer-term
Damage to housing, service infrastructure, impacts on growth, development and poverty
Eradicate
extreme poverty savings, productive assets and human losses reduction).
and hunger reduce livelihood sustainability. Forced sale of productive assets by vulnerable
households pushes many into long-term pov-
erty and increases inequality.

Children, especially girls, are forced to work in

Achieve universal Disasters damage education infrastructure. household labour rather than going to school.
primary education
Population displacement interrupts schooling. Reduced household assets make schooling
less affordable, girls probably affected most.

As men migrate to seek alternative work, Emergency programmes may reinforce power
Promote gender women/girls bear an increased burden of care. structures which may marginalise women.
equality and
empower women Women often bear the brunt of distress ‘coping’ Domestic and sexual violence may rise in the
strategies, e.g. by reducing food intake. wake of a disaster.*

Children are often most at risk, e.g. of drown-

ing in floods. Disasters increase the number of orphaned,
Reduce Disasters damage health and water and sani- abandoned and homeless children.
child mortality tation infrastructure. Household asset depletion makes clean wa-
Injury and illness from disaster weakens ter, food and medicine less affordable.
children’s immune systems.

Pregnant woman are often at high risk from

death/injury in disasters. Increased responsibilities and workloads cre-
Improve maternal ate stress for surviving mothers.
health
Disasters damage health infrastructure.
Household asset depletion makes clean wa-
Injury and illness from disaster can
ter, food and medicine less affordable.
weaken women’s health.

Poor health and nutrition following disasters Increased risk from communicative and vec-
weakens immunity. tor borne diseases, e.g. malaria and diarrheal
Combat HIV/Aids, Disasters damage health infrastructure. diseases following floods.
malaria and other
diseases Increased respiratory diseases associated Impoverishment and displacement following
with damp, dust and air pollution linked to disaster can increase exposure to disease, in-
disaster. cluding HIV and AIDS, and disrupt health care.

Disasters damage key environmental resources

and exacerbate soil erosion or deforestation. Disaster-induced migration to urban areas
BUREAU FOR CRISIS PREVENTION AND RECOVERY

Ensure Disasters damage water management and other and damage to urban infrastructure increase
environmental
sustainability urban infrastructure. the number of slum dwellers without access
Slum dwellers/people in temporary settlements to basic services and exacerbate poverty.
are often heavily affected.

A global Impacts on programmes for small island Impacts on commitment to good

partnership for developing states from tropical storms, governance, development and poverty
development
tsunamis etc. reduction—nationally and internationally.

Reallocation of resources—including Official

ALL MDGs Development Assistance (ODA)—from devel-
opment to relief and recovery.
Disasters hold back development and progress towards achieving the MDGs. Yet disasters are rooted in development failures. This is
the core rationale for integrating disaster risk reduction into development. Source: http://www.unisdr.org/eng/mdgs-drr/dfid.htm.
Icons: UNDP Brazil.
* Though data are scarce, a number of studies suggesting a surge in domestic and sexual violence against women in the wake of disasters
are cited in, for example, Pan American Health Organization (2004), Emergency Information Infrastructure Partnership (1998), Wisner et al.
(2004:16), possibly resulting from heightened intra-household tensions.

2
 Appendix 1019

youth groups, and religious and civil society disaster risk management. They also engage key
organizations. In Kyrgyzstan, UNDP provided stakeholders by clarifying institutional mandates In 2010, UNDP’s

technical assistance to incorporate DRR into the and improving planning. For example, in Global Risk

ongoing decentralization process. In Syria, UNDP Armenia UNDP supported the Ministry of Identification

successfully advocated for inclusion of DRR in Emergency Situations to produce a Capacity Programme provided

the 11th National Five Year Plan while providing Development Action Plan. This now guides technical support

technical assistance in drafting the chapter on DRR. the national DRR framework. The Disaster to 20 high-risk

In Georgia, UNDP successfully advocated for Prevention and Preparedness Programme countries to assess

incorporating DRR in the five-year regional in Dominican Republic aims to improve the their disaster risks

development strategy for the Shida Kartli region. country’s prevention and recovery capacities in by identifying and

Indonesia also included DRR as a national priority in light of the disaster in Haiti, in close partnership mapping factors that

its National Mid-term Development Plan 2010-2014. with five governmental and non-governmental cause disasters.

In Ethiopia, UNDP helped the Ministry of organizations. The UNDP Country Office and
Agriculture to formally approve a comprehensive, the Regional Capacity Development Cluster
integrated DRR programme in May 2010 and supported a capacity assessment and provided
implementation began in June 2010. Since its training on results-based management.
adoption, the programme, along with other A workshop reviewed the findings leading to the
actors, has supported the integration of DRR issues creation of plans of action for each organization
into the new national development strategy and in the programme. In Lebanon, the Capacity
the establishment of the new Federal Disaster Assessment exercise by UNDP produced an
Risk Management Council (chaired by the Prime analysis on the institutional weaknesses of the
Minister) as an institutional mechanism for DRR. High Relief Committee and prepared a blueprint for
Creation of this top decision-making body signifies its revamping in order to make it a fully functional
a shift from stand-alone emergency management institution that has capacity to undertake
to an integrated risk management approach. disaster risk reduction initiatives.
In support, the Government has initiated multiple
programmes to mitigate food insecurity and Risk assessments
climate risk through safety nets, weather and risk Improved risk assessment is a basic part of
insurance, public works and cash transfer. effective long-term disaster risk reduction
UNDP helps governments respond to a and prevention. In 2010, UNDP’s Global Risk
disaster by assessing needs, formulating plans, Identification Programme (GRIP) provided
and implementing early recovery and longer-term technical support to 20 high-risk countries to
programmes. As part of its support for rebuilding assess their disaster risks by identifying and
capacities, UNDP helps countries integrate risk mapping factors that cause disasters. National
reduction considerations into national plans and Disaster Observatories were started in four
programmes. In 2010, UNDP’s technical support countries: Armenia, Bosnia, Moldova and
and policy advice included: Mozambique where a historical disaster loss
ANNUAL REPORT 2010

database is already operational with data for

Capacity assessments for risk the last 30 years. National Risk Assessment was
reduction and recovery planning completed in Lao PDR and similar assessments
Capacity assessments identify institutional gaps were initiated in six countries: Bosnia, Lebanon,
and technical skills that need to be improved for Liberia, Mozambique, Syria and Tajikistan.

13
 1020 Appendix

UNDP Egypt and Syria also supported the national growing key priority for disaster risk reduction.
authorities in developing disaster impact databases for Reducing disaster risks in urban settings is closely
a 30-year period, providing a historical analysis of risks. linked to urban planning and governance. With
In addition, three assessments on the status of UNDP support, earthquake risk, vulnerability and
disaster risk were developed in Chile, Dominican capacity assessments for selected urban areas
Republic and Uruguay during 2010 in collaboration were conducted in Bangladesh, India, Jordan,
with UN agencies, the Economic Commission for Nepal, and Pakistan. With support from GRIP,
Latin America, the International Federation of urban risk assessments were implemented in
the Red Cross and the Organization of American cities in Mexico, Mozambique, Nepal and Peru.
States. These assessments represent a real and UNDP promoted South-South regional alliances
widespread effort of these countries to integrate and exchange of knowledge among municipalities.
DRR in the management of public policies and For example, in collaboration with the European
their political will to advance disaster risk reduction Commission, UNDP supported the local and
according to the Hyogo Framework for Action. metropolitan governments of five capitals of
the Andean Region—Bogotá, Caracas, La Paz,
Urban Risk Management Lima, and Quito—to collectively promote DRR
With fast-rising world population levels, and with and preparedness through sharing of best practices.
the world’s urban population now exceeding its A Regional Urban Risk Programme for Central
rural population, reducing urban risk is another America was implemented in Costa Rica,

How does UNDP support capacities of local authorities and communities to achieve
disaster-resilient urban environments?

Training for LOCAL

Promoting and advising
RESPONSE CAPACITY
on related LEGISLATION
BUREAU FOR CRISIS PREVENTION AND RECOVERY

URBAN RISK
Sharing of good practice REDUCED Supporting
on URBAN POLICY PUBLIC AWARENESS

Facilitating the EXCHANGE OF

EXPERIENCE BETWEEN CITIES Advising on
PHYSICAL PLANNING
City 2

City 1

4
 Appendix 1021

UNDP Mozambique
Local Risk Management Committee volunteers in a UNDP-supported training exercise transferring injured people to a tent offering first aid in Mozambique.

El Salvador and Guatemala. The interest expressed and Uzbekistan), to pilot and scale up innovative
by other countries led to the inclusion of Bolivia, approaches to climate risk management at the The epic floods that

Colombia, Cuba, Dominican Republic, Ecuador, local level, while working at the national and affected 18 million

and Honduras. The programme allowed these regional levels to assess risks, elaborate strategies, people across one fifth

countries to share urban risk reduction experiences, and develop capacities. of Pakistan in July,

practices and tools. August and September

Work with the private sector of 2010 were the worst

Climate risk management By engaging with the private sector, UNDP ever recorded. UNDP

The Climate Risk Management Technical Assistance increases the coverage and effectiveness of its was able to rapidly

Support Project encompasses 20 high-risk risk reduction programmes. UNDP collaborates launch an early recov-

countries worldwide in which UNDP promotes with Deutsche Post DHL to develop a disaster ery programme to help

sustainable human development while accounting preparedness capacity building programme, communities in the

for impacts of climate related hazards and variability Get Airports Ready for Disaster (GARD). The GARD worst-affected areas

—droughts, floods, sea-level rise and extreme Programme prepares airports and relevant staff start to rebuild their

temperatures—in areas such as agriculture, water to better respond to disaster relief surges, to
ANNUAL REPORT 2010

lives while supporting

management, food security and health. Reflecting train local people, and to assist local disaster government institu-

the regional dimension of climate change, UNDP relief agencies to plan and coordinate recovery tions in their efforts to

launched in 2010 the Central Asia Multi-country efforts. In Nepal, the assessment and training respond to the urgent

Programme on Climate Risk Management (involving at four regional and one international needs of the crisis.

Kazakhstan, Kyrgyzstan, Tajikistan, Turkmenistan airports were completed in September 2010.

15
 1022 Appendix

The effort was supported by the Government and for humanitarian and development responses.
other humanitarian agencies. The results of the A key focus is reducing disaster risks so as to
assessment and the training have been integrated promote resilience. UNDP is the coordinator of the
within the airport emergency plans and adopted UN system for post-disaster recovery planning.
by the Civil Aviation Authority of Nepal as part of In this role, it has been collaborating with the
its regular emergency preparedness plan. World Bank and the European Commission to
integrate tangible risk reduction commitments
Supporting post-disaster needs assessment into PDNAs and Recovery Frameworks.
and sustainable recovery The largest and most complex PDNA in 2010
A Post Disaster Needs Assessment (PDNA) is was organized in the aftermath of the earthquake in
a government-led exercise, with integrated Haiti. It was essential in formulating the Government
support from the United Nations, the European of Haiti’s recovery and reconstruction strategy.
Commission, the World Bank and other national Following Chile’s 8.8 magnitude earthquake, UNDP
and international actors, that pulls together supported an assessment of that disaster’s impact
information into a single, consolidated report, on the nation’s MDGs. Post-disaster assessments
on the physical impacts of a disaster, the in Pakistan focused on the effect of the floods on
economic value of the damages and losses, the MDG achievement as well as physical damage and
human impacts as experienced by the affected economic losses. PDNAs were also conducted in
population, and the resulting early and long-term Indonesia in response to a volcanic eruption,
recovery needs and priorities. It is the basis for tsunami and earthquake, and in Benin and Moldova
identifying, ranking, and implementing options in response to floods.

UNDP’s Involvement in PDNA of Merapi Volcano Eruption

From 26 October until 5 November 2010, Indonesia’s Merapi Volcano erupted killing 340 people, destroying

homes and livelihoods, and damaging forests and public infrastructure in five districts in Yogyakarta and
Central Java. UNDP, through BCPR, provided post-disaster technical assistance to the National Disaster
BUREAU FOR CRISIS PREVENTION AND RECOVERY

Management Agency to conduct a Human Recovery Needs Assessment. By partnering with the local

governments and a consortium of local NGOs, UNDP helped mobilize a team of 50 facilitators to conduct over

500 household surveys, interviews and focus group discussions to assess the impacts and people’s recovery
needs. The resulting HRNA formed the basis of the national action plan for reconstruction and post-disaster

recovery, fostered cooperation among various actors responding to the disaster, and elicited resources from

the national budget.

6
 Appendix 1023

DRR and recovery To improve recovery efforts worldwide, UNDP

While it is difficult to anticipate the full nature supported the International Recovery Platform
and scope of disasters, DRR sets the stage for (www.recoveryplatform.org). This is a virtual
recovery by creating or identifying the required workspace for recovery planning. The Platform
national capacities. UNDP implemented recovery and its partner organizations have developed
programmes in 25 countries in 2010, as part of sector-specific recovery tools and guidance notes
immediate response or pre-disaster recovery emphasizing lessons learned and good practices
planning—Bangladesh, Barbados, Belize, Benin, from global recovery operations.
Bosnia and Herzegovina, Chile, Colombia,
Dominican Republic, Ecuador, Guatemala, Haiti,
Honduras, India, Indonesia, Kyrgyzstan, Lebanon,
UNDP implemented
Lesotho, the Former Yugoslav Republic (FYR) of
Disaster Risk Reduction
Macedonia, Mexico, Montenegro, Pakistan, Serbia,
recovery programmes in
Suriname, Tajikistan and Yemen. To illustrate,
25 countries in 2010, as
UNDP helped Ecuador establish a National
part of immediate
Meteorological Service station and equip situation
response or pre-disaster
rooms in four flood-prone districts with back-up
recovery planning.
high frequency radio systems to safeguard the
uninterrupted transmission of data, monitoring
of information and early warnings on flood risk.
Together with other legislative and institutional
developments, this ensures that disaster risk
reduction is addressed comprehensively as a
key development issue and not as a standalone
emergency management effort. In the past four
years more than 400,000 people, or 5 percent
of the population in Honduras has been directly
affected by disasters, including two earthquakes
(2007 and 2009), two tropical storms (2008
and 2010) and a drought (caused by la Niña
in 2009). Already the third poorest country in
Latin America, these disasters intensify poverty.
Supported by UNDP in 2010, the national government
has now approved a legal framework to promote
recovery from disaster and the Ministry of
Planning includes recovery and risk reduction into
regular development planning.
ANNUAL REPORT 2010

17
1024 Appendix

During 2010, UNDP, with BCPR

technical input, provided support to

78 COUNTRIES
to strengthen their capacity for Disaster
Risk Reduction, Prevention and Recovery

IRIN - Kate Holt, Chad / Opposite page: UN Photo - Marco Dormino, Haiti

A woman carries water on her head at a settlement for displaced people in Goz Baeda, Eastern
Chad. UNDP supports sustainable socio-economic solutions for internally displaced persons,
returnees and ex-combatants.
 Appendix 1025

2
2
ACHIEVEMENTS IN

Early Recovery
ACHIEVEMENTS IN

Early Recovery
Early recovery is a collaborative effort that seeks In 2010, UNDP provided early recovery support
to close the gap between humanitarian relief and to 33 countries. These activities covered a broad
longer-term development. The early recovery spectrum in the following areas:
approach helps people become self-reliant and Generating livelihoods and economic
resume their livelihoods,
Early recovery allowing
is a collaborative efffamilies
ort that to feel
seeks opportunities withprovided
In 2010, UNDP a specialearly
focus on youth
recovery support
safe and the
to close return
gaphome,
betweenrebuild local infrastructure,
humanitarian relief and and
to 33women’s groups.
countries. These activities covered a broad
and regain a sense
longer-term of normalcy—a
development. first
The early step
recovery spectrum in the following jobs
areas:
UNDP created emergency and employment
towards
approachfull recovery
helps and
people development.
become self-reliant and in viable enterprises
Generating or self-employment
livelihoods and economic for more
resume their livelihoods, allowing families to feel than 125,000 people
opportunities with a in Burundi,
special Côte
focus d’Ivoire,
on youth
UNDP in Action: Fulfilling
safe and return home, rebuild local infrastructure, Democratic
and women’sRepublic
groups.of the Congo, Dominican
Commitments on the Ground
and regain a sense of normalcy—a first step Republic, Haiti,emergency
Honduras,jobs
Indonesia, Kenya,
UNDP created and employment
UNDP is the
towards full lead UN agency
recovery for early recovery
and development. Mongolia, Myanmar,orNepal, Somalia, Srifor
Lanka,
in viable enterprises self-employment more
within the UN system. At the country level, Sudan, Takijistan and Uganda. UNDP-sponsored
than 125,000 people in Burundi, Côte d’Ivoire,
UNDP
UNDP in Action:
engages Fulfilling
with national and international cash for workRepublic
and otherofproductive employment
Democratic the Congo, Dominican
Commitments
leaders onand
to articulate thecoordinate
Groundearly initiatives
Republic,have helped
Haiti, affected
Honduras, men and women
Indonesia, Kenya,
recovery efforts
UNDP is the leadguided largelyfor
UN agency byearly
the post-crisis
recovery from these Myanmar,
countries with swift access Sri
to secure
Mongolia, Nepal, Somalia, Lanka,
needs
within the UN system. At the countryUNDP
assessment. At the same time, level, income, food security, money for small business
Sudan, Takijistan and Uganda. UNDP-sponsored
helps
UNDPnational
engagesand local authorities formulate start-up
with national and international cash for and
workaccess to key
and other basic social
productive services.
employment
and implement
leaders programmes
to articulate that effectively
and coordinate early Continuing tension and unrest in Côte d’Ivoire
initiatives have helped affected men and women
respond
recovery to
effassessed needs. stemming
orts guided largely by the post-crisis from thesefrom the 2002
countries withpolitical and military
swift access to secure
needs assessment. At the same time, UNDP income, food security, money for small business
helps national and local authorities formulate start-up and access to key basic social services.
and implement programmes that effectively Continuing tension and unrest in Côte d’Ivoire
respond to assessed needs. stemming from the 2002 political and military
 1026 Appendix

Early Recovery: development opportunities maximized even during

humanitarian response

UNDP provides the critical link between life-saving humanitarian work and longer-term development. UNDP
brings a development perspective to humanitarian operations and supports the rapid commencement of
specific recovery actions through the ‘early recovery cluster’.

crisis have created massive unemployment and that formerly jobless and frustrated youth at
limited economic opportunities. Young members risk, ex-combatants and ex-militia members are
of the population have been seriously affected. now busy running their own small businesses.
During 2010, UNDP focused on providing young An independent evaluation of the programme
people at risk with meaningful training and noted a decline in violent demonstrations, crime
income-generating activities. 4,326 unemployed and violence against women.
youth (of whom 1,841 were women) received In Honduras, UNDP-supported employment-
professional training in simplified accounting and creation initiatives benefited almost 21,000 persons
BUREAU FOR CRISIS PREVENTION AND RECOVERY

management, cooperative work and marketing, and who were affected by the tropical storm Agatha.
technical training on activities including carpentry, An emergency jobs programme enabled families to
sewing, trade, or soap making. An additional 3,900 start rebuilding their houses, businesses and public
(of whom 932 were women) were assisted with infrastructure such as schools, child care facilities,
livelihood initiatives such as farming and fishing. roads, and health clinics. Local economies have
The project directly created employment, helped recovered rapidly, businesses are up and running,
increase food availability and local retail trade, and 100 houses have been repaired, 14 water systems
has brought fresh capital into local markets. The are in place and four health clinics, five schools and
project also engaged community members whose five rural roads are again fully functional. The project
assistance enabled young people to rehabilitate provides innovative training in child care and
10 health clinics and 13 primary and secondary nutrition to enhance the participation of women in
schools, latrines and nurseries. The outcome is cash-for-work activities.

0
 Appendix 1027

Restoring community infrastructure in Côte have been supported to rehabilitate social

d’Ivoire, Democratic Republic of the Congo, infrastructure such as schools, hospitals, irrigation
Myanmar, Nepal, Somalia, Sri Lanka, Tajikistan channels, roads and bridges. Local authorities and
and Uganda. community representatives jointly identified the
In 2008 Tajikistan experienced the worst winter in activities, responded to priority needs, and
44 years. The frigid conditions overwhelmed the mediated disputes over resource distribution
country’s aging energy infrastructure and water and access to livelihoods. Community members
supply systems. Essential services were affected provided the labor and assets such as construction
and many health facilities and schools closed. materials, machinery and tools. Cash-for-work
Global food and fuel price increases aggravated clean-up of flood debris created temporary
the recovery—2.2 million people were food employment and the provision of livestock and food
insecure; 800,000 severely so. The damage has commodities helped 125 female-headed households
been estimated at $850 million (23% of the re-start their bread and milk production businesses.
country’s gross domestic product). UNDP has Supporting local governments for rehabilitation
assisted Tajikistan to recover from this ‘compound of socio-economic community infrastructure
crisis’ by working with the Tajik Committee of in Colombia, Dominican Republic, Kosovo1,
Emergencies during 2010 on a comprehensive early Somalia and Sri Lanka.
recovery rollout programme. Costing $3.2 million These initiatives contributed to the socio-economic
($2.97 million came from BCPR and $230,000 from recovery of over 250,000 people through improved
UNDP Tajikistan), the programme emphasizes access to water, enhanced quality of education, and
community level activities and the integration the increased production of food and cash crops.
of early recovery into national disaster reduction
1 Hereafter referred to in the context of the UN Security Coun-
policies. 144,000 inhabitants of 39 rural settlements cil Resolution 1244 (1999).

ANNUAL REPORT 2010

UNDP Tajikistan

UNDP helps countries in their efforts to restore community infrastructure. In Tajikistan, 144,000 inhabitants of 39 rural settlements have been supported to
rehabilitate social infrastructure, such as with this electrical transformer in Rasht district.
21
1028 Appendix

In Focus:

Post Disaster Early Recovery

UNDP’s task it to help Haiti rebuild into a more resilient country. As of December 2010, UNDP had successfully employed,
together with the World Food Programme, 240,000 people affected by the earthquake, with a positive impact on more
UNDP Haiti

than one million Haitians. UNDP continues to work closely with the Government and local communities to put Haitians
and their institutions at the centre of the recovery process.
 Appendix 1029

Haiti
On 12 January 2010, a 7.1 magnitude earthquake struck Haiti causing one of the largest human tragedies
in recent decades—killing 300,000 people, displacing over 1.5 million, and wrecking the livelihoods of tens
of thousands of households. UNDP offices were destroyed and many staff members’ families were directly
affected. UNDP rapidly established new premises and restored the functions of the Country Office.

Backed by newly developed fast track procedures that facilitate rapid deployments and procurement of
services, BCPR mobilized both personnel and resources for early recovery efforts within 48 hours of the earth-
quake. Mandated by the headquarters Crisis Board, a SURGE Planning Team deployed to Haiti and Dominican
Republic. The Team provided immediate support to management, assessed the needs of the Country Office,
and planned for the months ahead in accordance with the Standard Operations and Procedures.

Between January and May 2010, 58 experts were fielded, representing an investment of $1.8 million. 35
of the SURGE advisors came from UNDP country offices and regional centres across the globe. Eleven
crisis consultants and 10 experts were deployed to strengthen areas such as Early Recovery Coordination
and conduct a PDNA. UNDP also helped upgrade and expand a government system to track all ODA
commitments for recovery and reconstruction.

BCPR’s immediate contribution of $3 million together with generous funding from over 20 donor countries
and institutions enabled UNDP to launch cash-for-work activities for the most affected just eight days after
the earthquake. With coordination between the Direction Nationale de l’Eau Potable et de l’Assainissement,
local authorities, neighbourhood associations, NGOs and the ministries of agriculture and environment,
the programme continued to expand as additional resources materialized. The initial effort focused on
removing rubble and debris from the streets. Later, workers disposed of garbage, cleared drainage and
irrigation channels in preparation for the rainy season, and undertook small-scale reconstruction projects.
Partnerships expanded to include other UN agencies such as World Food Programme (WFP). By December
BUREAU FOR CRISIS PREVENTION AND RECOVERY

2010, the overall programme had provided employment and income for more than 240,000 individuals
with a positive impact on more than one million Haitians.

Other BCPR contributions helped strengthen the national system on disaster risk management in anticipation
of the 2010 cyclone season, and helped launch a seismic risk reduction programme with an investment of
$1 million. Following the earthquake, BCPR’s Rule of Law and Justice Project, costing $3 million, directly
assisted the Ministry of Justice and Security. Its infrastructure and facilities had been totally destroyed.
Equipment and temporary office space were provided as well as training and technical support to the police,
the judiciary and the Office de la Protection du Citoyen.

24
1030 Appendix

UNDP Staff in Action: Eric Overvest,

UNDP Country Director, Haiti

Haiti’s Earthquake struck whilst many staff were on Christmas Break. Eric Overvest
recounts receiving the news and immediately returning to Haiti as UNDP’s Country
Director.

“The first priority was to look for staff and get clarity on their condition. The roads were blocked. Bodies were
lying in the streets. The office was no longer there. We relocated to ‘log-base’—the MINUSTAH military police
training area and it soon became crowded with humanitarian organizations.” Eric’s pre-fab office became his
home for the next two months. He shared his working and living space with ten colleagues. “Getting the office
operational was a big challenge. All computers and office supplies were lost and all but a few shops were
destroyed. We flew to Santo Domingo to bring back essentials.” UNDP’s SURGE team arrived 48 hours into the
crisis to support the Country Office. “We were so happy when that first group arrived,” Eric recalls. “We really
needed help in getting capacity up and programmes running.” Within a few other days, the first group of 500
workers was already clearing rubble from roads. UNDP’s recovery programme had started.

“Cash-for-work was a particularly good option,” Eric states, “because it gave dignity to the people. They choose
how to use their own money.” UNDP already had experience with cash-for-work for waste removal in Haiti during
the 2008 hurricane and UNDP’s long relationship with the government ensured a rapid kick-off to the initiative.

A regular day in those first weeks had Eric rising early and preparing for the seven a.m. staff meeting. The
Government’s ‘Crisis Team’ met at eight—chaired by the Prime Minister with the Ministers of the Interior and
Information—providing information that would influence the day’s activities. Coordination meetings with all
the UN thematic clusters followed. Staff security and human resource issues were always prominent, dealing
with traumatized colleagues, endeavoring to get compensation so as to buy shelter material, to cover funeral
costs. After that came security clearances for project areas, preparing documentation, organizing transport and
payments, working with the Mayor and other authorities. What were regular tasks in other country programmes
were major hurdles in Haiti then.

As one of the main people responsible for the logistics and the formulation of the interagency PDNA, Eric
struggled to set up tents with the necessary equipment in time for the team’s arrival. At night he would sit
down and prepare his daily situation report for HQ. “Colleagues become family. You get to know who snores.”

“My main advice for people who go to similar situations, would be to make sure they find their own way to cope
ANNUAL REPORT 2010

with stress… Know how much they can bear. Know when it is time to take a deep breath, leave the office, go
for a run...” For Eric, having reliable colleagues really helped. His main satisfaction, however, was to see visible,
concrete cash-for-work sites fully operational, to start seeing the streets clean again. “When you see this type of
progress, that’s what helps you to keep it all together.”

25
 Appendix 1031

Pakistan
From July to September 2010 Pakistan experienced some of the worst floods in its history. 18 million people
were affected. UNDP was among the first international organizations to respond. It launched a comprehensive
programme of early recovery and restoration of communities through three strategic initiatives: re-establishing
capacities of local institutions; restoring livelihoods of vulnerable flood-affected people; and rebuilding
basic and critical community infrastructure. The programme has been working in 39 districts with disaster
management authorities at national, provincial and district levels to bring relief to the affected communities.

UNDP began with a pilot initiative that partnered with 17 local non-governmental organizations in the worst-
affected districts to support community-level initiatives. Local knowledge facilitated a speedy response to the
crisis and the bottoms-up approach built capacity in local institutions and supported community ownership.
The programme was unprecedented in its direct support for the most vulnerable and affected people, including
women and the disabled. Hundreds of female community organizations played a crucial role in identifying
female beneficiaries in their communities. They also identified gender-specific needs for infrastructure projects.
In addition, UNDP assisted with culturally sensitive interventions for females in the form of small grants, live-
stock support packages and specialized enterprise training. These helped women sustain their families from
within their households. This focus on women has been widely recognized and appreciated.

UNDP Pakistan, Nahyan Mirza

BUREAU FOR CRISIS PREVENTION AND RECOVERY

UNDP supported women like Kaneez Bibi (left), a resident of the Cheekal East village in Pakistan, through income-generating
projects allowing her to restore her and her families’ livelihoods after the floods affected the community she lives in, which was
hardly affected by the 2010 floods.

To improve governance, UNDP provided training in disaster risk management and equipment support to 150
government officers and facilitated the provision of lost ID cards. To restore the livelihoods of people affected by
the floods, UNDP initiated cash-for-work and provided productive toolkits containing seeds and fertilizers. Overall
UNDP supported 128 rehabilitation schemes for community infrastructure recommended by local communities.

26
1032 Appendix

Interview with Jean-Luc Stalon,

Acting Country Director in Pakistan

“What made this crisis different from others was that it was not immediate. Not

like an earthquake. We learnt day to day how serious it really was—like a slow

tsunami.”

Jean Luc-Stalon was UNDP’s acting Country Director when floods peaked in mid-August, affecting 18 million
people and inundating an area the size of England. Assessing the impact was not easy; reaching affected

communities was nearly impossible in the initial days. “Our first priority was to get a sense of magnitude.

You cannot build a response based on contradictory information…data have to be credible for an informed

strategy to deal with a disaster of this scale. We established a Floods Control Response room so everyone
knew who was doing what.” With 600 field staff and 80 in the capital, UNDP’s strength was its presence on

the ground and its solid relationships with national and provincial authorities.

Jean-Luc ensured that UNDP liaised with donors, humanitarian organizations and the National Disaster

Management Authority. “Decisions needed to be taken quickly. The moment rains subsided people would

want to start going home. Early Recovery activities and the re-establishment of basic infrastructure needed

to start at once. We needed to be well-positioned with key partners to make that happen.”

Jean-Luc shifted the focus of some existing programmes to new recovery priorities. Recovery programmes

commenced funded by reallocating $7.9 million from ongoing projects and an immediate injection of

$4.7 million from BCPR. Their initial success helped generate a further $80 million from donors, including
Japan and the European Commission. “It didn’t take BCPR longer than a week to allocate that amount to

Pakistan—allowing us to engage 17 community-based non-governmental organizations to start delivering

to the affected people. Without this support it would have been difficult to rebuild the lives of those affected.”
Cash-for-work started, “providing money for basic goods—to open roads, clean markets, and re-establish

basic infrastructure.”

When asked for advice to people working in similar situations, Jean-Luc, who has worked for UNDP for 15
years in countries like Rwanda, Somalia and Côte d’Ivoire, noted: “Make sure you have an organized, well-

coordinated office. Know what people are doing. Capitalize on their strengths, remain cool and give clear

guidance. Establish your priorities. Concentrate on a couple of things where you have comparative advantage
rather than trying to do too many things.” Jean-Luc added the need to work closely with the government.
ANNUAL REPORT 2010

“In Pakistan we have a good relationship, particularly with the Disaster Management Authority. We are their
main partners. You have to build upon that relationship. Use it well.”

27
 Appendix 1033

3
3
ACHIEVEMENTS IN
ACHIEVEMENTS IN
Conflict Prevention
ConflRecovery
and ict Prevention
and Recovery
Conflict prevention and recovery requires initiatives gains and avoiding the human suffering associated
in diverse but related areas: Conflict Prevention; with disasters. Requests increased by almost In 2010, UNDP con-
Conflof
Rule ictLaw,
prevention
Justiceand
andrecovery
Security;requires initiatives
Disarmament, gains
50 and avoiding
percent in 2009,the
as human suffering
the number associated
of countries tributed to mitigating
in diverse but related
Demobilization areas: ConflArmed
and Reintegration; ict Prevention;
Violence, with disasters.
requiring support Requests increased
to strengthen bycapacities
their own almost In 2010,tensions
ongoing UNDP con-

Rule of
Small Law,
Arms andJustice and Security;
Mine Action; Disarmament,
and Crisis Governance. 50confl
for percent in 2009, as
ict prevention the
and number of countries
management increased tributed
and to mitigating
fostering break-
Demobilization
BCPR and Reintegration;
and its partners were activeArmed Violence,
in all areas requiring
from 20 tosupport
30. Evento
so,strengthen their
this reflected own
only capacities
half of an ongoing in
throughs tensions
political
Small Arms
during 2010.and Mine Action; and Crisis Governance. for conflict60
estimated prevention
countriesand
thatmanagement increased
are already receiving, and fostering
deadlocks break-
at national
BCPR and its partners were active in all areas from
or are20 to 30.
likely to Even so, this
request, thisreflected only
assistance halfthe
over of an throughs
and in political
local levels in 10
UNDP in Action: Fulfilling
during 2010. estimated
next 60 countries that are already receiving,
two years. deadlocks at national
countries.
Commitments on the Ground or are likelyfocus
UNDP’s to request, thisprevention
in conflict assistanceisover the
designed and local levels in 10
UNDP
Confl in Action: Fulfilling
ict Prevention next
to twonational
assist years. and local actors in addressing countries.
Commitments
Lasting on the
peace requires that Ground
key actors possess UNDP’stensions
emerging focus in conflict prevention
themselves, and toisacquire
designed
Confl
the ict Prevention
skills and have the forums and institutions to assistcapabilities
lasting national andforlocal actors inrecurring
managing addressing
Lasting
that peace
allow themrequires that key
to cooperate actors
across possess
political or emergingsuch
conflicts tensions themselves,
as those and tonatural
around land, acquire
the skillslines.
sectarian and have the from
Demand forums and institutions
partner countries for lasting capabilities
resources, for managing recurring
and governance.
that allow
UNDP themhas
assistance to cooperate
grown overacross political
the past or
few years conflicts such
In 2010, as those
UNDP aroundto
contributed land, natural
mitigating
sectarian
reflecting lines. Demand
a growing from partner
realization countries for
that prevention is resources,
ongoing and governance.
tensions and fostering breakthroughs in
UNDP
the assistance
best means ofhas grown over developmental
safeguarding the past few years In 2010,
political UNDPatcontributed
deadlocks national andtolocal
mitigating
levels in
reflecting a growing realization that prevention is ongoing tensions and fostering breakthroughs in
the best means of safeguarding developmental political deadlocks at national and local levels in
 1034 Appendix

What UNDP does to support National Capacities for Managing Conflict

Strengthening internal mediation and

Convening leaders for negotiation conflict management capacities of
and collaborative leadership government and civil society through Assisting countries on the inclusive and
training and knowledge-sharing transparent use of natural resources,
through dialogue and appropriate policies

LOCAL AND NATIONAL

RISK OF VIOLENT
Promoting fair and peaceful CONFLICT REDUCED
conduct of elections – with party Engaging local media as a positive
codes of conduct and community force for reconciliation, through
action against violence training and new programmes

Convening and facilitating dialogue - Supporting, through funds and

empowering inter-religious and training, local peace committees to
inter-ethnic leaders on reconciliation resolve conflicts locally

10 countries. The focus was to establish credible non-governmental actors in Honduras to explore a
platforms for dialogue, support cross-community roadmap for dialogue and reconciliation, drawing
confidence-building, and empower civil society from recent dialogue experiences between Ecuador
groups. In Guinea-Bissau local tensions were and Colombia as well as conflict prevention efforts
defused and conflicts resolved through a in Bolivia.
BUREAU FOR CRISIS PREVENTION AND RECOVERY

UNDP-supported platform that included 20 youth As part of its broader engagement, UNDP
organizations that encouraged inter-ethnic assisted with conflict resolution processes and
dialogue in their respective communities. electoral violence prevention mechanisms in 20
A longstanding violent conflict in Benue state in countries. The experiences in Kenya, Kyrgyzstan,
Nigeria was resolved through mediation efforts and Solomon Islands are reviewed below (see box).
conducted by a local women’s organization with Similar efforts contributed to peaceful elections in
financial and technical support from UNDP. Togo and a referendum in Zanzibar in 2010.
In August 2010, UNDP assistance in Fiji helped
form an autonomous platform for dialogue, Rule of Law, Justice and Security
thereby enabling key stakeholders to develop During or after a crisis, national governments
priorities for actively engaging around selected often do not have the capacities to protect
themes. UNDP also assisted governmental and citizens from impunity and respond to their justice

30
 Appendix 1035

Preventing electoral violence and strengthening the foundations for

more resilient societies

Kyrgyzstan, Solomon Islands, and Togo held peaceful elections in 2010 and Kenya’s constitutional referendum
occurred without incident. Vital assistance provided by UNDP to all four countries helped national actors
mitigate violence.

In Togo, UNDP assisted a successful Togolese-led political dialogue, which produced an agreement in advance
of elections on post-election governance reforms. The agreement included a national architecture for conflict
management, modeled on Ghana’s National Peace Council. With UNDP support, a ‘code of conduct’ for political
parties was developed and a campaign for public peace and harmony undertaken.

Kenya conducted a peaceful referendum on a new constitution in 2010. The 2007 violence resulted in
economic losses of around $3.6 billion. By contrast, violence prevention efforts in advance of the referendum
cost roughly $5 million. Achieving a peaceful outcome involved three steps. UNDP facilitated each of them.
Parliamentarians and leaders of the major parties reached consensus on a draft of the new constitution. District
peace committees were strengthened and made operational. The March 2008 peace agreement, mediated
by Kofi Annan, stipulated that these committees were to be formed in every district of Kenya to advocate
peace and promote confidence-building. The Uwiano Platform to prevent national violence was developed.
It connected a community-level network of mediators by phone and SMS to a Nairobi-based ‘deployment’
facility. The mediators had the capacity to arrive on time at locations where tensions were rising. Over 150
potentially violent incidents were successfully dealt with in the volatile Rift Valley province alone.

In the Solomon Islands, UNDP assistance contributed to a peaceful election. UNDP support to the Solomon
Islands Parliament, the Provincial Governance Strengthening Programme, and the Truth and Reconciliation
Commission are designed to be consequential in reducing political and community-level animosities and in
rebuilding mutual trust as one of the steps for reconciliation in this post-conflict country. UNDP also partnered
with the resident diplomatic missions, the Commonwealth and the Pacific Islands Forum to deploy a much
larger and better-resourced group of election observers for effective observations. A joint UN Department of
Political Affairs -UNDP team was deployed before, during, and after elections, providing security and political
analyses to ensure smooth implementation of election and monitoring.

In Kyrgyzstan, potentially violent inter-ethnic tensions were diminished before and during the parliamentary
elections in October 2010 in partnership with the European Commission. UNDP helped create space for
dialogue by enhancing collaboration between civil society, law enforcement agencies and the Central Electoral
ANNUAL REPORT 2010

Commission. Six Oblast Advisory committees were established and early warning telephone hotlines installed
at national and Oblast levels to address potential conflict triggers that could have caused electoral violence.
By coordinating with the UN Regional Centre for Preventive Diplomacy for Central Asia, UNDP facilitated the
signing and implementation of a memorandum of understanding among the political parties.

31
 1036 Appendix

and security needs. UNDP’s Global Programme This was especially important in Sri Lanka
on Strengthening the Rule of Law in Conflict and where UNDP support enabled the Legal Aid
Post-Conflict Situations enhances physical and Commission to establish five new offices in 2010,
legal protection of people and communities, dealing specifically with criminal cases. This activity
ensuring adequate legal representation, access to directly enhanced the access to justice by women
justice, developing accountable institutions, and and the displaced. This Commission undertook
empowering communities. 1,684 consultations, 1,014 court appearances,
In 2010 UNDP’s Rule of Law Programme 123 police visits, and 187 bail applications through
offered operational, technical and financial 58 centres across the country. Community-based
support to: Afghanistan, Bosnia-Herzegovina, paralegal programmes in Nepal were expanded
Burundi, Central African Republic, Chad, Colombia, to 70 villages, significantly extending the reach
Democratic Republic of the Congo, Guinea- of the law, especially for women. Mobile legal
Bissau, Haiti, Iraq, Kosovo, Liberia, Nepal, Sierra aid clinics provided free legal services and legal
Leone, Somalia, Sri Lanka, Sudan, Timor-Leste information to 1,524 people (80 percent of whom
and Uganda, as well as to the occupied were women); and community mediation centres
Palestinian territory. successfully resolved 60 percent of the 230
The Global Programme developed multi-year cases registered.
country projects for a programming value of over As a result of its support to ministries, the
$230 million. At the request of 21 different UNDP police, the judiciary and correctional centres in
country offices, seven Global Programme technical 18 conflict-affected countries, UNDP enabled
staff spent a total of 346 days during 2010 providing these agencies to improve their service delivery.
field support. A key focus was helping citizens gain Citizens gained access to legal services that were
open access to rule of law institutions and improving formerly unavailable to them. UNDP invested
the legitimacy of these institutions so that these in court and police facility infrastructure (Haiti,
fragile societies can prevent relapses into violence. Liberia); provided technical and operational
BUREAU FOR CRISIS PREVENTION AND RECOVERY

UN Photo - Marco Domino, Haiti

UNDP has organised a series of trainings to public prosecutors, magistrates, judges and police officers in order to improve their capacity to deliver
better services to Haitians.

32
 Appendix 1037

support to increase the capacity to deliver justice to strengthen the security sector through the
and security services (Burundi, Colombia, Somalia); review and control of legislation related to
and boosted the numbers of legal and security security institutions.
professionals trained and deployed in-country A core aspect of UNDP’s work on rule of law is
(Central African Republic , Democratic Republic responding to sexual and gender-based violence
of the Congo). (SGBV). Through UNDP’s assistance in Nepal,
In Kosovo, support by UNDP to the Parliamentary Sierra Leone, and Somalia, over 3,000 survivors of
Oversight Commission for Internal Affairs and SGBV received access to justice services in 2010.
Security allowed its members to effectively review In Democratic Republic of the Congo, six UNDP
legislation designed to improve oversight and supported paralegal centers have assisted more
accountability mechanisms for security institutions. than 183 cases on SGBV, while a partnership
With improved accountability, impunity and neglect between UNDP and Avocats Sans Frontieres
of the law have diminished. In Timor-Leste, UNDP helped the South Kivu Bar Association to launch
supported the Office of the President’s efforts a pro bono office that provides legal aid.

Extending the rule of law, justice and security in Somalia

Beset by civil war since 1991 and without an effective central government, Somalia has difficulty extending
the rule of law. UNDP is helping improve security in the country; ensure better protection under the
law; and expand access to justice, especially for vulnerable groups. UNDP provided $2.6 million in 2009
for Somalia’s Rule of Law and Security programme. In 2010, it consolidated the effort with additional
technical support.

Significant, tangible results have been achieved. In Somaliland, mobile courts have extended the reach
of the formal justice system in rural areas, hearing 418 cases in 2010, a 64 percent increase from 2009.
In Puntland, mobile courts dealt with 321 cases, and expanded their presence to 50 villages, including
two camps for IDPs.

To counteract gender inequality, often perpetuated by traditional systems of justice, UNDP supported
arrangements through which clan elders refer gender violence cases to formal courts. In Somaliland, the
Sexual Assault Referral Centre increased referrals by 44 percent compared to 2009. Of the 109 cases addressed
so far, 89 involve minors. UNDP supported the Ministry of the Interior to establish and staff special units in
Somaliland police stations for women and children victims of crime.

2,905 civilian police were trained on gender and human rights issues and UNDP assisted the Police Headquarters
ANNUAL REPORT 2010

and the Criminal Investigations Department to establish Police Advisory Committees to monitor, mentor and
train police and prison personnel on treatment of detainees.

33
 1038 Appendix

Disarmament, Demobilization and Reintegration UNDP helped generate emergency jobs

(DDR) of ex-combatants and longer-term employment for 224,000 male
UNDP’s DDR activities supported through BCPR and 72,000 female ex-combatants in Burundi,
provide ex-combatants with access to employment Colombia, Côte d’Ivoire, Democratic Republic of the
and income-generation opportunities. Sustained Congo, Kosovo, Nepal, Republic of Congo, Sudan
support is critical especially during the period and Uganda. These represented roughly 10 percent
from conflict to peace and early recovery. of the estimated total of 224,000 male and 72,000
Throughout 2010, UNDP provided technical female ex-combatants in these places and, in
assistance to DDR of ex-combatants initiatives the process, made a major contribution to the
in: Afghanistan, Burundi, Central African Republic, consolidation of peace and stability.
Chad, Colombia, Comoros, Côte d’Ivoire, Democratic Preparations began in 2010 on eight additional
Republic of the Congo, Guinea-Bissau, Indonesia, DDR programmes (Afghanistan, Chad, Comoros,
Iraq, Kosovo, Nepal, Nigeria, Papua New Guinea, Guinea-Bissau, Indonesia, Iraq, Somalia, and Sri
Republic of Congo, Rwanda, Somalia, Sri Lanka, Lanka). Operations commence there in 2011.
Sudan, and Uganda.

UNDP’s leading role in rehabilitating verified minors and late recruits in Nepal

When the comprehensive peace agreement between the political parties and the Unified Communist
Party of Nepal (Maoist) was signed in November 2006, the UN Country Team assisted with registering and
verifying Maoist army personnel. When these tasks were completed in December 2009, the Action Plan
to discharge and rehabilitate verified minors and late recruits was signed. The discharge process began
in January 2010 and was completed in February 2010.

The UN Children’s Fund (UNICEF), the UN Population Fund (UNFPA), the International Labour Organization
(ILO), and UNDP created the UN Inter-agency Rehabilitation Programme. Designed to support the transition of
BUREAU FOR CRISIS PREVENTION AND RECOVERY

the dischargees into civilian life, it offered rehabilitation packages with ‘sustainable livelihoods options’—
formal education, vocational skills training, micro-enterprise start-up support, and health services training.
By November 2010, approximately 60 percent of those eligible had contacted the programme, a process
facilitated by the operation of a toll-free number. Of these, 44 percent have received career counselling
and access to educational or training packages. 1,759 former Maoist army members (approximately 32
percent female), of a total of 4,008, have already chosen their selected rehabilitation package. Around 400
participants have completed the vocational skills and micro-enterprise programmes (a popular choice is
technical training in repairing mobile phones).

34
 Appendix 1039

UN Photo - Albert Gonzalez Farran, Sudan

A man participating in a reintegration programme held at the National Service Camp in Nyala (South Darfur) shows his registration card.

Armed violence, small arms control and 2,000 firearms were destroyed and 9,000
In Angola, for
mine action police arms marked.
example, UNDP
In 21 of the 31 national-led programmes against In 12 of those 31 UNDP-supported
supported a civilian
armed violence and small arms proliferation programmes, UNDP emphasized measures
weapons-collection
supported by UNDP in 2010, the focus was the that reduce the demand for weapons and
campaign that
reduction of the supply of weapons. Measures drivers of violence. In 2010, UNDP assisted
resulted in the
included the collection and destruction of firearms local communities in the participatory
collection of 76,000
(Angola, Croatia, Panama and Uganda), the development and implementation of
illegally held weapons
implementation of conflict-sensitive export controls, community security plans, which resulted
by mid-2010, while in
formulation of laws and regulations against illicit in people-centred solutions ranging from
Burundi more than
supply (Kosovo, Costa Rica, Democratic Republic of the construction of Youth Community
ANNUAL REPORT 2010

12,400 explosives
the Congo, El Salvador and Honduras). In Angola, Centres (Liberia) to pastoralist resource
and 2,000 firearms
for example, UNDP supported a civilian weapons- management schemes (Kenya). UNDP
were destroyed and
collection campaign that resulted in the collection also supported national level Violence
9,000 police arms
of 76,000 illegally held weapons by mid-2010, Observatories (Burundi, Haiti, Honduras
marked.
while in Burundi more than 12,400 explosives and and Jamaica) to identify crime hot spots,

35
1040 Appendix

pects for financial independence for 150 persons unexploded devices were removed and destroyed,
with disabilities. UNDP assistance enabled the Iraqi and 37 districts in Cabo Delgado, Gaza, Inhambane,
NGO Rafidain Demining Organisation to clear Maputo, Nampula, Niassa, Sofala, and Zambezia,
494,545 square metres and the Danish Demining Provinces, were completely freed of mines.
Group to clear 8,388,122 sqm and 3,865 unexploded The Government of Lao PDR sought UNDP
ordnance (UXO). UNDP provided educational assistance with the organization, administration,
activities and training aimed at reducing the risk and funding to prepare for the First Meeting
of injury from mines and UXO to 1,431 men, 1,432 of States Parties (1MSP) to the Convention on
women, 1,510 boys, and 1,484 girls. Cluster Munitions, held in Vientiane in November
In Mozambique, UNDP is supporting the 2010. Together with the Government, UNDP
Government to fulfil its obligations under the established a Multi-donor Trust Fund for UXO
Anti-Personnel Mine Ban Treaty to clear all known activities in Lao PDR. UNDP is helping Lao PDR
mined areas by 2014 and to address residual meet its obligations under the Convention.
threats posed by other ERW. In 2010 alone, 136 At the 1MSP, States Parties entrusted UNDP/BCPR
areas previously blocked to economic development with the executive coordination of work under
because of landmines and ERW were cleared with the Lao PDR Presidency. In Lebanon, UNDP
UNDP’s support. A total of 883 mines and 531 strongly advocated for the ratification of the

Over two thousand guns go up in smoke in Kenya

The Control Arms Campaign estimates that 639 million small arms circulate worldwide. Illegal weapons
have increased in Kenya due to its proximity to Somalia and the Great Lakes Region and its porous borders.
Small arms are replacing traditional weapons such as spears in conflicts over land, livestock and water.
They also feature in urban crime.

In 2010, the Kenya National Focal Point on Small Arms

and Light Weapons, with UNDP support, was upgraded
to a directorate within the Ministry of State for Provincial
Administration and Internal Security. Improved controls
led to the surrender of 2,500 illegal firearms in 2010, many
UNDP - Jemaiyo Chabeda, Kenya

from members of pastoral communities. The Government

of Kenya burnt the weapons and smelted the metal.

UNDP’s assistance in the Garissa, Isiolo, Mandera, Marsabit,

Moyale and Wajir districts of Northern Kenya has enabled
ANNUAL REPORT 2010

the Government to reduce armed violence. A data centre

As part of UNDP Kenya’s initiative to reduce and
established with UNDP support and linked to a National control the proliferation of small arms and light
Steering Committee under the Office of the President provides weapons, the Government of Kenya burnt to
ashes over 2,500 illegal firearms at a public event
early warning information on crime and violence. recently.

37
 Appendix 1041

Convention on Cluster Munitions, which was the assessment were endorsed by GoSS and
completed on 5 November 2010. presented to a High-level Technical Meeting
on Capacity Development for South Sudan in
Crisis Governance Brussels on 17 September 2010. UNDP is charged
Fragile states and societies tend to be locked in with supporting follow-up and the development
vicious cycles of political, social and economic of a mid-term capacity development strategy.
turmoil with governments often unable to In Somalia, UNDP has assisted with extensive
respond to social expectations, manage the community consultations to draft district
economy, or deliver essential services. development frameworks and annual work plans.
During 2010 BCPR worked with 12 countries Monitored closely by recipient communities, these
to strengthen their institutions and reestablish plans have led to improved service delivery.
governance processes. In Sri Lanka, Kosovo and By July 2010, a total of 145,173 people were
Sudan, UNDP assistance enhanced local and benefiting from these projects. Women participated
national government capacities for planning so actively with a 33 percent representation and are
that recovery efforts reflected community-based now part of monitoring groups during project
priorities. UNDP provided technical expertise and implementation.
seed funding for the Government of Southern In Colombia UNDP supported the finalization
Sudan (GoSS) to complete an assessment of of Peace and Development Action Plans in
core functions of statehood. This assessment six conflict-affected regions. The Plans bring
was critical in preparing for the 9 January 2011 local governments together with victims of
referendum on independence. The results as conflict, including representatives of 15 women’s
BUREAU FOR CRISIS PREVENTION AND RECOVERY

UNDP Somalia

Somali Police training on communication equipment in Galkayo, Somalia.

38
1042 Appendix

organizations, to devise activities that reduce rights, reconciliation, economic reintegration of

risks to human security. UNDP assisted the displaced groups, and to reduce the margin-
consultations that enabled the local governments alization of indigenous and Afro-Colombian
to develop Plans. Based on these Plans, government populations. These consultations enhance
funding has been allocated to support victim’s social cohesion in conflict-affected regions.

Sri Lanka

The main goal for UNDP Sri Lanka’s country programme in 2010 was a rapid return to normalcy for conflict-
affected communities. The priorities were to assist IDPs to resettle and regenerate their livelihoods in the
north and support early recovery in the eastern province.

UNDP used a performance-based grant mechanism to finance local authorities and assist 56 community-
based organizations to undertake quick impact community projects. Grant instalments depended upon
successful completion of financial management milestones. Projects included constructing and repairing
access roads and bridges, drainage systems, public libraries and pre-schools, and renovating markets
and improving playgrounds. These activities created or repaired critical community infrastructure and
increased the capacity of local governments to respond to their constituents’ needs.

Cooperating with local government authorities enabled UNDP to support over 6,500 people to rebuild
their homes and re-establish sustainable income-producing activities in farming, fishing, livestock
rearing, home gardening, and micro-enterprises such as sewing, and shopkeeping. These activities helped
revive local cooperatives and producer groups, and rehabilitate facilities such as roads and markets that
contribute to livelihoods.

Community members plan, implement, and monitor these projects. Rural development societies and
small-scale contractors implement livelihood and infrastructure activities. Communities are consulted to
identify the recovery priorities in their villages and encouraged to contribute their labour for construction
and maintenance of the physical infrastructure. Training enhances this contribution. UNDP extended this
approach to returnees and host communities, helping bridge ethnic, religious, geographic and caste-
based divides and restoring trust.

Communities were provided with temporary avenues to justice through the repair of six court houses and
extension of legal aid services. This resulted in over 2,000 consultations and strengthening of village-level
paralegal capacities through training offered to 700 Grama Niladraris (village heads). UNDP supported
ANNUAL REPORT 2010

community awareness-raising about legal issues particularly gender based violence.

39
 Appendix 1043

4
4
ACHIEVEMENTS IN
ACHIEVEMENTS IN
Gender Equality in Crisis
Gender Equality
Prevention in Crisis
And Recovery
Prevention And Recovery
Guided by the priorities outlined in the Eight-Point UNDP in Action: Fulfilling
Agenda for Women’s Empowerment and Gender Commitments on the Ground
Guided
Equalitybyinthe priorities
Crisis outlined
Prevention andin Recovery,
the Eight-Point
BCPR UNDP in Action:
BCPR stimulated Fulfiprogress
tangible lling on the Women,
Agenda for Women’s
made progress Empowerment
in protecting, and Gender
empowering and Commitments
Peace and Securityon the Ground
agenda in global and national
Equality in Crisis Prevention and Recovery, BCPR BCPR stimulated tangible progress
improving the prospects of women and girls in programming and policy and madeon the Women,
a significant
made progress in protecting, empowering and Peace and Security agenda
crisis settings during 2010. contribution to policy shifts.inKey
global and national
achievements in
improving the prospects of women and girls in programming
For its part, BCPR continued to implement 2010 included:and policy and made a significant
crisis settings during 2010.
its gender-sensitive resource allocation policy contribution to policy shifts. Key achievements in
Amani, Aghanistan

For its part,

to ensure BCPR
that at leastcontinued toof
15 percent implement
all BCPR- 2010 included:
Increased Women’s Civic Engagement,
its gender-sensitive resource allocation
supported project budgets were assigned policy
to Participation and Leadership in Peacebuilding
Aghanistan

With UNDP
to ensure that atactivities.
gender-related least 15 percent of all
For 2010, 29 BCPR-
percent Increased Women’s Civic Engagement,
In 2010 UNDP produced tangible results in improving support women
Sarwar

supported project budgets were assigned

of BCPR expenditure fit this category. to Participation and Leadership in Peacebuilding With UNDP
Amani,

the political participation of women and their now constitute

- Sayed

gender-related activities.
AdvisorsFor 2010,supported
29 percent In 2010to
UNDP
Senior Gender (SGAs) ability play produced
a leading tangible results
role in the in improving
consolidation of support women
Sarwar

50 percent of the
of
byBCPR expenditure fit thishigh-level
category.technical the political participation of women and their
SayedIRIN

seed funding provided now constitute

peace. Improved support by UN/UNDP to national Government’s
IRIN -page:

andSenior Gender
strategic Advisors
capacity (SGAs) Iraq,
in Burundi, supported
Kosovo, ability to play
authorities a leading
in Burundi role in thetoconsolidation
contributed of
a historic female 50 percent of the
established cadre
Opposite

by seed funding provided high-level technical peace. Improved support by UN/UNDP

Liberia, Nepal, Papua New Guinea, Sierra Leone, voter registration and turnout in the to national
country’s Government’s
of mediators in
India /page:

and strategic
Sudan capacity inTheir
and Timor-Leste. Burundi, Iraq, Kosovo,
activities helped authorities in Burundi contributed to a historic female established cadre
2010 elections. As a result of the elections, the 30 Timor-Leste, un-
/ Opposite

Liberia, Nepal, Papua New Guinea, Sierra

UNDP Country Offices programme gender- Leone, voter registration and turnout in the country’s of mediators in
percent quota for women in elected public office was der the newly cre-
Mandal,

Sudan and Timor-Leste. Their activitiesdesigned

helped 2010 elections. As acurrently
result ofhas
thethe
elections,
responsive results-oriented initiatives exceeded. Burundi highestthe 30of
level Timor-Leste, un-
India

ated Department
- Jay

UNDP Country Offices programme gender- percent quota for women in elected public office was der the newly cre-
Mandal,

to increase gender equality and women’s women representation in the Senate among African of Peacebuilding.
UNDP - JayUNDP

responsive results-oriented initiatives designed exceeded. Burundi currently

participation. countries and second in the has the highest level of
world. ated Department
to increase gender equality and women’s women representation in the Senate among African of Peacebuilding.
participation. countries and second in the world.
 1044 Appendix

UNDP Timor-Leste
Timor-Leste public defender Laura Lay is sworn in by Public Defender General, Sergio Hornai, with the President of the Court of Appeal, Claudio
Ximenes, looking on.

With UNDP support women now constitute 50 enabling environments where they can eventually
percent of the Government’s established cadre of participate in the economic, social and political
mediators in Timor-Leste, under the newly created spheres and where a culture of impunity, stigma
Department of Peacebuilding. These women and silence is eroded over time.
assist with local land conflicts and other issues BCPR has developed programmes addressing
in communities targeted for the resettlement of IDPs. SGBV in over 14 countries, enhancing women’s
In Nepal, women now have an increasingly security and access to justice. During 2010,
important leadership role in the country’s over 4,000 survivors of SGBV received legal aid
on- going political transition and constitutional and assistance services primarily in Democratic
design. Assisted by UNDP, women comprised 33 Republic of the Congo, Kosovo, Nepal, Sierra
percent of the total of 601 delegates who Leone, as well as in Somaliland. An important
participated in the country’s constitutional process. part of this success has been the premium placed
The UNDP-supported Center for Constitutional by UNDP on working through national justice
BUREAU FOR CRISIS PREVENTION AND RECOVERY

Dialogue has trained 100 Constituent Assembly and security sector actors, NGOS, paralegals
members, including women, on effective and other service providers, as well as on strong
communication and negotiation. partnerships with other international actors.
In Sierra Leone, UNDP supported six local
Increased Local and National Capacity to Respond NGOs to provide legal assistance to survivors of
to Sexual and Gender-based Violence (SGBV) SGBV addressing the complaints of 1,879 women
SGBV devastates human lives, shatters to date, resulting in 45 convictions. In 2009, before
communities and seriously deters human the programme began, there were no convictions.
development in conflict and post-conflict In Haiti, UNDP supported communities affected
contexts. UNDP’s priority and added value is the by the earthquake to take preventive measures
strengthening of national capacities to provide against SGBV. UNDP and the UN Stabilization
justice and security to women, in order to create Mission in Haiti (MINUSTAH) assisted the Haitian

42
 Appendix 1045

Victoria Nwogu, Officer in Charge & Gender-based Violence

Specialist, Rule of Law Programme, UNDP Sierra Leone

SGBV remains a legacy of conflict in Sierra Leone. Recent legislation criminalizes

SGBV, but due to logistical, technical, and linguistic barriers and the continuation
of customary law in many localities, victims of SGBV have difficulty gaining redress.
Approximately 70 percent of the population use Local Courts or Chief’s Courts which often do not apply
national laws or meet acceptable human rights standards.

Since 2009, Victoria Nwogu, a Nigerian trained in law, has managed the UNDP Access to Justice project which
helps victims of SGBV. Prior to joining UNDP, Victoria worked with the United Nations Development Fund for
Women (UNIFEM) in Nigeria and Liberia on elections, governance, migration, and trafficking of women.

Victoria helps train officials of local courts, police prosecutors, civil society organizations (CSOs), and specialised
police units that deal with SGBV on methods of bringing cases effectively to prosecution, and monitoring the
activities of the formal and informal justice system. The formal justice system in Sierra Leone has limited reach with
courts concentrated in three towns. A priority for Victoria is to assist CSOs to provide grants to women to cover the
costs (for example for transport or medical certificates) of gaining access to these courts. “We need to empower
CSOs that have a strong local presence as the main implementing partners.” An independent evaluation in 2010
showed that the project has helped CSOs improve their knowledge of gender laws, respond to the needs of victims
and their families more effectively, and establish a better working relationship with the family support units.

In collaboration with her team, Victoria works closely with national actors from governance institutions—the judiciary,
the police, the Parliamentary Human Rights Committee, and the Human Rights Commission—linking them to
CSO representatives of rural communities. “These linkages,” she says, “are helping to promote the development
of more responsive state policies, accountability for service delivery, and bridging the historical divide between
state and society in Sierra Leone.”Through these efforts the project has brought formal justice services to deprived
rural areas and strengthened the administration of customary justice by training and monitoring personnel. This
helps align their conduct with national law and international human rights standards. To date, there has been a
50 percent increase in reporting of SGBV offences to CSOs funded by the project, and a 141 percent increase in
conviction for SGBV offences.

Victoria’s work engages UNDP and media organizations in dialogue to determine how the media can advocate
against and report responsibly on SGBV. Victoria trains journalists, studies incidents reported in newspapers,
shares them with relevant partners for their follow-up, and helps develop guidance for media and incentives
for journalists who report on SGBV, such as awards and fellowships.
ANNUAL REPORT 2010

Victoria is highly encouraged by the visible impact of the project. “The fact that women are now able to come
out and report rape is a great motivation.” Impunity with respect to rape and SBGV has dropped dramatically.
“Nowadays it is very gratifying to see much more cooperation of the legal system, their willingness to apply stand-
ards and protect the laws. We’re not there 100 percent but it gives you willingness to engage further.”

43
 1046 Appendix

National Police to establish special police groups for In the Republic of Congo, UNDP supported the
surveillance in sites for IDPs. This activity reduced economic integration of 1,056 female ex-combatants
the number of cases of SGBV. (out of 3,000 estimated in the country). This was
The UN Task Force on Gender-Based Violence done using a community-based approach to
in Kosovo, led by UNDP, improves coordination to reintegration that identified market opportunities,
prevent and respond to SGBV. UNDP supported the used revolving microcredit, and included monitoring
development of the draft law on domestic violence. and counselling services.
It provided technical assistance in Timor-Leste for
the same purpose. In Iraq, the shelter policy for the Increased Support to Gender-responsive DRR
Kurdistan Regional Government for SGBV survivors Programming
was drafted and has undergone consultations, while Women are often affected more seriously by
a Domestic Violence Bill draft is awaiting approval. disasters than men. UNDP promotes the use
In Central America, UNDP contributed to the of gender analysis to differentiate women’s
integration of gender related issues in all regional risks, impacts and needs from those of men
initiatives on violence reduction that have been and encourages women’s participation and
endorsed by national authorities. leadership. In Pakistan, a UNDP-led consultation
conducted in the aftermath of the floods utilized
Increased Gender-responsive Disarmament, gender disaggregated data including specific
Demobilization and Reintegration MDG indicators. These data are currently being
UNDP helped create viable job opportunities used in the national recovery programme. In
for 7,340 female ex-combatants and women addition, as a result of the consultation, more
associated with armed forces and groups in than 50 female governmental, non-governmental,
Burundi, Côte d’Ivoire, Democratic Republic and private sector representatives participated in
of the Congo, Kosovo, Nepal, the Republic of the planning and delivery of road construction and
Congo, Sudan and Uganda. protection of slopes to avoid landslides.

Women’s Empowerment in Crisis

Global Policy Support to Crisis Countries Example Results

Conflict Support to Burundi election -> highest

Women’s Civic Engagement,
BUREAU FOR CRISIS PREVENTION AND RECOVERY

percentage of women in the Senate in

UN Security Council Participation and Leadership
Africa and the second highest in the world.
Resolution 1325 on Women,
Peace and Security
Women’s representation in 14 countries: UNDP built local and
post-conflict Governance Access to Justice and
Women’s Security national capacity to respond to sexual
Rule of Law and gender-based violence.
Economic Recovery

Gender Responsive Economic Emergency employment initiatives

Recovery and Reintegration where UNDP promotes participation of
women now average 40%.
Disasters
Hyogo Framework for Action Gender mainstreaming in assessments.
Gender Responsive Disaster
Gender inclusion in disaster Risk Reduction Women’s participation in disaster risk
risk management management.

44
 Appendix 1047

UNDP PAPP
Fadwa (left), is enjoying an education for the first time in 26 years. The wood crafting skills she is being taught as part of a UNDP-supported initiative in Rafah
in the southern Gaza Strip, will allow her to earn money to support her husband and seven children.

In the Former Yugoslav Republic of Macedonia, The Programme of Assistance to the

UNDP supported the Crisis Management Palestinian People (PAPP) in the occupied
Centre (CMC), which established a Gender Team Palestinian territory has enabled UNDP to
mandated to promote and ensure gender equality assist 18,652 people become wage-earners
and to address the needs of vulnerable groups in agricultural enterprises and community
(including women) before, during and after crises. based organizations. Over 200 new graduates
(60 percent female) received skills training in
Increased Gender-responsive Economic management, community development and
Recovery and Reintegration livelihood recovery and were placed in various
UNDP supports initiatives that bridge the gap NGOs, community-based organizations and
between women’s immediate assistance needs government departments for periods up to 15
and longer term economic recovery by increasing months.
ANNUAL REPORT 2010

the number of emergency jobs and employment

made available to them.

45
1048 Appendix

During 2010, UNDP, with BCPR

technical input, provided support to

78 COUNTRIES
to strengthen their capacity for Disaster
Risk Reduction, Prevention and Recovery

UN Photo - Emmanuel Tobey, Liberia / Opposite page: Natasha Yefimov, Kyrgyzstan

A UN peacekeeper chats with a young child during the commemoration

marking the International Day of United Nations Peacekeepers at the
UN Mission in Liberia. Partnerships with the United Nation’s Department
of Peacekeeping Operations and the Department of Political Affairs,
are critical for UNDP’s efforts to prevent conflict and promote recovery.
 Appendix 1049

5
5
Global partnerships
Global partnerships

BCPR’s focus in 2010 was to promote inter-agency UN partnerships

cooperation by building stronger connections BCPR coordinates and leads UNDP’s overall
among UN entities and with other key institutional contribution
UN partnerships to the consolidation of the UN
BCPR’s focus in 2010 was to promote inter-agency
partners, including the World Bank and the peacebuilding architecture and to a more
cooperation by building stronger connections BCPR coordinates and leads UNDP’s overall
European Commission. These efforts build coherent UN effort on the ground as directed
among UN entities and with other key institutional contribution to the consolidation of the UN
out from each partner’s strengths to boost by the UN Secretary-General. This includes the
partners, including the World Bank and the peacebuilding architecture and to a more
country-level support for crisis prevention and Peacebuilding Commission, the Peacebuilding
European Commission. These efforts build coherent UN effort on the ground as directed
Yefimov, Kyrgyzstan

recovery. UN Resident Coordinators enhance the Fund (PBF) and the Peacebuilding Support Office
out from each partner’s strengths to boost by the UN Secretary-General. This includes the
collaboration through focused strategic planning, (PBSO). BCPR supported PBF-funded peacebuilding
country-level support for crisis prevention and Peacebuilding Commission, the Peacebuilding
broader dialogue with national authorities and initiatives in Guatemala, Kyrgyzstan and Uganda.
Kyrgyzstan

recovery. UN Resident Coordinators enhance the Fund (PBF) and the Peacebuilding Support Office
Natasha

development partners, and effective resource Overall, PBF allocated more than $40 million for
collaboration through focused strategic planning, (PBSO). BCPR supported PBF-funded peacebuilding
mov,

mobilization. BCPR’s relationships with donors 32 UNDP projects in 2010—twice as much as in

page:

broader dialogue with national authorities and initiatives in Guatemala, Kyrgyzstan and Uganda.
Natasha Yefi

also bring much more than funds—with many 2009. BCPR’s cooperation with PBSO in the
page:/ Opposite

development partners, and effective resource Overall, PBF allocated more than $40 million for
engaged on policy and practical issues. This level design of PBF projects improved implementation
mobilization. BCPR’s relationships with donors 32 UNDP projects in 2010—twice as much as in
Tobey, Liberia

of partnership is highly appreciated by BCPR and and provided for systematic follow-up and
also bring much more than funds—with many 2009. BCPR’s cooperation with PBSO in the
Liberia / Opposite

UNDP in general. Details on the financial contributions trouble shooting.

engaged on policy and practical issues. This level design of PBF projects improved implementation
received through donor partnerships are referred Partnerships with the UN Office for the
- Emmanuel

of partnership is highly appreciated by BCPR and and provided for systematic follow-up and
to in the Financial Annex to this report. Coordination of Humanitarian Affairs (OCHA), the
UNDP in general. Details on the financial contributions trouble shooting.
Tobey,
UN Photo

received through donor partnerships are referred Partnerships with the UN Office for the
UN Photo - Emmanuel

to in the Financial Annex to this report. Coordination of Humanitarian Affairs (OCHA), the
 1050 Appendix

Samuel Akera/UNDP Lesotho

A school pupil from Mohlanapeng Primary school in Lesotho with the assistance of a facilitator helping her group to prepare a seasonal calendar for
her community, as part of a community-based capacity assessment on disaster risks carried out by UNDP.

Department for Field Support, the Department of results for 2010 included new joint programmes
Peacekeeping Operations (DPKO) and Department with DPKO-led peacekeeping missions in
of Political Affairs (DPA) are critical for UNDP’s Democratic Republic of the Congo, Haiti, Liberia,
efforts to prevent conflict and promote recovery. Timor-Leste and southern Sudan.
Complex political conditions in many countries UNDP cooperated with the UN Development
tend to compound the development difficulties. Operations Coordination Office (DOCO) to
In countries without a Security Council mandated strengthen UN leadership through planning and
mission, UNDP worked with DPA to help reduce support capacities in seven priority countries:
BUREAU FOR CRISIS PREVENTION AND RECOVERY

and resolve escalating tensions. In countries Central African Republic, Côte d’Ivoire, Democratic
with a DKPO-led integrated peace operation, Republic of the Congo, Guinea, Guinea-Bissau,
UNDP worked closely with mission partners Nepal and Pakistan. 19 new positions were
to consolidate peace and played a key role in approved as part of this initiative and all recruitment
promoting and implementing an integrated was finalized in 2010. DOCO and BCPR jointly
approach in areas such as rule of law, transitional devised a method to measure performance.
governance, conflict prevention, reintegration, UNDP and WFP signed a Cooperation
mine action and security-sector reform. In order Framework Agreement on September 24,
to ensure coherence UNDP was an active partner 2010. The agreement identifies five substantive
in developing Integrated Strategic Frameworks in areas of partnership where both organizations
2010 in Kosovo, Haiti, Timor-Leste, Côte d’Ivoire can perform collaboratively, based on their
and the occupied Palestinian territory. Other key comparative strengths: Livelihoods and Economic

48
 Appendix 1051

Recovery; Disarmament, Demobilization and with the new European External Action Service,
Reintegration; Mine Action; Climate Change/ particularly in the areas of peacebuilding and
Disaster Risk Reduction; and the Cluster crisis management.
System. UNDP and the UN Office of the High
Commissioner for Refugees (UNHCR) are also Partnerships in DRR
progressing with joint programming on a UNDP has encouraged the integration of a risk
Transitional Support Initiative in several countries perspective in UN Development Assistance
to support durable solutions to long-term Frameworks (UNDAFs) that define development
displacement issues through development initiatives. priorities for five-year periods. To assist Country
Offices, a global mechanism for the deployment
The World Bank of experts has been set up with support from
During 2010, BCPR broadened UNDP’s engagement UNDP, DOCO, the UN International Strategy for
with the World Bank in crisis and conflict countries. Disaster Redution (UNISDR), and the UN System
BCPR held two rounds of high-level consultations Staff College. DRR is already integrated as an UNDAF
with the World Bank and other UN partners to priority in Georgia and Indonesia, and support for
help focus the dialogue. BCPR consulted closely DRR integration has been provided to Barbados,
with the World Bank team producing the 2011 Ghana and the member states of the Organization
World Development Report on Conflict, Security of Eastern Caribbean States (OECS) as well as São
and Development. With a grant from Switzerland, Tomé and Principe.
country-level cooperation between the UN UNDP is strengthening its partnership and
and the World Bank will begin in 2011 in four collaboration with OCHA and UNISDR to support
pilot countries, Central African Republic, the disaster reduction in Southern Africa and Latin
Democratic Republic of the Congo, Guinea-Bissau America. Namibia is being used as a pilot case.
and Liberia. Opportunities to work more with the In 2010, the Capacity for Disaster Reduction
World Bank on the Transitional Support Initiative Initiative conducted a training workshop in Early recovery
will also be pursued in 2011. DRR, and facilitated by BCPR, OCHA and UNISDR advisory and
staff supported the establishment of a national coordination
The European Commission platform. The three institutions will collaborate mechanisms have
UNDP’s strong partnership with the European further in 2011 to strengthen regional-level DRR been established
Commission (EC) continued in 2010. The EC capabilities. in 32 of the 41
provided $140 million for crisis prevention countries where the
and recovery programmes and governance Partnerships in Early Recovery humanitarian
interventions in post-crisis countries. This was UNDP leads the Inter-Agency Standing cluster approach
roughly the same EC portfolio share as in 2009. Committee (IASC) Cluster Working Group on has been introduced.
UNDP signed 11 contracts for rapid response Early Recovery, which includes 31 members from Supported by the
for a total of $35 million with the EC’s the humanitarian and development communities. deployment of 43
Instrument for Stability. Early recovery advisory and coordination short- and long-
ANNUAL REPORT 2010

Policy interaction with the EC in 2010 was mechanisms have been established in 32 of the term staff, 30 early
extensive. UNDP/BCPR staff members were 41 countries where the humanitarian cluster recovery clusters
trainers or guest speakers at 13 different EC approach has been introduced. Supported by or networks were
events. There were five joint workshops as well. the deployment of 43 short- and long-term active in 2010.
Looking ahead, UNDP will strongly engage staff, 30 early recovery clusters or networks were

49
 1052 Appendix

active in 2010. UNDP deploys teams of advisors mechanism, develops inter-agency conflict
to Humanitarian and Resident Coordinators to prevention strategies and UN-wide conflict-sensitive
ensure that early recovery is part of the work of initiatives. The Joint UNDP-DPA Programme supports
all humanitarian clusters. The outcome is that concrete initial steps to implement inter-agency
responses by Country Offices are now more conflict prevention strategies. It also supports the
rapid, predictable and consistent with country- deployment of Peace and Development Advisors
level strategy. (PDAs). In 2010, PDAs and similar specialists worked
In 2010, UNDP became the co-chair of to support conflict prevention and mitigation
several important inter-agency sub-working initiatives in more than 35 countries globally.
groups. These include working groups on
Needs Assessment and Capacities, Inter-Cluster Partnerships in Rule of Law
Coordination, Transition, and on Preparedness BCPR engages closely with the broader UN system,
to address improvements recommended by including Member States, the PBSO, DPKO and the IASC.
the IASC Principals. UNDP is a member of the Rule of Law Resource and
Coordination Group, composed of nine UN entities
Partnerships in Conflict Prevention attached to the Deputy Secretary-General’s office.
BCPR hosts the UN Inter-agency Framework In 2010, UNDP reassumed its role as co-chair
Team for Preventive Action and manages with DPKO of the Inter-agency Security-sector
the Joint UNDP-DPA Programme on Building Reform Task Force. UNDP is co-leading the roll-out of
National Capacities for Conflict Prevention. the ‘Team of Experts’ envisioned under UN Security
The UN Framework Team, an internal UN support Council Resolution 1888 for rapid deployment ‘to
BUREAU FOR CRISIS PREVENTION AND RECOVERY

IRIN - Gwen Dubourthoumieu, DRC

A child walks through the Bangboka airport near a mined area in the Democratic Republic of the Congo. In 2010 UNDP continued to work with
nationally-led programmes in 40 countries aimed at supporting mine action linked to broader sustainable development efforts.
50
 Appendix 1053

situations of particular concern with respect to UNODA and OCHA cooperate with this Group.
sexual violence in armed conflict.’ During 2010, UNDP and the IACG-MA explored
means of cooperating with the World Bank to
Partnerships in DDR research the linkages between mine action and
With EC funding, UNDP develops and applies the alleviation of poverty.
integrated and more efficient DDR approaches at
headquarters and field levels. UNDP cooperated Partnerships in Crisis Governance
with ILO to revise and validate the Integrated BCPR collaborated with the World Bank in 2010 to
Disarmament, Demobilization and Reintegration develop a joint strategy for supporting capacity
Standards Reintegration Module, which has been development efforts in Liberia on crisis governance.
used in DDR training globally. The outcome was the establishment of an expert
In 2010 UNDP initiated a joint study with panel to provide on-demand advice to selected
the UN Environment Programme (UNEP) on DDR Country Teams.
and natural resource management to identify In 2010 UNDP engaged actively in the
opportunities for linking reintegration and natural Organisation for Economic Co-operation and
resource management. Case studies have been Development (OECD) International Network on
completed for Democratic Republic of the Congo, Conflict and Fragility work on state-building,
Indonesia and Rwanda. peacebuilding and security.

Partnerships in Armed Violence, Small Arms Partnerships in gender equality in crisis

Control and Mine Action prevention and recovery
UNDP, through BCPR, leads much of the UN’s To mark the tenth anniversary in October 2010
work on small arms control and collaborates of the UN Security Council Resolution 1325 (on
with 16 agencies and departments through the women’s meaningful participation in peace
Coordinating Action on Small Arms mechanism. processes), UNDP, DPKO, DPA and UNIFEM joined
The Armed Violence Prevention Programme together in 25 conflict-affected countries
(AVPP), a multi-agency initiative involving UNDP, to organize ‘Open Days on Women, Peace
the World Health Organization, UNICEF, UN Habitat, and Security’—enabling more than 1,500
the United Nations Office for Disarmament Affairs women to share their priorities and concerns for
(UNODA) and the United Nations Office on Drugs peacebuilding practice with high-level UN officials.
and Crime, develops joint policy guidance, strategies Through its partnerships with other UN
and partnerships for armed violence prevention. agencies, UNDP helped address the marginalization
The first AVPP mission was in September 2010 of women and girls in institutional responses in
to Jamaica. Other priority countries are Bosnia the areas of DDR, small arms control and IDPs.
and Herzegovina, Burundi, El Salvador, Kenya and In collaboration with DPKO, UN-Women, UNFPA
Papua New Guinea. and The Norwegian Defense University College,
UNDP, along with UNICEF and the UN Mine UNDP/BCPR contributed to the design and delivery
ANNUAL REPORT 2010

Action Service, forms the core of the Inter-agency of the first-ever training course on gender for UN
Coordination Group on Mine Action (IACG-MA). senior-level DDR managers.

51
1054 Appendix

During 2010, UNDP, with BCPR

technical input, provided support to

78 COUNTRIES
to strengthen their capacity for Disaster
Risk Reduction, Prevention and Recovery

IRIN - Kate Holt, Afghanistan / Opposite page: UNDP Côte d’Ivoire

A farmer spreads fertilizer on his newly planted wheat fields that have
replaced his poppy crop in Mian Poshteh, Helmand Province, Afghanistan.
UNDP supports initiatives that contribute to the socio-economic recovery
of people such as the increased production of food and cash crops.
 Appendix 1055

6
6
Conclusion
Conclusion

The events and accomplishments of 2010 t
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challenged and strengthened BCPR and overall discharged under DDR arrangements in Nepal
highlighted the importance of the crisis prevention with livelihood packages and training.
and recovery practice within UNDP. As this Annual
The events and accomplishments of 2010 t
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Report has shown, BCPR has in large part stepped t
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in Somaliland to refer sexual assault cases to
challenged and strengthened BCPR and overall discharged under DDR arrangements in Nepal
up to the challenges of supporting UNDP Country formal courts.
highlighted the importance of the crisis prevention with livelihood packages and training.
Offices, preventing and mitigating the effects of
and recovery practice within UNDP. As this Annual t
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crises around the globe, and developing the t
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Report has shown, BCPR has in large part stepped Lanka to repair six court houses, strengthening
partnerships and approaches that enhance in Somaliland to refer sexual assault cases to
up to the challenges of supporting UNDP Country village-level paralegal capacities, and training
UNDP’s effectiveness and efficiency overall. formal courts.
700 village heads in legal issues including SGBV.
page: UNDP Côte d’Ivoire

Offices, preventing and mitigating the effects of

t
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crises around the globe, and developing the t
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BCPR’s noteworthy achievements during 2010 Lanka to repair six court houses, strengthening
partnerships and approaches that enhance Sudan to assess the core functions of
include: village-level paralegal capacities, and training
UNDP’s effectiveness and efficiency overall. statehood as part of the preparations for the
t
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700 village heads in legal issues including SGBV.
d’Ivoire

January 2011 referendum.

Opposite

countries, the most challenging being Haiti t
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page: UNDP/Côte

BCPR’s noteworthy achievements during 2010 t
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where 58 experts were mobilized. Sudan to assess the core functions of
Holt, Afghanistan

include: household surveys and conduct focus-group

t
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statehood as part of the preparations for the
discussions to assess impacts on people and
t
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January 2011 referendum.
and Procedures reduced response times
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recovery needs as part of a Human Needs

countries, the most challenging being Haiti
IRIN - /Kate

in crisis countries. First used in Haiti, 21 t
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Recovery Assessment in response to the
where 58 experts were mobilized.
IRIN - Kate Holt, Afghanistan

Country Offices applied FTP in 2010. household

eruption ofsurveys andVolcano
the Merapi conduct(Indonesia).
focus-group
t
&OTVSJOH
6/%1
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discussions to assess impacts on people and
and Procedures reduced response times recovery needs as part of a Human Needs
in crisis countries. First used in Haiti, 21 Recovery Assessment in response to the
Country Offices applied FTP in 2010. eruption of the Merapi Volcano (Indonesia).
 1056 Appendix

t
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IDPs in the Philippines and, working with local work on reducing both the demand for and
authorities, devising programmes to assist supply of small arms.
recovery efforts in 42 communities of return. t
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over 24,000 people to gain self- for implementation of UN Security Council
employment through establishment of viable Resolution 1888 (conflict-related sexual
small and micro-enterprises in crisis and violence) to enhance gender-inclusive and
post-crisis countries; sustainable peace, security and development.
t
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31 countries to
steps to ensure peaceful referendums in Kenya implement armed violence-prevention
and Tanzania, and violence-free elections in programmes and supporting a further 40
Kyrgyzstan, Solomon Islands, and Togo. states with national mine action initiatives.
t
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several countries to work
restore community infrastructure schemes with young people to defuse tensions created
and clear rubble and debris in the wake of by economic rivalry, lack of employment
disasters in Pakistan and Haiti. opportunities, and inter-ethnic tensions.
t
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Democratic Republic of the Congo through Cluster Working Group on Early Recovery
the economic integration of 1,056 female ex- to promote the activation of early recovery
combatants/formerly associated members. co-ordination mechanisms in 32 countries.
t
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employment for 25,000 male and more than Bank and European Commission to assist
7,300 female ex-combatants in nine countries. governments develop the institutional
t
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additional countries. Disaster Needs Assessments.
BUREAU FOR CRISIS PREVENTION AND RECOVERY

IRIN - Guy Oliver, Zambia

A fisherman prepares his boat for a night of fishing on Lake Tanganyika in the northern Zambian town of Mpulungu. UNDP supports livelihoods and
economic opportunities for people living in post-conflict situations.

54
 Appendix 1057

Looking Ahead peacekeeping settings, will guide much of the

Crisis Prevention and Recovery formulation of UNDP’s Crisis Prevention and
Results are Development Results Recovery response into the near future.
BCPR has existed within UNDP as a dedicated The vision of BCPR into 2011 and beyond also
bureau for one decade. In this time more than aligns well with UNDP’s overall ‘Agenda for
100 countries have been supported throughout Change’—working to promote the increasing
numerous crises with the fielding of staff, incorporation of Crisis Prevention and Recovery
programmatic advice and a total budget of within UNDP country programmes as a fundamental
approximately $1.3 billion. As a direct result, UNDP foundation empowering people and ensuring
has managed to keep focused on its mandate— resilience in nations.
promoting human development—when stronger
Early Warning and Analytical Programming
humanitarian and security agendas often prevail.
UNDP’s preparedness and response capacity will
Moreover, the skills, experience and resources that
be bolstered in 2011 with early warning systems—
BCPR brings to UNDP have ensured much closer
which will help BCPR and UNDP Country Offices
partnerships within the UN at large—promoting
provide timely assistance to UNDP programme
the organization’s overall effectiveness in
countries facing crises. An increasing frequency of
preventing and responding to violent conflicts
disasters involving natural hazards also underscores
and natural disasters.
the need to combine response with preventative
These achievements have been possible with
action for natural disasters—as climate change
the dedicated, specialized capacity that BCPR brings
combines with the effects of growing urbanization
to UNDP. In response to the Strategic Review,
and natural resource depletion to enhance
as BCPR’s new structure, capacities and systems
the vulnerability of many. Growing disparities
continue to take shape throughout 2011, operations
between the rich and poor, accompanied with the
will become increasingly strategic and results-
rise of access to information through social media,
oriented. Targeted Crisis Prevention and Recovery
points towards much of UNDP’s work this decade
support will better align with ongoing UNDP and
being driven by opportunities to accompany
UN development actions in response to national
national transitions to democracy.
priorities. Increasing the capacity of BCPR Technical
Teams in New York will help ensure coherence within Immediate Crisis Response
UNDP and the UN on policy and programming. Although crisis risks may persist over years and
Working more closely with UNDP’s regional and decades, the exact timing of crisis events cannot
substantive bureaus will also ensure much more always be anticipated. Haiti’s earthquake in
efficient and strategic alignment of Crisis Prevention January 2010 was one such notable disaster from
and Recovery inputs into country programmes a little-known, natural hazard. Although not a
and links to longer-term development policy. humanitarian agency per se, UNDP must maintain
The World Bank’s 2011 World Development a certain capacity for immediate response to
Report on Conflict, Security and Development ensure Country Offices receive capacity support
ANNUAL REPORT 2010

highlights the challenges organized violence and can, thus, remain during crises as an advocate
poses to the advancement of less-developed for human development and as a competent
societies. This important policy piece, along partner with humanitarian and security-driven
with the UN’s ongoing work on defining ‘Civilian actors. BCPR in 2011 will move ahead with UNDP’s
Capacity’ requirements in post-conflict and overall ability to respond, including through the

55
 1058 Appendix

IRIN - Kate Holt, Nepal

A woman at her home near Rupandehi, Nepal. UNDP made progress in protecting, empowering and improving the prospects of women and girls in
crisis and post-crisis settings in 2010.

development of ‘signature products’ that can to maximize the protection of women and their
be quickly rolled out through UNDP Country empowerment through the vital role they play in
Offices in a post-crisis environment. Some prevention and recovery. Throughout 2011 these
products, such as community-based recovery, efforts will be continued and strengthened—
will bolster UNDP’s role as an actor in early including through collaboration with UN Women to
recovery. UNDP’s official role as coordinator of identify strategies and formulate options for creating
the ‘Early Recovery’ humanitarian cluster will also be mechanisms that empower women, especially in
strengthened by clarifying UNDP’s policy in this the aftermath of disasters and violence.
regard and tightening links with UN Resident and
Humanitarian Coordinators globally. The extension Conflict Prevention
BUREAU FOR CRISIS PREVENTION AND RECOVERY

of collaborative agreements and partnerships As a core part of the ‘Prevention Agenda’, UNDP’s
will be looked into, along with in-house capacity, support to national and local initiatives to build
aiming to ensure early recovery support is resilience to threats of violent conflict or potentially
appropriately focused and timely. violent tensions will remain a key focus for BCPR.
BCPR’s transformation throughout 2011 will
Women in Crisis and Post-Crisis Response see additional capacity built in this area, with
In crisis, the needs and potential contributions partnerships strengthened with PBSO on
of women are taken seriously. Whether crisis is conflict analysis to support better peacebuilding
triggered by armed conflict or natural disaster, strategies, and with DPA through the Joint
women bear the brunt of it. UNDP’s gender policy Programme on Building National Capacities
and BCPR’s specific ‘Eight-Point Gender Action for Conflict Prevention, and the Inter-agency
Plan’ help ensure UNDP’s actions in crisis serve Framework Team on Preventive Action.

56
 Appendix 1059

BCPR will be building up significant capacity in

Climate Risk Management and Disaster Risk this area throughout 2011 and beyond, as well as
Reduction strengthening partnerships such as with the ILO
BCPR will continue to promote detailed analysis and the World Bank.
of the implications for DRR strategies relating to a
projected impact of environmental threats in the Monitoring, Evaluation and Knowledge
short term and climate change over the longer Management
term. A priority will be determining what capacity BCPR is committed to substantial improvements in
needs to be developed to institutionalize DRR and both the design overview and reporting of results
build in-country capacity to analyse, prevent and achieved with a major thrust planned in this area
manage risks related to climate variability and over the next two years. Requisite monitoring and
climate change and to identify climate risk- evaluation capacity will be bolstered—as well as
management solutions. Overall the DRR team will the ‘consciousness of results’ being mainstreamed
also be strengthened with rededicated capacity in throughout.
New York and more robust linkages to the World BCPR is fully cognizant of the fact that output
Bank’s Global Facility for Disaster Risk Reduction. level results—such as the number of workshops
held or people trained—are of little real interest
Post-Crisis Governance and the Rule of Law when evaluating the impact of interventions.
As experience in much of the Middle East from BCPR is seized with the need to work with UNDP
late 2010 showed, the need to support national Country Offices overall to ensure accountability
development priorities with improved democratic and make the absolutely best of scarce resources.
governance systems and capacities is likely to A specific independent portfolio review of many
gain ground this decade. Immediate support to BCPR-supported interventions will be undertaken
governance in the post-crisis context will be a key in 2011—shedding light on approaches that are
area of BCPR delivery into the future—teamed proving effective or otherwise. Partnerships and
up with the experts on ‘Democratic Governance’ communities of practice will be fortified throughout
in the longer term through UNDP’s Bureau for with a proactive approach to knowledge management
Development Policy. Rule of Law, Justice and as lessons are learnt and these successes built upon.
Security needs will equally be important with UNDP
building capacity on this front throughout 2011, and
likewise has many links to the larger UN system such
as DPKO and other security-related actors.

Livelihoods and Economic Recovery

As many post-crisis responses show, and further BCPR is committed to

highlighted by ongoing events in the Middle substantial improvements

East, the need to engage youth in recovery and in both the design overview
ANNUAL REPORT 2010

preventative action is paramount. ‘Emergency and reporting of results

Employment’ as a key UNDP signature product achieved with a major

in crisis will be a fitting complement to UNDP’s thrust planned in this area

already-established work in reintegration and over the next two years.

community-based, small-scale economic recovery.

57
1060 Appendix

List of Acronyms

BCPR Bureau for Crisis Prevention and Recovery

CPR TTF Thematic Trust Fund for Crisis Prevention and Recovery
CSOs Civil society organizations
DDR disarmament, demobilization and reintegration
DOCO Development Operations Coordination Office
DPA Department of Political Affairs
DPKO Department of Peacekeeping Operations
DRR disaster risk reduction
EC European Commission
ERW Explosive remnants of war
IASC Inter-agency Standing Committee
IDPs internally displaced persons
ILO International Labour Organization
ISDR International Strategy for Disaster Reduction
MDGs Millennium Development Goals
MINUSTAH UN Stabilization Mission in Haiti
NGO Non-governmental organization
OCHA Office for the Coordination of Humanitarian Affairs
PAPP Programme of Assistance to the Palestinian People
PBF Peacebuilding Fund
PBSO Peacebuilding Support Office
PDNA post-disaster needs assessment
SGBV Sexual and gender-based violence
UNDP United Nations Development Programme
UNFPA United Nations Population Fund
UNICEF United Nations Children’s Fund
UNIFEM United Nations Development Fund for Women
ANNUAL REPORT 2010

UNISDR United Nations International Strategy for Disaster Reduction

UNODA UN Office for Disarmament Affairs
UXO unexploded ordnance
WFP World Food Programme

75
 Glossary

Accountability: Having a responsibility to some- analyzing an event and its handling, conducted
one or for some activity, or being in a position of by the participants and other responsible parties,
having to show proof or an account of something and is a detailed after-the-fact analysis, the point
to a superior party. Assumption and acknowledg- of which is to create appropriate actions in future
ment of specific responsibility, especially in regard similar situations and understand which mistakes
to a relationship between entities. For instance, were made in order not to repeat them.
a corporation is thought to be accountable to its
shareholders, and an elected official should be Agency: The condition of being in action or oper-
accountable to his or her constituents. ation. In legal use, refers to a person or entity
having agency or the prearranged and signed
Acute: Having a sharp point or tip and commonly upon full power and authority to act on behalf
used to describe a sharp angle or triangle. In med- of another person or other entity. It refers to legal
ical use, having a sharp or rapid onset and fol- sameness in authority given to an agent, agency,
lowing a short but severe course, such as an acute or representative of the principal person or entity
disease. being represented, or a representative who has the
same power as the represented.
Adrenaline effect: The phenomenon of increased
strength, senses, or reaction speed caused by the Alternate site: An alternate, secondary, additional,
release of adrenaline as a response to fear, espe- or backup location. A separate physical loca-
cially as experienced by people in jeopardy or tion employees can work from, for example, in
protecting others in jeopardy (as with the text- the event that a primary workspace is damaged.
book example of a mother accomplishing a super- Critical for the military and emergency services,
human feat of strength to save her children from alternate sites are also used in the private sector
imminent danger). or may be developed as needed.

After action review: A debriefing process devel- American Society of Civil Engineers: The oldest
oped in the military but now applied throughout national engineering society in the United States,
the public and private sectors. An after action founded in 1852 by 12 founders who had gath-
review is a specifically structured debriefing ered at the Croton Aqueduct in New York.

1061
1062 Glossary

Anthropogenic: Human-made or that which change made to the parameters of a system causes
results from human activity. a sudden topological change in its behavior. The
bifurcation points that result in avalanches and
Arms control: Restrictions on the production, landslides are two examples of phenomena stud-
proliferation, and use of weapons, including but ied by catastrophe theory, a branch of bifurcation
not limited to nuclear proliferation and other theory.
weapons of mass destruction. Generally, these
are restrictions and controls among and upon Biotechnology: The use of living organisms and
national governments by others in regard to biological processes in engineering and technol-
major weaponry. ogy. Creating human-designed mechanisms that
might construct a desired result out of cells or on
Avalanche: The sudden flow of snow down a a genetic level.
slope, which may include rocks, ice, and debris
caught up in the flow. The stability of accumu- Bioterrorism: The use of biological agents such as
lated snow on a slope may be fragile enough that toxins or bacteria for terrorist ends.
an avalanche may be set off as snow at the low-
est layer begins to thaw, when new precipitation Blizzard: A severe snowstorm. As with hurri-
lands and creates an additional weight, or when a canes, blizzards are defined not by the volume
vibration disrupts the unstable balance. of their precipitation but by their wind speed: a
blizzard is a prolonged snowstorm with sustained
Backdoor: A rear entrance; sometimes a reference gusts of at least 35 miles per hour (mph). Severe
to an unknown or a little-known entrance. In blizzards are characterized by stronger winds (45
hacking, a method of bypassing normal authen- mph), temperatures below 11 degrees F, and near-
tication or authorization processes, whether it zero visibility.
originated with the initial programming or was
installed by a hacker. Botnet: Referring to the Internet, it is a network
of compromised computers (“bots”) directed by
Backup: An additional, redundant copy. For an attacker, especially to run malicious software
instance, a backup power generator may be used or devote their resources to an orchestrated attack
to provide substitute power if a primary power elsewhere. These could also consist of hijacked
source fails; or a copy of data (a backup copy) and remotely controlled computers and networks.
may be stored separate from the original, espe-
cially for the purposes of restoring it, should Brain drain: Emigration (the exiting migration)
something happen to the primary data storage from an area, region, or nation, especially the
source. ongoing emigration, of skilled intellectual and
technical labor (e.g., engineers, scientists, technol-
Best practices: The observation of different meth- ogists, or academics), for better pay, equipment,
ods and/or procedures that are used to produce or conditions in a more favorable geographic,
results or an end product. Of these practices, economic, or professional environment.
those judged to be the most productive or efficient
might then become a new standard or method, Bunker: A bunker is a military fortification that
which is then considered the best approach. The protects the inhabitants from falling bombs and
development of best practices may be looked upon artillery. The word can be used to define any pro-
as critical in crisis management, where every new tective positioning, method, or style. The term is
crisis may provide illustrations of the efficacy of also used figuratively to refer to a fortified pro-
methods. tected area, such as a data bunker where critical
data is stored offsite.
Bifurcation point: The point at which bifurcating
occurs; bifurcation is the action of division into Business continuity planning: Also called resil-
two branches or parts. The point at which a small ience or resilience planning, the term refers to the
 Glossary 1063

construction of a plan to preserve business opera- variety of outcomes from small differences, mak-
tions during a crisis. Specifics can range from oper- ing it impossible to make long-term predictions.
ating a backup power generator in the event of a Weather is one such system.
blackout to the handling of ongoing business pro-
cesses in the event of a physical disaster damag- Chemical weapons: Weapons of mass destruction
ing or destroying the workplace, to the unplanned that use toxic chemicals to kill or injure.
departure of key executives or team members. An
important element of business continuity planning Cholera: A small intestine infection caused by the
is identifying the contingencies for which to plan. Vibrio cholerae bacterium, spread by ingestion of
Literally, the term refers to the planning to pro- fecal matter from an infected person. Epidemics
vide for methods to allow a smooth continuance are most likely in parts of the world with water
of business during unforeseen problems. quality issues.

Business impact analysis: Part of business conti- Chronic: Marked by long duration, by frequent
nuity planning, a business impact analysis (BIA) recurrence over a long time span, and often by
determines the impact of each component’s func- slowly progressing seriousness. Not acute.
tion or activity on the business in order to sep-
arate them by criticality (or importance to the Citizen Corps: A U.S. Department of Homeland
whole of the business) and to determine which Security service program designed to mobilize cit-
functions are most important to the continuity of izens in the event of disaster, terrorist attacks, or
the business. threats to national security.

Butterfly effect: The classic theoretical example of Civil engineering: The engineering discipline
chaos theory, in which the movement of the wings focused on nonmilitary construction and design,
of a butterfly might eventually result in the forma- such as buildings, canals, roads, and bridges.
tion of a hurricane, though it is a tiny change to
the system of wind patterns. Considers the alter- Civil war: An organized, prolonged armed con-
ing and amplification of patterns. flict between groups in the same country. A civil
war may be fought for control of the country or
Carrying capacity: The total amount that can because one side seeks independence. The term
be carried by any type of vehicle. The maximum is also used to refer to wars between states that
population size of a species that can be sustained originated as parts of the same state, particularly
by the environment. if war breaks out shortly before or after that divi-
sion. Wars that originate as civil wars but draw
Catastrophe: An event causing great and usually other countries into the conflict are generally con-
sudden damage or suffering. A large-scale disaster. sidered internationalized civil wars, rather than
interstate wars. Since the 20th century, civil wars
Catastrophe theory: The mathematical study of have dramatically outnumbered interstate wars.
the phenomenon whereby small changes to a sys-
tem result in dramatic changes in behavior, such Cloud: In computing, “the cloud” is a metaphor
as the sudden occurrence of a landslide after a for the infrastructure used to store and handle
small alteration. data on remote servers rather than saving the data
locally on the user’s computer. Cloud computing
Catastrophism: The theory that the surface of the has a number of advantages, but it particularly
Earth has been shaped primarily not by incremen- appeals to users who use multiple devices, some
tal change but by sudden violent events such as of which may be mobile, with which they want to
eruptions and earthquakes. have access to the same data and software.

Chaos theory: The mathematical study of dynamic Cognitive novelty: Cognitive novelty is the new-
systems that, though deterministic, yield a wide ness of a situation to the mind. In most people,
1064 Glossary

the stress response is strongest the first time the or realize components or necessities that are key
person deals with a new source of stress or threat- elements for a continued management and opera-
ening situation; stress response decreases with tion, as an integrated and enterprise-wide process.
repeated exposure even if the severity of the threat
does not. Continuity of government: The state or quality of
being continuous, as in a government remaining
Cold site: The cheapest form of alternate site, a stable and reasonably functional without regard
cold site is a facility from which an organization to any influences or circumstances (e.g., elec-
can operate in the event of a disaster, but does not tions or disasters). The continued performance
include backups of data or files, nor equipment of essential government functions. Continuity of
prepared to resume business operations. government plans became especially important in
the Cold War under the threat of nuclear war, but
Containment: The act of restricting something to it originated with the British government during
a well-defined area. In disasters, this includes the the bombing attacks of the Battle of Britain.
effort to contain damage or hazards to the area
already affected, whether that means preventing Cosmology episode: An event that challenges
a fire from spreading or stopping a hazardous people’s assumptions and causes them to question
waste spill from entering an area. Containment their own capacity to act. An entirely new situa-
buildings are used to enclose nuclear reactors as tion or circumstance wherein one is left without
a safety measure. Cold War foreign policy, espe- foundation, or with any comprehension or under-
cially U.S.-sponsored proxy wars, was driven by standing, any applicable prior experience, or any
the idea of the containment of communism to the relevant data that might be applied or relied upon.
countries that had already adopted it.
Creep: An almost imperceptible alteration or
Contamination: To soil, stain, corrupt, infect, or change or a gradual shift in direction. For instance,
make impure or unclean by contact, exposure, “scope creep” jeopardizes success as the scope
or admixture. The introduction or presence of a of a project gradually increases beyond what
harmful substance, such as the contamination of was planned. “Feature creep,” typically used to
food or medicine by toxins or bacteria. describe the addition of features to software, can
also describe the negative impact of a project’s
Contingency: Something incidental to or depen- parameters being extensively tinkered with, espe-
dent upon something else. An event or situation cially if the desire of each person involved to add
that may or could occur, but that is not likely a feature for which he or she can be credited leads
or intended. Having an outcome that is neither to an overabundance of unnecessary tweaks. In
impossible nor inevitable, a contingency plan is a emergency management, “instruction creep” is a
plan for the response to an outcome that is pos- pitfall to be avoided, because adding more and
sible but not expected. more phraseology to emergency instructions in an
attempt to clarify can actually lead to ambiguity.
Continuity: The state or quality of being continu-
ous. Uninterrupted operations; for a business, Crisis communication: The communication of
continuity of operations means ability of the busi- information related to a crisis instance. Having the
ness to continue operating with minimal interrup- communication ability in place required to man-
tion or alteration regardless of circumstances. age and coordinate the most appropriate response
to a crisis and having moment-by-moment infor-
Continuity management: Having the ability or mation from field personnel communicated to
a plan to continue to manage uninterrupted to management or operations personnel for more
some degree and/or to be able to continue the flow effective and coordinated action.
of a management system with some amount of
capable management personnel in place. Business Criticality: The state of being critical, consisting of
continuity management (BCM) is used to describe or involving criticism. Relating to the judgment of
 Glossary 1065

critics, or being a turning point or an important storms (all of which are tropical cyclones), polar
juncture. A point at which some quality, property, cyclones, and other storms.
or phenomenon will suffer a definite change. Can
refer to a state of urgency or a condition involving Data recovery: The reconstruction of lost or dam-
the danger of death, such as reaching sufficient size aged data, especially electronic data. It is a com-
to sustain a nuclear chain reaction. mon misconception that computer data or infor-
mation is lost or erased. In general, computers do
Criticality assessment: An appraisal based on not function in this manner. Software can be used
careful analytical evaluation, studied assessment to find “lost data” or, more precisely, to find the
as to what is most critically important—assets or starting point of those data. Damage to data is a
other items or necessities—to the particular pur- different case: If data are damaged, software can
pose or circumstance. An examination of an event attempt to logically fill in gaps caused by the dam-
to determine its urgency. age, and thereby “restore” the data.

Crown fire: A wildfire affecting the crowns of De novo: A Latin expression meaning “from the
trees. A forest fire that advances first by jumping beginning.”
from treetop to treetop, or jumping from crown
to crown, with great speed, ahead of a ground fire. Debriefing: A method of gathering information
A dependent crown fire is propagated through the about an event through interviewing the partici-
undergrowth, while a running crown fire is prop- pants in that event; sometimes, as in the military,
agated through the crowns. accompanied by instruction (such as which parts
of the information are restricted).
Cyber crime: Crime committed with and/or target-
ing a computer, especially a networked computer. Decision support tools: Tools used to support,
Although popularly associated with theft, rob- inform, or guide the decision-making process,
bery, fraud, pornography, and piracy, cybe crime is which may be as simple as a list of priorities or
increasingly relevant in drug trafficking, terrorism, decision-guiding maxims, or as complicated as a
and cyber warfare. The anonymity of the Internet software package. Similarly, the underlying pro-
and the physical distance it places between criminal cess may range from an attempt to quantify out-
and victim has made it attractive not just for the ste- comes and risks to a softer “creativity-unlocking”
reotypical basement hacker but also for organized approach that guides decision makers to a deci-
crime groups such as the Russian mafia, alleged to sion that comforts or energizes them.
be responsible for widespread financial, credit, and
identity data theft. The increasing relevance of the Defusing: Literally, the removal of a fuse from an
Internet to the economy and to bureaucracies has explosive device, and by extension the process of
also led to a greater danger of distributed denial- rendering safe an explosive device; figuratively, the
of-service attacks. Can involve a shutdown of the process of creating safety in a volatile scenario. To
general public’s access to a Web site resulting from relieve the pressure or intensity of a situation or
a created overdemand for access. circumstance as if to disarm it.

Cyber warfare: Cyber warfare is typically defined Department of Homeland Security: A cabinet-
as hacking motivated by politics, though this defi- level department in the U.S. federal government,
nition intersects, perhaps misleadingly, with cybe created during the year following the September
crime as an act of terrorism and with hacktivism. 11, 2001, terrorist attacks in order to create a
Cyber warfare is perhaps best understood as a hos- unified department charged with national security
tile action undertaken by a state or its direct agents in the civilian sphere.
upon or against another state or other entity.
Destabilize: The process of removing stability
Cyclone: A system of spiraling winds, which from a system; an area may be politically and
includes hurricanes, typhoons, and tropical socially destabilized as the result of physical crisis.
1066 Glossary

Disaster management: Also known as emergency human water supply, river ecosystems, and most
management. The interdisciplinary field of over- plant life native to nonarid regions) require peri-
seeing, organizing, and formulating strategy for odic precipitation and cannot easily adapt when
the entities that respond to disasters. that period is interrupted or delayed. Extended
drought damages an ecosystem’s ability to make
Disaster recovery testing: The process of test- use of what rain does fall. Dried-out soil develops
ing and otherwise evaluating a business or other a layer of dust that rainfall is more likely to run
organization’s plan for business continuity in the off without being absorbed.
event of a disaster.
Drug resistance: The reduced effectiveness of a
DoS and DDoS: A denial-of-service (DoS) drug that is intended to kill a pathogen. The devel-
attack is made against a computer, network, or opment of antibiotic resistance in harmful bac-
other network resource in an attempt to make teria is a serious cause of concern within public
it unavailable for its intended use. Distributed health. Pathogens that develop resistance to mul-
denial-of-service (DDoS) attacks use multiple tiple drugs are called multidrug-resistant; methi-
systems to overcome the bandwidth of the target, cillin-resistant Staphyloccoccus aureus (MRSA),
overwhelming it; DDoSes are difficult to protect for instance, is a strain of staph infection of seri-
against and can be accomplished using cheap ous concern to hospital patients and health care
computers and a fairly low skill level. Simply put, workers, athletes, and prison inmates, all of whom
a network or a Web site server can only accom- encounter it frequently.
modate a maximum of visitors. When you view a
Web site hosted by a server, your computer is said Early warning system: A system, technological or
to be “requesting service” from that server. The social, intended to provide warnings in advance
server responds to each separate “requesting” of various types of possible crises. These range
computer doing what each one needs, or “ser- from those concerning possible natural disasters
vice” the computer. A DoS response occurs when to those that are on watch for nuclear missiles.
the computer server software is overwhelmed by Any system developed for the purpose of any kind
too many service requests. of advance warning.

Drift: To be carried along with the prevailing cur- Electronic vaulting: The storage of data in an off-
rents of air or water, not necessarily on course. To site facility that is frequently backed up for pro-
slowly deviate or to be directionless. tection, particularly if the actual site is fireproof,
secured under lock and key, or bomb and/or radi-
Drill: An exercise performed to test a planned ation proof.
response to a circumstance, such as a fire drill.
To practice or to repeatedly rehearse a method Emergency alert system or emergency broadcast
or procedure. To fix something in the mind or system: The Emergency Alert System replaced
in habit by a pattern of repetitive instruction or the Emergency Broadcast System in 1997. Both
action. Alternately, “drill” can refer to the action are systems established to provide a method for
of bearing down with great pressure or weight the American government to communicate emer-
on a shaft-like tool, especially one that is rotat- gency information to the public through radio and
ing and having two or more cutting edges for the television. Never used for a national emergency,
purpose of making holes in a firm material, like it is frequently used to communicate information
wood, metal, concrete, or the Earth. about local and regional emergencies.

Drought: A lack of rain and thus a lack of water. Emergency medicine: The treatment of health
An extended period of precipitation being sig- conditions requiring immediate attention, as a
nificantly below average. A region can experience medical specialty; and the provision of services
drought even during or shortly after a rainfall: for that treatment, as in a hospital’s emergency
many systems impacted by drought (including room, or on-site at disasters.
 Glossary 1067

Emergency operations center: A central command Epidemic: Any disease that is spreading through-
center for carrying out emergency management out a population to a major degree. An occur-
functions. An emergency situation headquarters. rence of disease in a population beyond a certain
threshold. An epidemic that spreads to many peo-
Emergency powers: Special powers granted to the ple in multiple countries or continents is consid-
government or an office or department thereof, ered or referred to as a pandemic.
under special periods of emergency; such powers
may relate principally to expenditures, as when Ethnic cleansing: The killing or driving away
local and state governments are empowered in of populations of people based on ethnicity or
a state of emergency to spend money not previ- religious affiliation, when carried out as a mat-
ously budgeted in order to respond to the emer- ter of policy by another people, population, or
gency, or may include the suspension of normal government.
limitations on actions, as when habeas corpus
was suspended by the federal government during Experiential learning: The process of gaining
the Civil War. (This would refer to the power to understanding and building knowledge from
impose martial law and to disband any constitu- experience.
tional government.)
Extinction event: A sharp decrease in the diver-
EMS: Emergency medical services; the provision sity of species as many die at once, especially with
of out-of-hospital (including pre-hospital) medi- the implication that there is a shared cause in
cal care for acute conditions. EMS includes ambu- these extinctions. The classic example to cite is
lances and other services. In the United States, an the extinction of dinosaurs, though this may have
ambulance typically focuses on stabilizing the involved multiple extinction events and included
patient on-site and providing pre-hospital care the extinction of many non-dinosaur species.
while en route to a hospital; in other countries,
ambulances may provide the bulk of emergency FAA: The Federal Aviation Administration, the
medicine. American government agency with jurisdiction
over civilian aviation.
Enactment: The action of making something into
an act or a statute, as in a law. The action of rep- FAO: The Food and Agriculture Organization
resenting or performing something in, or as if in a of the United Nations, an agency leading efforts
play: to act out. The idea, introduced by organi- against hunger and malnutrition.
zational theorist Karl Weick, that a phenomenon
is created by being talked about—organizations, FEMA: The Federal Emergency Management
their norms, procedures, and rules, for instance, Agency, the principal federal agency responding
are brought into being through verbalization by to emergencies, now under the Department of
management. Homeland Security.

Endemic: More normal or natural to a local- Fight or flight response: An aspect of the system
ity or a specific regional group of people. From of stress responses among many animals, in which
the Greek word en, meaning in or within, and threats are responded to with biological processes
the Greek word demos, meaning people, or in that prepare the animal to either fight or flee. First
the case of a crisis, referring to a population. In described by physiologist Walter Bradford Can-
medical usage, a specific disease may be normal in non and later confirmed by numerous studies
one population within one climate or region and of organisms including humans and most verte-
abnormal in a population within another climate brates and the specific physiological phenomena
or region. Unique to a specific ecological region; observed (such as an accelerated heart rate).
a pathogen endemic to a region may not respond
to vaccines or treatments designed for pathogens Flood: The overflow of water (whether from a
from other regions. body of water or as a result of precipitation) onto
1068 Glossary

land, typically excluding tidal action except when Hacktivism: The use of hacking, or breaking into
it is unusually high. computer systems. This is generally done illegally
and sometimes for political purposes or to pursue
Food desert: An area in the developed world political ends.
where it is difficult to obtain food that is healthy
and affordable, such as urban areas where fast Hard power: The use of some sort of force. The
food and convenience stores are the norm and use of coercion, whether military, economic, or
fresh produce and healthy proteins are difficult other, to obtain political power and influence,
to find. Food deserts are of increasing concern in generally between nation states. States have his-
addressing the obesity epidemic and other public torically relied on hard power more often than
health concerns, as well as in the context of food alternatives.
and agricultural policy and the intergenerational
effects of poverty. Hazardous materials: Substances harmful to peo-
ple, other organisms, or the environment; often
Food security: The availability of nutritious food abbreviated as “hazmat.”
to a population and one’s access to it. Food secu-
rity is regularly jeopardized by natural disasters, Hazardous waste: Hazardous materials produced
armed conflict, political unrest, poverty, and crop as the waste by-product of a process or industry.
failures. The 2010 Food and Agriculture Orga-
nization of the United Nations study shows that Hijacking: The illegal seizure, usually by force, of
more than one-quarter of the world lacks food a vehicle.
security at some point during the year. Jeopardy
to food security is both an effect of some crises Hostage: A kidnapped person who is held cap-
and a contributing cause to others. tive for money, especially for the purposes of
being used as leverage to force the actions of a
Ground fire: The combustion of roots and under- third party, whereupon that the hostage might be
growth without flames. In forestry, a forest fire released by the captors.
that burns the humus and may not be visible on
the surface. Peat and decayed leaves may burn Hot site: A backup site consisting of a complete
deep below the ground surface and may smolder duplication of the organization’s worksite, includ-
invisibly for days. ing data backups (ideally synchronized with the
original site) and all the equipment necessary for
Groupthink: An overprioritization of harmony business continuity.
and sameness among members of a decision-
making group that leads to expending most of the Hurricane: A tropical cyclone consisting of a low-
group’s energy on finding a consensus rather than pressure center, strong winds, and heavy rain. To
finding the best solution. In management, a group qualify as a hurricane, winds must be equal to
that is by nature in complete agreement with its or exceeding 74 miles per hour or 64 knots. The
leader as the norm. This operational mode is cited name hurricane is used in the Caribbean Sea, Gulf
as overriding better alternatives, moral judgment, of Mexico, Atlantic Ocean, and western Pacific
efficiency, and reality testing. Ocean. Eastern Pacific Ocean storms of this mag-
nitude and storms elsewhere are referred to as
H1N1: H1N1 is a type of influenza virus that typhoons.
includes what is popularly known as swine flu.
Notably, there was an epidemic in 2009. It is a Hyogo Framework for Action: A list of action
human respiratory infection caused by the influ- priorities produced by the 2005 World Confer-
enza virus H1N1. ence on Disaster Reduction, held by the United
Nations in Kobe, Hyogo, Japan. The Hyogo
H5N1: A subtype of the influenza A virus that Framework for Action is a 10-year action plan to
includes the “bird flu.” Bird flu was a pandemic. make the world safer from natural hazards.
 Glossary 1069

Improvised explosive device: A homemade bomb, Invasive species: A non-native species that, once
also referred to as an IED. Improvised explosive introduced to a region, disrupts it by threaten-
devices are generally constructed as either anti- ing biodiversity. The new species may become the
personnel or anti-vehicular and are most com- dominant species, and some native species may
monly used in the form of a land mine. Rather diminish. The dangers invasive species represent
that having a triggering device, these are com- to the health of an existing ecosystem—and the
monly set off by a human using remote wires or economic, cultural, and public health institutions
controls. dependent on that ecosystem—are one of the rea-
sons for the controls placed on the import and
Incident Command System: A system and struc- export of living organisms (the other is the pos-
ture designed to improve emergency response sible spread of pathogens present on or in that
operations in multiple types of circumstances organism).
and complexities; it coordinates and integrates
personnel, policies, procedures, facilities, and Kidnap insurance: Kidnap insurance reimburses
equipment. The system used by the Federal High- for the cost of ransom in the event of a kidnapping.
way Administration to coordinate emergency
response, FEMA, and other national agencies, as Loose coupling: A term originally conceived in
well as most states and some major cities. computing and systems design. Coupling refers to
how much or how little knowledge, information,
Information assurance: The protection and or data that a functionality can use or receive
defense of information to ensure its availabil- from another functionality. A loosely coupled sys-
ity, integrity, authenticity, and privacy, including tem is one in which each of its components has,
backups, encryption, and protection from altera- or makes use of, little or no knowledge of the defi-
tion, theft, or hacking. “Assurance” is the confi- nitions of other separate components. The term
dence one can have in the validity of the informa- can also be applied to intelligence agencies, police
tion being protected or relied upon, as defined by agencies, or other organizations.
the National Security Agency.
Martial law: The rule of an area by the military,
Infrastructure: The physical and organizational sometimes for the stated purpose of dealing with
structures necessarily for the basic operations of a an emergency situation. The suspension of civil
community or business, such as the roads, water- rule of law and the imposition of absolute rule.
ways, and structures necessary to provide water, The posit is that normal civil institutions are dis-
electricity, and telecommunications. rupted and perhaps incapable of dealing with
the circumstances or responding quickly and
Interdependence: A relationship of mutual depen- efficiently.
dence among elements. Reliance in a mutual fash-
ion or a cooperative manner for functionality. Maslow’s hierarchy of needs: Abraham Maslow
proposed in 1942 that humans are driven by the
Interoperability: The ability of organizations to pursuit of needs he placed in a hierarchy and cat-
work together, or to interoperate. Interoperabil- egorized as physiological, safety, belongingness
ity is key to ensuring rapid response to crisis and and love, esteem, and self-actualization.
minimizing friction from a clash of different oper-
ational approaches. Mitigation: To moderate something, like a cir-
cumstance, condition, or quality, in some aspect
Interstate war: A war waged between two coun- such as force or intensity, or to alleviate or make
tries, often with the aim of one of them gaining milder in some way. The reduction of harmful
control over some or all of the other’s territory. effects. Risk mitigation and hazard mitigation
In the 21st century, interstate war has become a are strategies intended for reducing the risk an
rarity, and intrastate wars (civil wars and revolts) endeavor incurs or of reducing the damage of a
have become more common. hazard encountered.
1070 Glossary

Mobilization: Put into movement or circulation, near-instantly, but is not as slow as off-line storage
or the action of assembling and putting into read- in backups or long-term storage media. Near-line
iness for war or some other emergency. The pro- storage systems vary but typically involve types of
cess of assembling and putting in motion, such as storage media that can be placed into a drive to
the mobilization of a team of emergency response facilitate requested data access.
personnel.
Nongovernmental organization: Though most
Moral hazard: The idea that if a decision maker organizations are nongovernmental organiza-
is protected from the effects of risk by a third tions, the term coined by the United Nations is
party, the decision-making will be affected. For specifically used for organizations that operate
instance, a driver who is insured against the cost independently of any government, but that are
of an accident is in a position of moral hazard in not part of the for-profit private sector.
which he or she may be less motivated to drive
carefully. Moral hazard can arise when an indi- Non-state actors: Non-state actors refers to any
vidual or institution does not have to take the full group or entity that is not a nation-state. Although
consequences and responsibilities of its actions, the term is typically used to describe groups such
and therefore has a tendency to act less carefully as Al Qaeda, other terrorist groups, or interna-
and with greater risk than it normally would, pos- tional drug cartels such as those in Colombia or
sibly leaving another party to hold some responsi- Mexico, the same term is technically applied to
bility for the consequences of those actions. multinational corporations, nongovernmental
organizations, and international media groups,
Mutual aid: A promise, agreement, or contract among others.
to aid one another. This can be between persons,
groups, cities, or nations. In emergency services, Nuclear football: A briefcase containing the
mutual aid is the agreement between such ser- nuclear launch codes needed by the president of
vices to assist each other regardless of jurisdic- the United States to authorize a nuclear attack, as
tion; such agreements are a practical necessity well as other critical information.
because of the possibility of a disaster that may
exceed the jurisdiction’s resources. Fire depart- Nuclear proliferation: The spread of nuclear
ments often have formal agreements in place to weapons and weapons-applicable nuclear technol-
lend assistance automatically, in order to contain ogy, whether the physical elements themselves or
a fire emergency as quickly as possible. key information pertaining to their construction.

Natural reservoir: The natural reservoir is an Outbreak: An occurrence of disease in excess of

organism that can be a host for a pathogen of the expected norm. Although it is expected that
an infectious disease, typically an organism that a number of people will have the flu at any given
is asymptomatic. For instance, cats are the natu- time, a massive increase in flu in a given area
ral reservoir of “cat scratch fever,” the Bartonella would be an outbreak.
bacterium that does not affect cats but can infect
humans scratched or bitten by them. Panic: Fear strong enough to interfere with ratio-
nal thought, moral reasoning, and decision mak-
Near-line: The term near-line is a foreshortening ing. Fear itself is not panic; panic is characterized
of the term near-online. It is used in reference to by the effect it has on decision making and acting.
computer data storage and retrieval and the access Predetermining responses to crises is one way to
speed thereof. The term near-online would refer mitigate the effect of panic on decisions.
to a method that is nearly as fast as online, mean-
ing not as fast or slower than. Online would mean Post-traumatic stress disorder: Post-traumatic
wired directly to the computer, for instance, having stress disorder (PTSD) is an anxiety disorder that
an external hard drive connected. Near-line stor- develops after psychological trauma. First iden-
age of data is not online storage, which is accessed tified in soldiers and originally conflated with
 Glossary 1071

combat stress reaction (also known as shellshock Routine emergency: An incident threatening life,
in World War I, or soldier’s heart in the Civil health, property, or the environment, and requir-
War), which is notably different in that it is acute, ing a fast response to prevent further damage,
whereas PTSD is chronic. but that is sufficiently within the realm of nor-
mal activity that it is a scenario or variation on
Preparedness: Readiness; the state of being ready a scenario for which the relevant personnel have
to respond to events. planned and prepared. A crisis, in contrast, is
non-routine and unpredictable in its occurrence,
Prodrome: An early symptom that might signal scale, or complexity, and the threat it poses may
the imminent onset of a disease. Early interven- have vast, long-term effects.
tion may mitigate the severity of the disease.
Sabotage: Intentional subversive damage caused
Public health: The health of the community at to a building or machine. The deliberate destruc-
large. Public health professionals are especially tion of, or interference with, a process, structure,
concerned with promoting practices that limit the or other entity for political ends.
spread of disease or mitigate the risk of injury, as
well as with environmental health, nutrition, and Sensemaking: The process of assigning meaning
public safety. to experience.

Quarantine: The isolation of an infected popula- Social distance: The figurative distance between
tion in order to prevent the spread of infection. social groups, affecting their ability to work
together.
Reputational risk: The risk of loss of reputa-
tion by a business. The trustworthiness or public Soft power: A strategy for obtaining power and
image of a business. influence by co-opting entities rather than coerc-
ing them. Economic agreements, civic action,
Resilience: The capacity to respond quickly to and foreign assistance are among a nation’s soft
changes in circumstances or to resist damage power tools, or a persuasive approach to interna-
caused by such changes. The ability to recover tional relations.
quickly from illness, change, or misfortune.
Spot fire: A localized, concentrated wildfire, a spot
Risk aversion: To choose a course that will most fire is one or more small fires started by flying
likely avoid loss. A tendency to avoid risk when sparks or embers at a distance from a main fire.
there is a low-risk, low-reward alternative avail-
able. Risk aversion is relevant in everything from Succession plan: A plan for filling leadership roles
economics to interpersonal relationships. as they are vacated; originally, this referred to
heads of state and government, but succession
Risk communication: The improvement of deci- plans are expected in businesses, and large orga-
sion making by making comprehensible the risks nizations are expected to prepare internal players
related to the decision. In public health, risk com- for the possibility of filling a leadership role.
munication is an interactive process of exchange
of information and opinion among groups for the Surface fire: Wildfire occurring in rangelands,
discussion of risk types and levels and concerning bushes, and plant litter.
methods for managing risks.
Swiss cheese model: In the fields of risk analysis
Robustness: Hardiness, being strong and healthy and risk management, the Swiss cheese model
in constitution. The quality, in a decision or plan, of accident causation is used to find and assess
of having eliminated all possible uncertainty and “holes” in a system. A model of accident causa-
representing an approach with a well-understood tion popularized in the health care, emergency
level of risk and reward. service, and aviation industries, in which systems
1072 Glossary

are considered like slices of Swiss cheese stacked opposed to acts of war that are committed by
together, each hole represents a weakness, and nation-states.
when holes in different slices align, the opportu-
nity for disaster is created. Triage: Resource allocation based on sever-
ity of need. Various models of triage are used
SWOT analysis: SWOT is an acronym for in emergency medical services, but the term is
strengths, weaknesses, opportunities, and threats. used metaphorically in many crisis management
A strategic planning technique developed in the situations.
1960s by Albert Humphrey. The analysis evalu-
ates a project’s strengths, weaknesses, opportuni- Virus: A virus may be either an infectious biologi-
ties, and threats. cal agent that replicates inside the living cells of
an organism and can cause disease or, figuratively
Systems accident: The crisis that emerges when named for the former, a computer program that
multiple failures in a system interact in an unex- is sent to infect a computer or a computer sys-
pected way. tem, which then replicates itself and sends itself
out to other computers and computer systems,
Systems approach: An approach that considers usually with the goal of doing damage. This gen-
the way the parts and processes of a whole influ- erally involves an executable file that a human
ence one another and thus the entire system. In must start or run and is not automatic. A virus
management, a systems approach emphasizes the program functions and propagates by inserting a
interdependence and interactive nature of ele- copy of itself into another program and becoming
ments both within and external to an organiza- part of that program.
tion. Systems thinking is the process of under-
standing how things influence one another within Worm: Self-replicating malicious software, often
a whole. delivered through a computer network. A worm
may travel unassisted to other computers and net-
Terrorism: The use of fear, violence, and threats works by making use of file-transport or informa-
to intimidate or coerce, especially for political tion-transport features within a computer or com-
purposes. The term terrorism first came into puter system. Worms often exploit a vulnerability
usage during the French Revolution to describe on the target system that allows them to execute
a period that became known as the Reign of themselves and operate. Worms are stand-alone
Terror. Terrorism generally refers to acts and programs and do not require a host program or
actions committed by nongovernment groups as human help to propagate.
 Resource Guide

Books Beck, Ulrich. Risk Society: Towards a New

Andersen, Torben J. and Peter W. Schrøder. Modernity. London: Sage, 2005.
Strategic Risk Management Practice: How Beck, Ulrich. World at Risk. Cambridge: Polity
to Deal Effectively With Major Corporate Press, 2007.
Exposures. Cambridge: Cambridge University Benoit, William L. Accounts, Excuses,
Press, 2010. Apologies: A Theory of Image Restoration
Arrowood. Janet C. Living With Wildfires: Strategies. Albany: State University of New
Prevention, Preparation, and Recovery. York Press, 1995.
Denver, CO: Bradford Publishing, 2003. Bernstein, Jonathan. Manager’s Guide to Crisis
Bales, Kevin and Ron Soodalter. The Slave Management. New York: McGraw-Hill, 2007.
Next Door. Human Trafficking and Slavery Boin, Argen, et al. The Politics of Crisis
in American Today. Berkeley: University of Management: Public Leadership Under
California Press, 2009. Pressure. New York: Cambridge University
Bardach, E. A Practical Guide for Policy Analysis: Press, 2005.
The Eightfold Path to More Effective Problem Bortolotti, D. Hope in Hell: Inside the World of
Solving. New York: Seven Bridges Press, 2000. Doctors Without Borders. Buffalo, NY: Firefly
Barnett, Tony and Alan Whiteside. AIDS Books, 2004.
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1074 Resource Guide

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 Resource Guide 1075

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Foa, Edna B., et al. Effective Treatments Academic Publishers, 2010.
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Francis, 1999. Janczewski, Lech and Andrew Colarik, eds.
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Butterworth-Heinemann, 2003. Jones, Adams. Genocide: A Comprehensive
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1076 Resource Guide

Kirwan, B., M. Rodgers, and D. Schafer. Human Institute of Social and Economic Research,
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Burlington, VT: Ashgate Publishing, 2005. McEntire, David A. Disaster Response and
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Weapons, New Issues. Farnham, UK: Ashgate Times Books, 1998.
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2009. New York: W. W. Norton, 2010.
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 Resource Guide 1077

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Routledge, 1998. 2007.
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Accidents, and Nuclear Weapons. Princeton, 1997.
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2006. CA: Sage, 2007.
1078 Resource Guide

Vaughan, Diane. The Challenger Launch Disaster Medicine and Public Health
Decision: Risk Technology, Culture and Preparedness
Deviance at NASA. Chicago: University of Disaster Prevention and Management
Chicago Press, 1996. Disaster Recovery Journal
Walker, Clive and James Broderick. The Civil Disasters
Contingencies Act 2004: Risk, Resilience and Environmental Biosafety Research
the Law in the United Kingdom. Oxford: Environmental Science and Technology
Oxford University Press, 2006. Ergonomics
Walker, Samuel and Charles M. Katz. The Police Food Policy
in America: An Introduction. New York: Government Finance Review
McGraw-Hill, 2005. The Holocene
Walsh, Donald W., et al. National Incident Human Factors
Management System: Principles and Practice. Human Relations
Sudbury, MA: Jones & Bartlett, 2012. Internal Auditor
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Emergency Management: Principles and International Journal of Emergency Mental
Practice for Local Government. Washington, Health
DC: ICMA Press, 2007. International Journal of Mass Emergencies and
Whitman, Michael E. and Herbert J. Mattord. Disasters
Principles of Information Security. Boston: International Migration
Cengage Learning Custom Publishing, 2011. International Studies Quarterly
Wit, J. S., D. Poneman, and R. L. Gallucci. ISN Security Watch
Going Critical: The First North Korean Journal of Applied Behavioral Science
Nuclear Crisis. Washington, DC: Brookings Journal of Applied Communication
Institution Press, 2004. Journal of Behavioral Decision Making
Woo, Gordon. The Mathematics of Natural Journal of Business Continuity and Emergency
Catastrophes. London: Imperial College Press, Planning
1999. Journal of Business Ethics
Zdziarski, E. L., et al., eds. Campus Crisis Journal of Business Research
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to Planning, Prevention, Response, and Journal of Conflict Studies
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Zelikow, P, and G. Allison. Essence of Decision: Journal of Emergency Management
Explaining the Cuban Missile Crisis. London: Journal of Hazardous Materials
Addison Wesley Educational Publishers, 1999. Journal of Homeland Security and Emergency
Management
Journals Journal of Information Technology Theory and
Administrative Science Quarterly Application
Aggression and Violent Behavior Journal of Insurance Regulation
American Behavioral Scientist Journal of Management Studies
American Journal of Public Health Journal of Medical Internet Research
American Political Science Review Journal of Performance of Constructed
Archives of General Psychiatry Facilities
Bulletin of the American Meteorological Society Journal of Population Economics
Business Communication Quarterly Journal of Structural Engineering
California Management Review Journal of Transportation Security
Computers, Environment, and Urban Systems Journal of Traumatic Stress
Conflict, Security, and Development The Lance
Corporate Reputation Review Landslides
Critical Horizons Natural Hazards Review
 Resource Guide 1079

Nonprofit and Voluntary Sector Quarterly Institute of Risk Management

Organization Science http://www.theirm.org
Organizational Dynamics International Journal of Emergency Management
Personnel Psychology http://www.inderscience.com/browse/index
Prehospital and Disaster Medicine .php?journalID=8
Public Administration Review Investopedia
Public Integrity http://www.investopedia.com
Public Opinion Quarterly Journal of Applied Communication Research
Public Relations Review http://www.tandfonline.com/toc/rjac20/current
Public Works Management and Policy Journal of Contingencies and Crisis Management
Quality Progress http://www.blackwellpublishing.com/journal
Research on Organizational Behavior .asp?ref=0966-0879
Review of Policy Research National Center for Crisis Management
Review of Public Personnel Administration http://www.nc-cm.org
Risk, Hazards, and Crisis in Public Policy The National Council for Science and the
Risk Analysis Environment
Security Planning and Disaster Recovery http://www.ncseonline.org
Social and Legal Studies National Incident Management System
Social Behavior and Personality http://www.fema.gov/emergency/nims
Social Research Occupational Safety and Health Administration
Social Studies of Science http://www.osha.gov
Space Policy Risk, Hazards, and Crisis in Public Policy
Urban Affairs Review http://www.psocommons.org/rhcpp
Risk Management Magazine
Internet Sources http://www.rmmag.com
Administrative Science Quarterly Risk Management Monitor (Risk Management
http://www2.johnson.cornell.edu/publications/ Magazine’s blog)
asq http://www.riskmanagementmonitor.com
Berkeley-Haas Case Series (California Security Analysis and Risk Management
Management Review) Association
http://cmr.berkeley.edu/berkeley_haas_cases http://sarma.org
.html Society for Risk Analysis
Biomonitoring Info http://www.sra.org
http://biomonitoringinfo.org Society for Risk Analysis Speaker’s Bureau
The Center for Regulatory Effectiveness http://www.sra.org/resources.php
http://www.thecre.com Toxicology Excellence for Risk Assessment
Environmental Protection Agency’s Emergency http://www.tera.org
Management USDA Risk Management Agency
http://www.epa.gov/oem/index.htm http://www.rma.usda.gov
Global Association of Risk Professionals Vital Records and Records Disaster Mitigation
http://www.garp.org and Recovery 1999 Web Edition
Institute for Public Relations http://www.archives.gov/records-mgmt/vital
http://www.instituteforpr.org -records
 Index

Index note: Volume numbers are in boldface. Article titles and their page numbers are in boldface.

A advanced emergency medical technician (AEMT),

AARL (American Radio Relay League, Inc.), 2:666 1:345
ABM (Anti-Ballistic Missile Treaty), 1:16–17 advanced life support (ALS), 1:349
abuse, 1:xxxv, 2:989 advanced trauma life support (ATLS), 1:349
accidents. See also normal accident theory Adventist Community Services (AHV), 2:666
Bhopal, India pesticide accident, 2:629, 2:858 adverse selection, 1:526, 1:531
cascading crisis, 1:96–97 AEGL (Acute Exposure Guideline Levels), 1:109
MVA, 1:347 Aegyptus, 1:xxvii
nuclear, 2:684 AEMT (advanced emergency medical technician),
systems accident, 2:1022 1:345
accountability, 1:264, 2:1011 Afghanistan War, 1:419
ACGIH (American Conference of Governmental AFL. See American Federation of Labor (AFL)
Industrial Hygienists), 1:109 African Americans, 1:xxx, 1:xxxi, 1:519
Achuille Lauro, 1:469 AFT (Bureau of Alcohol Tobacco, Firearms and
ACLS (advanced cardiac life support), 1:349 Explosives), 1:400
Act of Supremacy, 1:xxviii after action review, 2:1011
active tuberculosis, 2:957–958 agency, 2:1011
active whistle blowers, 2:997 early warning systems, 1:307
acts of God, 1:46 emergency management system, 1:341
ACTS World Relief, 2:666 emergency responders, 1:361
acute, 2:1011. See also severe acute respiratory health and medical response scenarios, 1:461
syndrome (SARS) IASC, 1:137
Acute Exposure Guideline Levels (AEGL), incident management, 1:505
1:109 lead, 1:147
acute stage, in Fink’s crisis life cycle, 1:409 agency notification and mobilization, 1:1–4, 2:1020
Adamiste, 1:111 crisis types, 1:4
adaptive optimizing decision making, 1:55 decreasing vulnerability, 1:1
ADMARC (Agricultural Development and Marketing drills, 1:1
Corporation), 1:399 organizational preparedness, 1:1
adrenaline effect, 2:1011 response levels, 1:3
advanced cardiac life support (ACLS), 1:349 state-level, 1:1–2

1081
1082 Index

Agricultural Development and Marketing planning, 1:10–11

Corporation (ADMARC), 1:399 zonation, 1:9–10
agriculture. See also Food and Agriculture Alliance of Information and Referral Systems (AIRS),
Organization of the United Nations (FAO); global 2:666
food crisis; land alpha particles, 2:680
ADMARC, 1:399 ALS (advanced life support), 1:349
crop failures, 1:xxvii, 1:xxix, 1:xxxii alternate site, corporate, 1:12–13, 2:1011.
drought, 1:300–301 See also cold sites; dedicated site; hot sites; mobile
IFAD, 1:416 recovery site; warm site
AHV (Adventist Community Services), 2:666 business continuity planning, 1:13
AHV (All Hands Volunteers), 2:666 cold sites, 1:12
aid, 1:174. See also assistance; mutual aid and hot sites, 1:12–13
assistance mobile work solutions, 1:12
to failed states, 1:392–393 needs of corporate groups, 1:12
humanitarian, 1:125 types of, 1:12–13
international, 1:392–393 warm sites, 1:12
Interstate Mutual Aid Legislation Model, 1:174 alternative risk transfer (ART), 1:532
MMAA, 1:341 alternative sites, 2:595–596
perimeter control, 2:724 Alvor Accord, 1:122
State-County Mutual Aid Deployment Contract Amazon rainforest, 1:259–260
Model, 1:174 AMBER alert (America’s Missing Broadcast
taxation, 1:125 Emergency Response alert), 1:325
USAID, 2:1008 ambiguity aversion, 1:248
AIHA (American Industrial Hygiene Association), American Airlines Flight 11, 1:5
1:109 American Conference of Governmental Industrial
air contamination, 1:374–375 Hygienists (ACGIH), 1:109
Air Raid Precautions (ARP), 1:117 American Federation of Labor (AFL), 1:xxx
Air Route Traffic Control Center (ARTCC), 1:5 American Industrial Hygiene Association (AIHA),
air traffic control, 1:4–6 1:109
crisis, 1:5–6 American National Standards Institute (ANSI),
crisis management, 1:6 1:15
September 11, 2001, terrorist attacks and, 1:5–6 American Radio Relay League, Inc. (AARL),
training to prepare, 1:5 2:666
Air Traffic-Collegiate Training Initiative (AT-CTI), 1:5 American Red Cross (AMR), 1:1, 1:155.
air travel, 1:6–8, 2:570 See also International Federation of Red Cross
communicable disease threats and, 1:7–8 (IFRC); Red Cross and Red Crescent
environmental crises and, 1:7 Emergency Social Data Summit, 2:888
terrorism and, 1:6–7 Hurricane Katrina and, 1:176–177, 2:669–670
AIRS (Alliance of Information and Referral Systems), responsibilities, 2:670
2:666 American Revolution, 1:xxviii
air-to-air missiles, 2:626 American Society for Industrial Security (ASIS)
air-to-surface missiles, 2:626 SPC.1-2009, 1:13–15
Akerlof, George, 1:526–527 approval, 1:15
Al (Asian influenza viruses), 1:523–524 emphasis, 1:14
ALARP (as low as reasonably possible), 1:208–209 founding organization, 1:13
Alexander Servius, 1:xxvii International, 1:13
All Hands Volunteers (AHV), 2:666 Organizational Resilience Standard, 1:14
Allen, Jo Lynn, 2:719–720 PDCA model, 1:14–15
Allen, Paul G., 2:719–720 PS-Prep, 1:13–14
Allen, Thad, 1:72 American Society for Quality, 1:21
all-hazards, 1:8–11 American Society of Civil Engineers (ASCE), 1:58,
case studies, 1:10 2:1011
challenges, 1:11 American Society of Healthcare Engineers (ASHCE),
complex and cascading, 1:8–9 1:450
FEMA and, 1:10 America’s Missing Broadcast Emergency Response
microzonation, 1:9 alert (AMBER alert), 1:325
multidimensional emergency management, 1:11 ammonia, 1:111, 2:860
“natech,” 1:8 AMR. See American Red Cross (AMR)
 Index 1083

analysis. See also business impact analysis; hazard primary principles, 1:16
vulnerability analysis; impact analysis; research; risk retaliatory capabilities, 1:18
analysis; situational analysis; statistics; strengths, steady reductions, 1:18
weaknesses, opportunities, and threats (SWOT) treaties, 1:16–17
analysis UN Conference on Disarmament, 1:16
business continuity planning life cycle, 1:81 ARP (Air Raid Precautions), 1:117
Challenger disaster, 2:676 ART (alternative risk transfer), 1:532
CIPMA, 1:535 ARTCC (Air Route Traffic Control Center), 1:5
debriefing, 1:236, 1:238–239 Arthur Anderson, 1:38
fault tree, 2:588 as low as reasonably possible (ALARP), 1:208–209
FMEA, 2:588 ASC. See Inter-Agency Standing Committee (IASC)
FMECA, 2:588 ASCE (American Society of Civil Engineers), 1:58,
organizational failure, 2:699–700 2:1011
paralysis, 1:248 ASHCE (American Society of Healthcare Engineers),
Six Sigma, 2:588 1:450
Anderson, Terry, 1:480 Asian influenza viruses (Al), 1:523–524
Animal and Plant Health Inspection Service (APHIS), ASIS. See American Society for Industrial Security
1:104 (ASIS) SPC.1-2009
annulment, 1:xxviii assessment. See also criticality assessment; damage
Anopheles mosquitoes, 2:585–586 assessment; disaster assessment; risk assessment
ANSI (American National Standards Institute), 1:15 critical applications, 1:203–204
anthrax, 1:43 disaster recovery life cycle, 1:282–283
anthropogenic, 2:1012 drought, 1:301
Anti-Ballistic Missile Treaty (ABM), 1:16–17 hazard mitigation, 1:447
antimicrobial resistance, 1:302 training centers, 2:934–935
antipersonnel land mines (AP), 2:561 vulnerability, 2:981–982
antisatellite missiles, 2:626 assistance. See also aid; Cooperative for Assistance
antitank land mines (AT), 2:561 and Relief Everywhere (CARE); mutual aid and
Antony Mark, 1:xxvii assistance
AP (antipersonnel land mines), 2:561 compacts, 2:639–640
APHIS (Animal and Plant Health Inspection Service), contingency planning, 1:154–155
1:104 DARTs, 1:120
APICS (Association for Operations Management), EMAC, 1:145, 1:511
2:919 FBI, 1:401
Apollo 13, 1:xxxii mobile recovery site, 2:632–633
apologia, 2:859 PDA, 2:668
Apple, Inc., 2:732–73 Association for Operations Management (APICS),
applications. See also critical applications 2:919
in Fink’s crisis life cycle, 1:409 assurance
groupthink, 1:439–440 IA, 1:218, 2:1019
incident action plans, 1:501–502 quality and sustainability, 2:768–770
nanotechnology, 2:644 astronomical theory, 1:132
National Hazards Research and Applications asynchronous networking, 1:32
Information Center, 1:327 AT (antitank land mines), 2:561
RPO, 1:203–204 AT-CTI (Air Traffic-Collegiate Training Initiative), 1:5
RTO, 1:203–204 Atlanta Olympics pipe bombs, 1:494
Arab Spring, 1:529 ATLS (advanced trauma life support), 1:349
archiving, 1:317 Attica prison riot, 1971, 1:xxxii
Arguello, Patrick, 1:468 attitudes
Aristotle, 1:185 corporate bankruptcy, 1:36
armed forces, 1:1. See also National Guard crisis communication, 1:188, 1:190–191
arms control, 1:15–19, 2:1012. See also missiles; attrition, 1:30
weapons; weapons trafficking auditing, 1:19–22. See also documentation; reporting
future of, 1:18–19 areas, 1:20
history, 1:16–17 auditors, 1:21
incentives, 1:17–18 communications, 1:20
interest areas, 1:18 compliance, 1:19
noncompliance, 1:18 e-audits, 1:21–22
1084 Index

management, 1:19 bunkers, 1:34

methodology, 1:20 case study, 1:34
planning, 1:20 character format, 1:32
preparedness, 1:20 cloud storage, 1:33
principles, 1:20 databases, 1:32
process, 1:21 de-duplication, 1:32–33
program, 1:21 dispersed storage, 1:33
purpose of, 1:19 encryption, 1:33
reporting, 1:20 environment, 1:32–33
special operations, 1:20 exercising, 1:35
systems approach, 1:20 full backup, 1:32
auditors, 1:21 intermediate backup, 1:32
augmented reality, 1:316 magnetic tape, 1:33
Aum Shinrikyo, 1:110 mirroring, 1:32
authentication, 1:218 online storage, 1:33
availability replication, 1:32
cyber security, 1:218 RPO, 1:31, 1:33–34
HA, 1:33, 1:394 RTO, 1:31, 1:33–34
health and medical response scenarios, 1:461–462 SaaS, 1:33
avalanches and landslides, 1:22–25, 2:1012. snapshot, 1:33
See also U.S. Geological Survey (USGS); weather synchronous networking, 1:32
creep, 1:23 types, 1:31–32
from earthquakes, 1:22–24 bacterial agents, 1:43
hazard mapping and monitoring, 1:24–25 Baikonur Cosmodrome, 2:891
mass wasting hazards, 1:22–24 bankruptcy, corporate, 1:35–40
mudflow, 1:23 attitudes, 1:36
national slope master plan, 1:25 case studies, 1:38
occurrence, 1:24 Chapter 7, 1:36–37
submarine, 1:23 Chapter 11, 1:37–38
aversion current, 1:36–39
ambiguity, 1:248 ethical issues, 1:39
risk, 1:248, 2:1020 laws, 1:35–36
uncertainty, 1:248 publicity, 1:38
AWIPS (Weather Interactive Processing System), 1:24 U.S. history, 1:36
Bankruptcy Act of 1898, 1:36
B Bankruptcy Reform Act of 1978, 1:36, 1:39
backdoor, 2:1012 Bardach, E., 2:727
backfire, 2:1000 Bartonella bacteria, 2:1020
backup facility, 1:27–28 Basel Convention, 1:320
cold site, 1:27 Bay of Pigs attack, 1:420
external, 1:28 BCL (business continuity life cycle), 1:34, 1:206
hot site, 1:27–28 BCLP. See business continuity planning life cycle
internal, 1:28 BCM. See business continuity management
warm site, 1:27 BCV (Business Continuance Volume), 1:223
backup media, 1:28–31, 1:235 BDM (Brethren Disaster Ministries), 2:666
attrition, 1:30 Beagle, 2:800
first steps, 1:28–29 Beahm, George, 2:732
Internet, 1:30 Beaufort Wind Force Scale, 1:482
magnetic tape, 1:30 Bebo, 1:529
noncomputer, 1:30 bedbugs, 1:xxxiv, 1:519–520
read-only, 1:30 benefits of differentiation, 1:513
threats to, 1:30 Benoit, William, 2:859
types and storage, 1:29–30 Berlin Wall
backup strategy, 1:31–35, 2:1012 Soviet Union and, 1:xxxi
asynchronous networking, 1:32 tearing down, 2:678
backup media, 1:34–35 best practices, 2:1012
BIA, 1:31 BS 25999, 1:60–61
block format, 1:32 continual improvement, 1:165
 Index 1085

GEJET, 1:165 blizzards, 1:49–50, 2:1012

Hurricane Katrina, 1:165 black blizzards, 1:xxxi
transportation security, 2:941 Blizzard of 1888, 1:xxx, 1:49
beta particles, 2:680 cautions, 1:50
Betancourt, Ingrid, 1:480 hazards, 1:49
BGRT (Billy Graham Rapid Response Team), New York blizzard, 2010, 1:189
2:666 power outages, 1:49
Bhopal, India pesticide accident, 2:629, 2:858 travel, 1:50
BIA. See business impact analysis block format, 1:32
Bier, V., 1:191 blogs, 1:317
bifurcation point, 1:107–108, 2:1012 blood agents, 1:111
Billy Graham Rapid Response Team (BGRT), 2:666 blowback, 1:421
bin Laden, Osama, 2:682 Bluth, Christoph, 1:421
biocontainment, 1:103 Bohunice nuclear accident, 2:684
biodiversity, 2:966 Boleyn, Anne, 1:xxviii
biological casualties, 1:45 Bolshevik Revolution, 1:548
biological engineering risk, 1:40–42 bombings. See also nuclear and radiological weapons;
delivery or destruction, 1:41–42 suicide bombings; weapons
future anticipation and residual angst, 1:40–41 Atlanta Olympics pipe bombs, 1:494
risk terrain, 1:41 dirty bombs, 2:680–681
wild west environment, 1:41 Guernica bombing, 1:117
biological noncommunicable diseases, 2:664 Haymarket Square bombing, 1:xxix–xxx,
biological weapons, 1:42–46 1:514
bacterial agents, 1:43 Oklahoma City bombings, 1995, 1:167, 1:237,
biological agents, 1:44 1:494
fungi, 1:43 border disputes, 1:50–53
history, 1:42 background, 1:51
indications of, 1:45 Operation Litani, 1:51
medical management of biological casualties, planning for, 1:51–52
1:45 Scarborough Shoal, 1:52
rickettsia, 1:43 Bostrom, A., 1:190
toxins, 1:43–44 botnet, 1:220, 2:1012
types, 1:42–43 bounded rationality, 1:53–56
viruses, 1:43 adaptive optimizing decision making, 1:55
biotechnology, 1:40, 2:1012 alternative decision possibilities, 1:55
bioterrorism, 2:1012 defined, 1:53
Bird, F., 2:589 human limitations, 1:53–54
bird flu, 2:1018 influences of locality on decision making, 1:54
black blizzards, 1:xxxi personal views and, 1:54–55
Black Death, 1:xxvii–xxviii time and cost influences, 1:54
black market missiles, 2:627–628 BP (British Petroleum), 1:198
Black Monday 1987 crash, 2:906–907 Bradford, Walter, 1:xxxi
Black Power, 1:xxxii brain drain, 1:56–58, 2:1012
Black September, 1:479 brain gain, 1:57
Black Tuesday, 1:xxx crisis and political influence, 1:56–57
blackout, 2003, 1:491 defined, 1:56
blackout, 2006, 1:533 mitigation of, 1:57–58
Blair, Tony, 1:421 negative outcomes, 1:57
Blair Mountain Battle, 1:xxx positive outcomes, 1:57–58
blame, politics of, 1:46–49 social factors, 1:56
acts of God and, 1:46 strengthening loyalty, 1:58
assignation of blame, 1:46–47 Breivik, Anders Behring, 2:578
effects of, 1:47–48 Brethren Disaster Ministries (BDM), 2:666
negative consequences, 1:48 bridges, 1:58–60. See also buildings; floods
scapegoats, 1:48 case study, 1:59
blind spots, 2:717 China bridge collapse, 1:59
blindsiding, 2:716, 2:719 Minneapolis bridge collapse, 1:59
blister agents, 1:110–111 Penafiel, Portugal, bridge collapse, 1:59
1086 Index

protection against terrorist attack, 1:59–60 embedding in organization’s culture, 1:76

recent engineering research findings, exercising, maintaining, reviewing, 1:76
1:58–59 organization, 1:74–75
bridging the cultural divide, 1:196–197 program, 1:74
British Antarctic Survey, 1:xxxiii purpose, 1:74
British Petroleum (BP), 1:198 response, 1:75–76
British Standards Institute (BSI), 1:60 staff, 1:75
Brown, Jerry, 1:63 supplies, 1:75
Brown, Michael, 1:72 business continuity planning, 1:13, 1:76–81, 1:206,
Brutus, Marcus Junius, 1:xxvii 2:1012–1013
BS 25999, 1:60–62 lessons, 1:80–81
activities, 1:61 physiological factors, 1:79–80
best practices, 1:60–61 psychological impacts, 1:78
implementation and operation, 1:61 recovery, 1:80
maintaining and improving, 1:61 response, 1:78
monitoring and reviewing, 1:61 business continuity planning life cycle, 1:81–84
BSI (British Standards Institute), 1:60 analysis phase, 1:81, 1:83
Buddhist Tzu Chi Foundation, 2:666 BIA, 1:83
budget crisis, 1:62–66 case study, 1:82–83
budget shortfall crisis, 1:63 design phase, 1:83
case study, 1:64 implementation, maintenance, testing, 1:84
currency crises, 1:64 process, 1:81
political, 1:62–63 business impact analysis, 1:13, 1:31, 1:74, 1:84–87,
buildings, 1:66–68. See also bridges; earthquakes; 2:1013
hurricanes, typhoons, and cyclones; sabotage activities, 1:85
business continuity management, 1:75 alternative and manual working, 1:86
case studies, 1:67 in business continuity planning life cycle, 1:83
crisis management plans, 1:66–68 completing, 1:85
developers and owners, 1:67 in data recovery, 1:234
history, 1:66 dependencies, 1:86
warning systems, 1:67 financial, 1:85
Buncefield, England oil depot explosion, 1:507 information needed, 1:85
bunkers, 1:34, 1:235, 2:1012 nonfinancial, 1:85
Buran space shuttle, 2:891 office for, 1:86–87
Bureau for Crisis Prevention and Recovery, UN people, 1:86
(UNDP-BCPR), 1:68–70 risk, 1:85–86
development outcomes, 1:69–70 RPO, 1:86
Disaster Risk Index, 1:69 RTO, 1:86
Learning Platform on Gender and Crisis vital records, 1:87
Prevention and Recovery, 1:70 business recovery, 1:281
mandate, 1:69 business resumption planning, 1:87–89
new strategy, 1:69–70 challenges of, 1:89
Bureau of Alcohol Tobacco, Firearms and Explosives from continuity to resumption, 1:87–88
(AFT), 1:400 operational and legal problems, 1:89
bureaucracy, 1:47, 1:70–74. See also government return to normal service planning, 1:87
case study, 1:72 butterfly effect, 1:105, 2:1013. See also hurricanes,
crisis management, 1:71–72 typhoons, and cyclones; sensitive dependence on
legal parameters, 1:71 initial conditions
model, 1:70–71 Byman, D., 1:419
pitfalls, 1:71 Bynander, F., 1:420
public perception, 1:71–72
Burris, Mary Ann, 2:617 C
Bush, George W., 1:72, 1:122, 1:212–213 Cabinet Office, UK, 1:91–92
Business Continuance Volume (BCV), 1:223 CCS, 1:91–92
business continuity life cycle (BCL), 1:34, 1:206 ministers, 1:91
business continuity management, 1:60, 1:74–76 responsibilities, 1:91
buildings, 1:75 CAD (computer-aided design), 1:237
determining strategy, 1:75 Cajun Army, 1:4
 Index 1087

CAMPS (Civil Aircraft Missile Protection System), cosmology episode, 1:182

2:628 crisis communication, 1:189–191
canine search-and-rescue, 2:864 crisis management emerging trends, 1:198
Cannon, Walter Bradford, 1:79, 2:1017 critical infrastructure, 1:210
Canterbury, New Zealand earthquakes, 1:280 criticality assessment, 1:213
CAP (Common Alerting Protocol), 1:196 damage assessment, 1:227
capability readiness, 1:395 decision making, 1:245
CAPSCA (Prevention of Spread of Communicable decision stream, 1:253
Disease through Air Travel), 1:8 disaster assessment, 1:268–269
carbon dioxide, 1:259–260 disaster recovery, 1:280
cardiopulmonary resuscitation (CPR), 1:345 early warning systems, 1:308–309
care. See also Cooperative for Assistance and Relief emergency operations center, 1:355–356
Everywhere (CARE); emergency medical care; emergency responders, 1:363–364
mass care emergency support functions, 1:368–369
ASHCE, 1:450 evacuation, 1:384
JCAHO, 1:478 Federal Emergency Management Agency (FEMA),
CARE. See Cooperative for Assistance and Relief 1:403–404
Everywhere (CARE) financial risk management in higher education,
Caritas International, 1:102–103. See also Catholic 1:406–407
Relief Services GEJET, 2:581, 2:604–605
Carnegie, Andrew, 1:514 hazard mitigation, 1:444–445
carrying capacity, 1:92–96, 2:1013 health and medical response scenarios, 1:461
calculating, 1:95 historical analogies, 1:470–471
defined, 1:92 hospital emergency room, 1:477
explaining, 1:95 Hurricane Katrina, 1:403–404, 2:698–699,
function of time, 1:94 2:899–900, 2:972
impact, 1:95 impact analysis, 1:491
populations and, 1:95 improvising, 1:497
principles, 1:94–95 incident management, 1:504
spread effects, 1:94–95 incident response, 1:507
system of change, 1:94 information asymmetry, 1:525–526
water, land, forest resources, 1:93–93 information vacuums, 1:528
Cartagena Protocol on Biosafety, 2:569 interdependence, 1:534
Carter, Jimmy, 1:xxxiii interstate war, 1:548
cascading crisis, 1:96–99 living modified organisms, 2:568
chaos theory, 1:97 logistics, 2:572
normal accident, 1:96–97 mass fatality management, 2:599
as transboundary, 1:97–98 mass media, 2:604–605
unexpected event, 1:96 mutual aid and assistance, 2:639
cascading hazards, 1:8–9, 1:441 normal accident theory, 2:674normalization of
case studies, 2:616. See also research deviance, 2:677
all-hazards, 1:10 organizational failure, 2:698–699
backup strategy, 1:34 political organizational leadership, 2:732–733
bridges, 1:59 pre-crisis training and planning, 2:744
budget crisis, 1:64 preparedness, 2:751–752
buildings, 1:67 public health surveillance, 2:771
bureaucracy, 1:72 public image, 2:774
business continuity planning life cycle, quantitative losses versus qualitative, 2:581
1:82–83 quantitative methods, 2:619
catastrophe, 1:100 quarantine, 2:784
Challenger disaster, 2:677 reciprocal site, 2:791
civil war in Angola, 1:122–124 recovery, 2:794–795
climate change adaptation, 1:134–135 resource collapse, 2:815
contingent coordination, 1:161 riots, 2:833
continuity of government, 1:168–169 risk analysis, 2:835–836
coordination, 1:174 scapegoating, 2:858–859
coping capacity and response capability, 1:180 scenario planning, 2:860
corporate bankruptcy, 1:38 simulations, 2:876
1088 Index

stakeholders, 2:899–900 Chalk River nuclear accident, 2:684

strategic plans, 2:908, 2:909, 2:911–912 Challenger, 1:183–184, 1:439–440, 2:629, 2:929
terrorism, 2:928 analysis of disaster, 2:676
training, 2:936–937 case study, 2:677
transportation systems, vulnerability, 2:944 NASA and, 2:676, 2:916–917
trauma, 2:946 spaceflight, 2:890–891
vital records, 2:972 chaos theory, 1:97, 1:105–108, 2:1013
warning, 2:992 bifurcation, 1:107–108
cat scratch fever, 2:1020 feedback, 1:107
catastrophe, definition of, 1:99–101, 1:188, 1:264, fractals, 1:105–106
2:846, 2:1013. See also hazards nonlinearity, 2:671–673
case study, 1:100 sensitive dependence on initial conditions,
interpretations, 1:100–101 1:105
catastrophe theory, 2:1013 Chapter 7, 1:36–37
catastrophism, 2:1013 Chapter 11, 1:37–38
Catholic Relief Services, 1:102–103 character format, 1:32
crisis management practices, 1:102–103 chemical facilities, 2:854
governing philosophy, 1:102 chemical risk, 1:108–109
HIV/AIDS and, 1:102–103 AEGL, 1:109
organization, 1:102 chemical properties, 1:108–109
causal decision theories, 1:247–248 emergency response, 1:109
CBF (Cooperative Baptist Fellowship), 2:666 physical properties, 1:108
CBP (Customs and Border Protection), 1:52 RSLs, 1:109
CCC (Citizen Corps Council), 1:10, 2:1013 toxicological properties, 1:109
CCS (Civil Contingencies Secretariat), 1:91–92 Chemical Stockpile Emergency Preparedness
CD (compact disc), 1:29, 1:35 Program, 1:252
CDC. See Centers for Disease Control and Prevention chemical weapons, 1:110–112, 2:1013
(CDC) blister agents, 1:110–111
celestial mechanics, 1:132 blood agents, 1:111
cell phone communication, 1:6 categories, 1:110–111
Center for Research on the Epidemiology of choking agents, 1:111
Disasters, 1:99 history, 1:110
Centers for Disease Control and Prevention (CDC), identifying agents, 1:111–112
1:7, 1:103–105, 1:174, 1:185 incapacitating agents, 1:111
biocontainment lab, 1:103 nerve agents, 1:110
DEO, 1:104 tearing agents, 1:111
DSAT, 1:104 Chemical Weapons Convention, 1:17
DSLR, 1:104 Chernobyl Nuclear Power Plant disaster, 1:xxxiii,
enterobacteriaceae pathogens classification, 1:97, 1:227, 1:239, 2:684
1:103 Chertoff, Michael, 1:72
epidemics and, 1:377 Chicago Fire, 1:xxix, 1:67
hazardous materials and, 1:456 Chicago nightclub disaster of 2003, 1:384
history, 1:103 Chicago Seven, 1:xxxii
hospital surge capacity and, 2:922 Chicago Tribune, 1:xxxii
malaria and, 2:585 chief financial officer (CFO), 1:405–406
MMWR, 1:103 chief security officer, 1:112–114
MRSA and, 1:303 corporate security programs, 1:114
NIOSH, 1:104 ESRM, 1:113–114
organization, 1:103–104 FIBER model, 1:113
PHPR, 1:104–105 risk-intelligent, 1:114
SARS and, 2:866–867 children
centralization system, 1:174–175 child sexual abuse, 1:xxxv
CERCLA (Comprehensive Emergency Response, Children of the Nations, 2:1008
Compensation, and Liability Act of 1980), Feed the Children, 1:153, 2:667
2:854 human trafficking, 1:481–482
CFCs (chlorofluorocarbons), 1:xxxiii, 1:436 Save the Children, 1:144, 2:668
CFO (chief financial officer), 1:405–406 UNICEF, 1:137
Chabris, Christopher, 2:717 vulnerable populations, 2:985
 Index 1089

China, 1:xxviii humanitarian aid, 1:125

Chinese Civil War, 1:125 Sino-Japanese War, 1:125
Chinese Exclusion Act, 1:xxix Spanish Civil Wars, 1:125
famine, 1:xxviii UK, 1:125
Great Wall of China, 1:51 U.S., 1:xxix, 1:117, 1:125
immigration, 1:xxix Civilian Conservation Corps, 1:xxxi
chlorine, 1:111 civilian protection, post-conflict, 1:126–129
chlorofluorocarbons (CFCs), 1:xxxiii, 1:436 analyzing threats and vulnerabilities, 1:127
choice of management model, 1:147 managing, 1:127–128
choking agents, 1:111 nature of, 1:126–127
cholera, 1:xxviii–xxix, 1:xxxv, 1:7, 1:114–116, response to, 1:128
2:1013 South Sudan, 1:128–129
outbreak management, 1:115–116 United Nations and, 1:126–129
post-outbreak management, 1:116 CJIS (Criminal Justice Information Services), 1:104
pre-outbreak management, 1:114–115 classification
WHO and, 1:115–116, 1:189 critical infrastructure, 1:208
Christian Reformed World Relief Committee Ebola virus, 1:313
(CRWRC), 2:666 electronic media, 1:316–317
chronic, 2:1013 emergency, 1:488–489
chronic stage, in Fink’s crisis life cycle, 1:409 enterobacteriaceae pathogens, 1:103
contagion, 2:577 infectious disease, 1:517
Church of England, 1:xxviii malaria, 2:585
Church World Service (CWS), 2:666 measles, 2:608
Churches of Scientology Disaster Response (CSDR), risk society, 2:841–842
2:666 tuberculosis, 2:956
Churchill, Winston, 1:117 wildfire, 2:1000
CIMS. See crisis information management systems worker error, 2:1003
Cincinnati riots of 1836, 1:xxviii classification of systems, 1:129–132
CIPMA (Critical Infrastructure Program for Modeling categories, 1:131
and Analysis), 1:535 closed system, 1:130
CIRG (Critical Incident Response Group), 1:401 dynamic system, 1:130
Citizen Corps Council (CCC), 1:10, 2:1013 human-made system, 1:130
citizens identifying vulnerabilities, 1:131
CCC, 1:10, 2:1013 methods, 1:130
collaboration with, 1:145 natural system, 1:130
City Team Ministries (CTM), 2:666 open system, 1:130
Civil Aircraft Missile Protection System (CAMPS), for recovery, 1:130–132
2:628 static system, 1:130
Civil Contingencies Secretariat (CCS), 1:91–92 Clean Water Act (CWA), 1:428
Civil Defense Act, 1:141, 1:328 Cleary Act, 1:189
civil engineering, 2:1013 climate change adaptation, 1:xxvii, 1:132–136.
civil institutions, 2:1019 See also global warming; ozone layer depletion
civil protection, 1:116–121 case study of Norse settlement of Greenland,
current organization, 1:119–120 1:134–135
emergency response systems, 1:117 celestial mechanics, 1:132
new trends, 1:120–121 climate change causes, 1:135–136
1970s and 1980s, 1:117–118 LIA, 1:132
safety and security, 1:119 MWP, 1:132
twenty-first century, 1:118–119 research, 1:136
civil rights, 1:xxxii solar cycles, 1:135
civil security, 1:117 climate-related multiple disaster problem, 2:636–637
civil war, 1:121–126 Clinton, Hillary, 2:893
Angola civil war case study, 1:122–124 closed classification system, 1:130
causes, 1:121, 1:124 cloud, 1:33, 2:1013
Chinese Civil War, 1:125 Cloyd, E., 2:597
Collier-Hoeffler model, 1:124 cluster, 1:136–139
effects, 1:124–125 activation and closeout, 1:138
Fearon-Laitin model, 1:124 background, aim, scope, 1:137
1090 Index

country, 1:138 commodity shortages, 1:151–153

global, 1:138 inadequate storage, 1:152
NGOs and, 1:138 materials scarcity, 1:152
structures, 1:137–138 NGOs and, 1:151–153
CMAS (Commercial Mobile Alert System), 1:336 pestilence, 1:152
CMT. See crisis management team (CMT) prevention, 1:153
CMU (Crisis Management Unit), 1:400 production decrease, 1:152
Coast Guard, 1:72 reasons for, 1:151–153
coastal floods, 1:413 severe weather, 1:152
Coconut Grove Night Club fire, 1942, 1:410 UN and, 1:153
COG. See continuity of government war and, 1:153
cognitive novelty, engaging in, 1:139–140, WHO and, 1:153
2:1013–1014 commodity-specific supply chains, 2:574
computer-based systems, 1:139 Common Alerting Protocol (CAP), 1:196
participants, 1:140 communicable disease threats, 1:7–8
cold sites, 1:140–141, 2:1014. See also alternate site, communications
corporate; dedicated site; hot sites; warm site auditing, 1:20
backup facility, 1:27 continuity of government, 1:167–169
no lockout clause, 1:140 critical infrastructure, 1:208
porta-sites, 1:140 electronic media, 1:315
requirements, 1:140 incident response, 1:510
shell site, 1:140 public image strategies, 2:773
Cold War, 1:117–118, 1:122 public relations, 2:777–778
end of, 2:626 risk, 2:612–613
foreign policy, 1:1014 risk communication, 2:1021
nuclear warfare threat, 1:325 SCCT, 2:859
peacekeeping and, 2:721 stakeholders, 2:898
space race and proxy wars, 1:548 telecommunications, 2:1019
start of, 1:141 trauma, 2:947
weapons, 2:675 communication security (COMSEC), 1:217
Collaborating Center for Research on the communism, 1:xxxiv
Epidemiology of Disasters (CRED), 1:322 community, 2:820–821
collaboration, 1:141–146 AHV, 2:666
achieving successful, 1:145–146 coping capacity and response capability,
with citizens, 1:145 1:178–179
CRED, 1:322 disaster recovery, 1:279
emergency management principle, 1:330 FEMA philosophy, 2:904
incident response, 1:510 interviews, 2:616
intergovernmental, 1:141–143 societal interdependence, 1:179, 1:181
mutual aid and assistance, 2:640 therapeutic, 2:577–578
public-nonprofit, 1:143–144 compact disc (CD), 1:29, 1:35
public-private, 1:144–145 compassion fatigue, 2:637–638
Salvation Army, 2:856 compatibility, 1:541–543
Collier, Paul, 1:124 complex hazards, 1:8–9
Collier-Hoeffler model, 1:124 compliance
Collingridge, David, 1:421 auditing, 1:19
Colombia, 2:1020 noncompliance, 1:18
Columbia space shuttle, 2:890–891, 2:929 protection, 2:761
Combs, B., 1:188 UNICEF, 1:536–537
command and control, 1:146–151 WHO, 2:1005
anatomy of, 1:147–148 comprehensive emergency management,
British system, 1:149 1:329–330
choice of management model, 1:147 Comprehensive Emergency Response, Compensation,
ICS in, 1:148–149 and Liability Act of 1980 (CERCLA), 2:854
necessity of, 1:150–151 Comprehensive Nuclear Test Ban Treaty, 1:17
support function model, 1:147 Comprehensive Preparedness Guide (CPG),
Commercial Mobile Alert System (CMAS), 2:903–904
1:336 computer-aided design (CAD), 1:237
 Index 1091

computers, 1:316. See also information technology learning from crisis, 1:163
(IT); technology; Y2K bug TSM, 1:164–165
computer-based systems, 1:139 continuity, 2:1014. See also business continuity
HDDs, 1:35, 1:235 management; business continuity planning; business
PC, 1:29–30 continuity planning life cycle; minimum business
reciprocal agreements, 2:789–790 continuity objective
COMSEC (communication security), 1:217 business resumption planning, 1:87–88
Comte, Auguste, 2:81 COOP, 1:130
CONELRAD (Control of Electromagnetic Radiation), electronic media, 1:319
1:325 Emergency Management and Business Continuity,
confidentiality, 1:218, 1:319 1:21
congenital malaria, 2:586–587 management, 2:1014
Congressional Research Service, 1:62 continuity of government, 1:166–170, 2:1014
Consumer Product Safety Commission (CPSC), alternate and contingency facilities, 1:169–170
1:373, 2:758 case studies, 1:168–169
contagion, 1:64 communications, 1:167–169
containment. See also damage containment information and data surety, 1:167
biocontainment, 1:103 leadership and authority delegation, 1:166–167
defined, 2:1014 leadership continuity, 1:167
contamination, 2:1014. See also environmental Continuity of Operations Plan (COOP), 1:130
contamination Control of Electromagnetic Radiation (CONELRAD),
air, 1:374–375 1:325
decontamination, 1:455–456 control zones for hazardous materials, 1:455
soil, 1:374 Convention for the Prevention and the Punishment of
water, 1:373–374 the Crime of Genocide, 1:378
context Conventional Armed Forces in Europe Treaty,
emergency responders, 1:364 1:17
health and medical response scenarios, 1:459 convergence
looting, 2:578 electronic media, 1:316
vulnerability to disaster, 2:982–983 volunteer coordination, 2:976–977
Continental Airlines, 1:38 Convoy of Hope, 2:666
contingency, 2:1014 Coombs, Timothy, 2:859
contingency planning, 1:153–159 COOP (Continuity of Operations Plan), 1:130
complex systems and, 1:159 cooperation
continual improvement, 1:163 ICAO, 1:8
defining, 1:154 preparedness, 2:752–753
governance, 1:154 protection, 2:761–762
guidelines, 1:155–156 Cooperative Baptist Fellowship (CBF), 2:666
IASC and, 1:154–158 Cooperative for Assistance and Relief Everywhere
IFRC, 1:158 (CARE), 1:171–172
international assistance, 1:154–155 emphasis, 1:171
multilevel coordination, 1:158–159 health issues, 1:171
in national settings, 1:156–158 members, 1:171
NGOs and, 1:154 partners, 1:172
United Kingdom, 1:156–159 poverty and, 1:171
Contingency Planning and Incident Management coordination, 1:172–176. See also contingent
Division (CPIMD), 1:158 coordination
contingent coordination, 1:159–163 coordinated emergency management, 1:330
case study, 1:161 evacuation, 1:382–383
crisis management and, 1:160–161 intergovernmental, 1:173–175
defined, 1:160 multiorganizational, 1:172–173
Hurricane Katrina and, 1:160–161 NICC, 1:175
traditional coordination, 1:159–160 OCHA, 1:118
UCS and, 1:162 Private-Sector Coordination Support, 1:175
continual improvement, 1:163–166 public and nonprofit, 1:175–176
best practices, 1:165 public and private, 1:175
contingency planning, 1:163 Walmart case study, 1:174
government efforts, 1:163–164 Copeland, Claudia, 1:213
1092 Index

coping capacity and response capability, 1:177–181 crisis, definition of, 1:186–187
case study, 1:180 crisis communication, 1:188–193, 2:1014
community influence, 1:178–179 case studies, 1:189–191
community-societal interdependence, 1:179, 1:181 challenges, 1:192
personal factors, 1:177–178 goal and objectives, 1:188
resources, competencies, mechanisms, 1:177 perception, attitudes, behavior, 1:188, 1:190–191
cordons, 1:508–510 when to use, 1:191–192
Coriolis force, 1:482 crisis information management systems, 1:193–196
corporate groups, 1:12 development and use, 1:193–195
corporate security programs, 1:114 NGOs and, 1:193–194
corporate social responsibility (CSR), 1:144–145 software, 1:195–196
corrective and preventive action, 1:15 UN and, 1:194
corrosives, 1:108 UNICEF, 1:537–538
cosmology episode, 1:181–183, 2:1014 widespread acceptance, 1:193
case study, 1:182 crisis management. See also Mitroff’s five stages of
during ontological distress, 1:181 crisis management; specific topics
costs air traffic control, 1:6
bounded rationality, 1:54 buildings, 1:66–68
land mines, 2:561–563 bureaucracy, 1:71–72
readiness, 1:395 Catholic Relief Services practices, 1:102–103
warm site, 2:990 contingent coordination and, 1:160–161
whistle blowers, 2:997–998 crisis simulations in, 1:200
country cluster, 1:138 DHS and, 1:263
coupling, 1:183–184, 2:1019 failed states, 1:391–392
loose coupling, 1:183, 2:1019 FAO and, 1:416–417
loosely coupled, 1:183 floods, 1:413
NASA and, 1:183–184 fraud, 1:423–425
tight, 1:183 hurricanes, typhoons, and cyclones, 1:483
Covello, Vincent, 1:443 insurance in, 1:530–532
CPG (Comprehensive Preparedness Guide), 2:903– IT and, 1:416–417
904 logistics, 2:575
CPIMD (Contingency Planning and Incident), 1:158 marine shipping, 2:590–591
CPR (cardiopulmonary resuscitation), 1:345 nonlinearity in, 2:673
CPSC (Consumer Product Safety Commission), normalization of deviance and, 2:678
1:373, 2:758 nuclear proliferation in, 2:682
CRED (Collaborating Center for Research on the partnerships and, 1:416
Epidemiology of Disasters), 1:322–323 political organizational leadership, 2:733–734
credibility, 1:184–186 poverty, 2:740
building, 1:185–186 protest, 2:764
crisis and, 1:186 Red Cross and Red Crescent practices,
derived, 1:185 2:799–800
initial, 1:185 resource collapse, 2:814–816
scientific, 1:185 response in, 2:820
source, 1:185 scenario planning in, 2:861–862
statistical, 1:185 situational analysis, 2:877
terminal, 1:185 social distancing, 2:886
creep, 1:23, 2:1014 structural secrecy and, 2:916–917
crime, 2:1015. See also cyber crime; hijackings; top-down bureaucratic model, 1:141
Interregional Crime and Justice Research Institute, training and, 1:417
UN (UNICRI); laws; looting; war crimes whistle blowers and, 2:998
Convention for the Prevention and the Punishment crisis management, emerging trends in, 1:196–200
of the Crime of Genocide, 1:378 bridging the cultural divide, 1:196–197
human trafficking, 1:481 case study, 1:198
UCR, 1:401 managing social media, 1:197–199
Criminal Justice Information Services (CJIS), 1:104 striving for innovation, 1:199
criminology crisis management team (CMT), 1:27–28, 1:490–491,
CJIS, 1:104 2:743–747
looting and, 2:577 recovery time objective and, 2:797–798
 Index 1093

Crisis Management Unit (CMU), 1:400 crop failures, 1:xxvii, 1:xxix, 1:xxxii
crisis resilience, 2:985 crowd safety and survival, 1:385
crisis resolution, in Fink’s crisis life cycle, 1:409 crown fire, 2:1015
crisis simulations, 1:200–202. See also health and dependent, 2:1000
medical response scenarios; scenario planning running, 2:1000
challenges, 1:202 CRS. See Catholic Relief Services
in crisis management, 1:200 crude birth rates, 2:705–706
drills, 1:201 CRWRC (Christian Reformed World Relief
full-scale exercises, 1:201 Committee), 2:666
functional exercises, 1:201 CSDR (Churches of Scientology Disaster Response),
HAZUS, 1:201–202 2:666
historical developments, 1:200 CSO. See chief security officer
interaction and instrumentation, 1:201 CSR (corporate social responsibility), 1:144–145
platforms, 1:200–201 CTM (City Team Ministries), 2:666
tabletop exercises, 1:201 Cuban Missile Crisis, 1:xxxi, 1:55, 1:419–420
critical applications, 1:202–205 currency crises, 1:64
assessing, 1:203–204 Cushman, James G., 2:922
business value, 1:205 Customs and Border Protection (CBP), 1:52
classifying, 1:203 customs and cargo tracing, 2:573
methodology, 1:204 Customs Service, U.S., 1:52
testing, 1:204–205 CWA (Clean Water Act), 1:428
critical business functions, 1:205–208 CWS (Church World Service), 2:666
business continuity life cycle, 1:206 cyanogen chloride, 1:111
business continuity plan, 1:206 cyber crime, 1:215–217, 2:1015
disaster recovery plan, 1:206–207 characteristics, 1:216
hazard vulnerability assessment, 1:206 in cyberspace, 1:215
ICS, 1:207 types of, 1:216–217
insurance, 1:207 cyber security, 1:217–219
invoking plans, 1:207 achieving, 1:219
succession plans, 1:207 authentication, 1:218
Critical Incident Response Group (CIRG), 1:401 availability, 1:218
critical infrastructure, 1:208–212 characteristics, 1:218
case study, 1:210 complex system, 1:218–219
classifications, 1:208 confidentiality, 1:218
communications, 1:208 definitions, 1:217–218
emergency services, 1:208 nonrepudiation, 1:218
energy, 1:208 cyber warfare, 1:219–221, 2:1015
finance, 1:208 actors, 1:220
food, 1:208 nature of, 1:220–221
government, 1:208 cyclones. See hurricanes, typhoons, and cyclones
health, 1:208
measuring risks, 1:208–211 D
protecting, 1:211 damage
transportation, 1:208 data, 2:1015
United Kingdom, 1:209 infrastructure, 1:269
water, 1:208 property, 1:2, 1:3
Critical Infrastructure Program for Modeling and damage assessment, 1:223–226
Analysis (CIPMA), 1:535 benefits, 1:229–230
criticality, 2:1014–1015 case study, 1:227
criticality assessment, 1:212–215, 2:1015 future, 1:224–225
benefits, 1:214 history and methods, 1:223–224
case study, 1:213 IDA, 1:224
evolution, 1:214–215 methods, 1:229
infrastructure identification, 1:212–214 missing pieces and opportunities, 1:225–226
prioritization, 1:214 PDA, 1:224, 1:272, 1:274
as process, 1:212–214 psychological damage, 1:229
protection, 1:214 through response, 1:229
Croatia, 1:xxviii TDA, 1:224, 1:226
1094 Index

damage containment, 1:226–230 famine and, 1:398–399

in Mitroff’s five stages of crisis management, 2:630 foreign policy crises, 1:420–421
planning, 1:226–229 for greater good, 1:246
dams, levees, and seawalls, 1:230–231 group, 1:248
DARTs (Disaster Assistance Response Teams), 1:120 improvising, 1:495–496
Darwin, Charles, 2:800 locality and, 1:54
data harvesting, 2:754 NDM, 1:249
data mirroring, 1:231–233 operational plans, 2:690–691
achieving, 1:232–233 pre-crisis, 1:244–245
storage replication, 1:232 process, 1:244
data recovery, 1:234–236, 2:1015 prospect theory, 1:248
activities, 1:235 sensemaking, 1:248–249
backup media, 1:235 situational awareness, 1:249
bunkers, 1:235 wrong decisions, 1:246
business impact analysis, 1:234 decision making, theories of, 1:247–249
objectives, 1:234–235 causal versus evidential theories, 1:247–248
databases rationality and optimality, 1:247
backup strategy, 1:32 decision making under stress, 1:249–252
losses, 2:580 causes, 1:251
replication, 2:624–625 impact, 1:251
DDoS (distributed denial of service attack), 1:220, literature, 1:250
2:1016 reducing, 1:251–252
DDT, 1:xxxiv, 1:373 decision stream, 1:252–254
de Gaulle, Charles, 1:xxxi case study, 1:253
de novo, 1:41, 2:1015 evaluation, 1:252
DEA (Drug Enforcement Administration), 1:400 FEMA and, 1:252
Dead Hand program, 1:548 integrated data flow, 1:252–253
DeBlasio, Allan J., 1:191 market share and fiscal reductions, 1:253–254
debriefing, 1:236–239, 2:1015 Sync Matrix, 1:252
analysis, 1:236, 1:238–239 decision support tools, 1:254–256, 2:1015
event reconstruction and investigation, 1:236–237 components, 1:255
experiential learning, 1:236 future trends, 1:255–256
learning, 1:236 limitations, 1:255
mental health, 1:237–238 merits of, 1:254–255
Mitchell debriefing method, 2:737–738 decontamination, 1:455–456
post-crisis analysis, 1:236, 1:238–239 dedicated site, 1:256–258. See also alternate site,
public confidence building, 1:238 corporate; cold sites; hot sites; warm site
research, 1:238 characteristics, 1:257–258
screening for mental health issues, 1:237–238 EOCs, 1:257–258
September 11, 2001, terrorist attacks, 1:236 immunity, 1:258
debris management, 1:239–240 Internet access, 1:257
Hurricane Katrina, 1:240 organized response, 1:257
pre-event planning, 1:240 runners, 1:257
process, 1:239–240 de-duplication, 1:32–33
removal and disposal, 1:240 Deepwater Horizon oil spill, 1:xxxiv–xxxv, 1:198,
debt crisis, 1:241–244 1:229, 1:409, 2:728, 2:774, 2:858
financial instability, 1:242–243 deforestation, 1:258–261
financial instability hypothesis, 1:242 Amazon rainforest, 1:259–260
research, 1:242 conflict in forest, 1:260
typologies, 1:241–242 effects, 1:259–260
decision making, 1:244–246. See also political reforestation, 1:260
organizational leadership defusing, 2:1015
adaptive optimizing decision, 1:55 degue fever epidemic, 1:xxxv
alternative possibilities, 1:55 deindividuation theory, 2:577
case studies, 1:245 delegation
difficult decisions, 1:245–246 for continuity of government, 1:166–167
early warning systems, 1:307 emergency public information, 1:358–359
emergency public information, 1:358–359 Deming, W. Edwards, 1:165
 Index 1095

demining, 2:563 diagnosis

Democratic National Convention protest, 1968, Ebola virus, 1:314
1:xxxii infectious disease, 1:517–518
Democratic Republic of Congo, 1:xxxii malaria, 2:587
denial-of-service attack, 1:261–262 measles, 2:609
ethics and legality, 1:261 tuberculosis, 2:958–959
examples, 1:262 Diagnostic and Statistical Manual of Mental
prevention and motivation, 1:261–262 Disorders (DSM-IV), 2:714
denouncement, 2:859 digital video disc (DVD), 1:29, 1:35
DEO (Division of Emergency Operations), 1:104 Dimon, Jamie, 1:xxxv–xxxvi
Department of Health and Human Services, 1:7, Diocletian, 1:xxvii
2:785 diphtheria, 1:7
Department of Homeland Security (DHS), 1:xxxiv, dirty bombs, 2:680–681
1:13, 1:119, 1:262–264, 2:1015 dirty rainstorms, 1:xxxi
CPIMD, 1:158 disasters, 1:1, 1:187, 2:846. See also catastrophe,
crisis management, 1:263 definition of; National Voluntary Organizations
FEMA and, 1:263, 1:402 Active in Disaster (NVOAD); Voluntary
hazardous waste disposal and, 1:458 Organizations Active in Disaster (VOAD); specific
Hurricane Katrina and, 1:263–264 disasters
NCFPD, 1:186 Center for Research on the Epidemiology of
NIMS and, 1:263 Disasters, 1:99
NPS, 1:158 Chernobyl Nuclear Power Plant disaster, 1:xxxiii,
organization, 1:263 1:97, 1:227, 1:239, 2:684
problems, 1:263–264 Chicago nightclub disaster of 2003, 1:384
provisions, 1:14 IDNDR, 1:118
response levels, 1:2–3 ISDR, 1:69
September 11, 2001, terrorist attacks and, ITDR, 1:74
1:264 looting after, 2:576
Department of Justice, 1:252 MDS, 2:667
Department of Transportation (DOT), 1:453 myths, 2:603
dependency, 1:47 natural, 1:143
business impact analysis, 1:86 NDR, 2:667
sensitive dependence on initial conditions, NECHAMA: Jewish Response to Disaster,
1:105 2:667
dependent crown fire, 2:1000 news media in, 2:659–661
deregulation, 1:525 PDA, 2:668
derived credibility, 1:185 Piper Alpha, 1:250–251
destabilize, 2:1015 Presidential Disaster Declaration, 1:3
Detroit race riots, 2:578 Three Mile Island nuclear power plant, 1:409,
development 2:684
ADMARC, 1:399 UNISDR, 1:154–155, 1:489
crisis information management systems, disaster, definition of, 1:264–265
1:193–195 hazards, 1:266
crisis simulations, 1:200 natural and human made, 1:265–266
disaster risk reduction, 1:290–292 disaster assessment, 1:266–271
ERAD, 2:666 case study, 1:269–270
hazard mitigation, 1:447–448 environment, 1:269
IFAD, 1:416 food, 1:269
incident action plans, 1:499 format, 1:267
NIMS, 1:173 general description, 1:269
safety policies, 2:852–853 health, 1:270
scenario planning, 2:862 infrastructure damage, 1:269
UNDP, 1:289 objectives, 1:267
UNDP-BCPR, 1:69–70 process, 1:270
UNICEF, 1:537 sanitation, 1:269–270
Devlin, Edward S., 1:511 shelter, 1:269
DeWitt Stern, 2:809 situation assessment, 1:267–270
DHS. See Department of Homeland Security (DHS) teams and stakeholders, 1:267
1096 Index

transportation, 1:270 Rocky Mountain spotted fever, 1:43, 1:521

water, 1:269 VPDs, 2:969
Disaster Assistance Response Teams (DARTs), 1:120 dispersed storage, 1:33
disaster declaration, 1:271–273 disruption of organizations, 1:292–294
disaster declaration officer, 1:273–274 business organizations, 1:293
federal, 1:274 conceptualization of change, 1:293–294
local, 1:273 public organizations, 1:292–293
rescinding the declaration, 1:274 distributed denial of service attack (DDoS), 1:220,
state, 1:273–274 2:1016
disaster drills, 1:274–278 Division of Emergency Operations (DEO), 1:104
designing, 1:275–276 Division of Select Agents and Toxins (DSAT), 1:104
evaluating, 1:276–277 Division of State and Local Readiness (DSLR), 1:104
final outcome, 1:277 DNA engineering, 1:40–42, 2:567
participants, 1:276 Doctors Without Borders, 1:xxxv, 1:153,
disaster management, 2:1016 1:294–296
disaster recovery, 1:278–282 during armed conflicts, 1:296
business recovery, 1:281 epidemics and, 1:296
case study, 1:280 HIV/AIDS and, 1:295
infrastructure recovery, 1:281–282 organization, 1:294–295
mental health, 1:278–279 partnerships, 1:296
objectives, 1:279–281 team medical equipment, 1:295–296
social and community, 1:279 documentation, 1:297–298. See also auditing;
disaster recovery life cycle, 1:282–284 journaling; reporting
assessment and coordination, 1:282–283 documentary interviews, 2:616
economic revitalization, 1:283 improvising, 1:496–497
exit of external actors, 1:284 prevention, 2:755
local empowerment, 1:283–284 risk assessment, 2:840
new normal, 1:284 dollar, 1:64
rebuilding and mitigating, 1:283 Domestic Security Alliance Council (DSAC), 1:401
transitioning out of response, 1:283 domestic terrorism, 2:927
disaster recovery plan test cycle, 1:284–289 Dominican Republic, 2:1007
checklists, 1:286 DOT (Department of Transportation), 1:453–454
enhancing effectiveness, 1:287–288 Dovers, Stephen, 1:445
beyond formal cycle, 1:288 downtime, 1:298–300
full-scale, 1:287 areas of and causation, 1:299
limiting factors, 1:285 impact, 1:299
parallel testing, 1:287 planned or unplanned, 1:298
prioritizing, 1:285–286 preparedness and mitigation, 1:299–300
simulation, 1:287 Drabek, Thomas, 1:173, 1:188
testing cycles, 1:286 DRC (Disaster Research Center), 1:293
walk-through and tabletop exercises, 1:286–287 drift, 2:1016
disaster recovery testing, 2:1016 drills, 2:1016. See also disaster drills
Disaster Relief Act of 1974, 1:24 agency notification and mobilization, 1:1
Disaster Research Center (DRC), 1:293 crisis simulations, 1:201
disaster risk reduction, 1:289–292, 1:540–541 drought, 1:xxxiii, 1:191, 1:300–301, 2:1016.
defining, 1:289 See also famine
development, 1:290–292 agricultural, 1:300–301
planning, 1:290 assessment and management, 1:301
disease. See also cholera; Ebola virus; epidemics; definitions, 1:300–301
infectious disease; malaria; mental illness; Drought Relief Service, 1:xxxi
noncommunicable diseases; pandemics; public East Africa, 1:xxxv
health surveillance; specific diseases hydrological, 1:300
analogy for Fink’s crisis life cycle, 1:408–409 meteorological, 1:300
communicable disease threats, 1:7–8 socioeconomic, 1:301
Emergency Prevention System for Transboundary vulnerability, 1:301
Animal Plant Pest and Diseases, 1:416 DRR. See disaster risk reduction
influenza outbreak of 1918, 1:377 drug cartels, 2:1020
ISDS, 1:377 Drug Enforcement Administration (DEA), 1:400
 Index 1097

drug resistance, 1:302–304, 2:1016 EAS. See emergency alert systems

causes, 1:302 e-audits, 1:21–22
malaria, 1:303–304 Ebola virus, 1:xxxii, 1:43, 1:103, 1:312–315
shigellosis, 1:303 as bioweapon, 1:314
Staphylococcus aureus, 1:303, 2:1016 classification and subtypes, 1:313
tuberculosis, 1:302–303 incubation, symptoms, diagnosis, 1:314
drug trafficking, 2:1015 natural reservoir, 1:313
Dryburgh, Martinella M., 2:998 outbreaks, 1:312
DSAC (Domestic Security Alliance Council), 1:401 prevention, treatment, management, 1:314
DSAT (Division of Select Agents and Toxins), 1:104 transmission, 1:314
DSLR (Division of State and Local Readiness), 1:104 EBS (Emergency Broadcast System), 1:325
DSM-IV (Diagnostic and Statistical Manual of eccentricity, 1:132
Mental Disorders), 2:714 economic revitalization, 1:283
DST. See decision support tools ecosystem, 2:1019
Ducat, Arthur, 1:xxix Ecuyer, Simon, 1:43
Dugan, Laura, 2:927 ED (emergency department), 1:476–479
Duma, 1:16 EDCs (endocrine disrupting contaminants), 1:373
Dunkel, N. W., 2:875 Edelsky, Carole, 2:717
Dust Bowl, 1:xxxi education, 2:870–871. See also financial risk
DVD (digital video disc), 1:29, 1:35 management in higher education; learning; public
Dyer, C., 2:597 awareness and education; training
dynamic classification system, 1:130 EDXL (Emergency Data Exchange Language), 1:196
Dynes, Russell, 1:293, 2:576 EEIS (essential elements of information), 1:223
EHEs (extreme heat events), 1:464–465
E EHP (Earthquakes Hazard Program), 2:965
EAMONs (emergent multiorganizational networks), elderly
1:383 social distancing, 2:885
early warning systems, 1:305–310, 2:1016 electricity, 2:1019
case study, 1:308–309 electronic media, 1:315–318
crisis decision making, 1:307 archiving, 1:317
early alert systems compared to, 1:325 classification and characteristics, 1:316–317
first models, 1:305–306 content, 1:316
Hurricane Katrina, 1:309 convergence, 1:316
interagency roles, 1:307 data security and confidentiality, 1:319
technology, 1:306–307 features, 1:315–316
earthquakes, 1:3, 1:310–312. See also Great Eastern information dissemination, 1:316–317
Japan Earthquake and Tsunami (GEJET); tsunamis; monitoring, 1:317
U.S. Geological Survey (USGS) one-way communication systems, 1:315
all-hazards model, 1:310 proactive business continuity, 1:319
avalanches and landslides from, 1:22–24 public discourse, 1:317
Canterbury, New Zealand earthquakes, 1:280 reduced recovery point objective, 1:319
EHP, 2:965 trends, 1:316
Guatemala City, 1976, 1:9 velocity, 1:315
Haiti earthquake, 2010, 1:xxxiv, 1:99, 1:118, electronic vaulting, 1:318–320, 2:1016
1:189, 1:194, 1:293, 2:572, 2:794–795, offsite data storage, 1:318
2:1007 process, 1:318
Hebgen Lake, Montana earthquake of 1959, 1:328 reduced recovery time objective, 1:318–319
Marmara Turkey earthquake, 1999, 1:268–269 electronics waste, 1:320–321
NEHRP, 1:311, 2:956 corporate and social responsibility, 1:321
Northridge, California earthquake of 1994, as crisis for organization, 1:321
1:368369 sources and problems, 1:320–321
NSF and, 1:311–312 EMAC (Emergency Management Assistance
planning programs, 1:311–312 Compact), 1:145, 1:174, 1:511
San Adreas Fault, 1:311 EMAHC (Emergency Management Ad Hoc
San Francisco earthquake, 1906, 1:xxx, 1:67 Committee), 2:888
U.S. seismic activity and threat, 1:311 EMAP (Emergency Management Accreditation
USGS monitors, 2:582 Program), 1:141
Earthquakes Hazard Program (EHP), 2:965 embryonic whistle blowers, 2:997
1098 Index

EM-DAT, 1:321–323 Emergency Management and Business Continuity,

aims and attributes, 1:322 1:21
reach and influence, 1:322–323 Emergency Management Assistance Compact
emergencies, 1:187. See also crisis, definition of; (EMAC), 1:145, 1:174, 1:511
disaster; Federal Emergency Management Agency emergency management system, 1:338–343
(FEMA); hospital emergency room; routine history, 1:338
emergencies versus true crisis ICS, 1:339–341
emergency response plans, 1:1 MMAA, 1:341
emergency shelter, 1:2 MSCC, 1:342–343
EOC, 1:12, 1:27 multiagency coordination, 1:341
MERS, 2:633–634 NIC, 1:342
multidimensional emergency management, 1:11 OASIS, 1:342
readiness in, 1:324 operational area, 1:342
emergency, definition of, 1:323–325 SEMS, 1:338–339
characteristics, 1:324 emergency manager, 1:343–345
emergency powers, 1:324–325 current role, 1:344
occurrence, 1:323 professionalism, 1:344–345
state of emergency, 1:324 emergency medical care, 1:345–349. See also triage
emergency alert systems, 1:325–327, 2:1016 AEMT, 1:345
criticism and potential, 1:326–327 CPR and, 1:345
early warning systems compared to, 1:325 current efforts, 1:346–347
FCC and, 1:325–326 EMTs and, 1:345–347
FEMA and, 1:325 future efforts, 1:347–348
integrated public alert network, 1:326 history, 1:346
national, 1:325–326 MVA and, 1:347
readiness, 1:326 NAEMT, 1:346
Emergency Broadcast System (EBS), 1:325 service levels, 1:345–346
Emergency Data Exchange Language (EDXL), emergency medical services (EMS), 1:161, 2:1017
1:196 emergency medical technicians (EMTs), 1:345–347,
emergency department (ED), 1:476–479 1:363, 2:860
emergency management, principles of, 1:327–331 emergency medicine, 1:349–353, 2:1016.
collaborative, 1:330 See also triage
comprehensive, 1:329–330 ACLS, 1:349
coordinated, 1:330 ALS, 1:349
definitions, 1:327–328 ATLS, 1:349
flexible, 1:330–331 ETS, 1:351
integrated, 1:330 HEIC, 1:352
mental models, 2:613–614 hospital planning, 1:351
mitigation, 1:328–329 planning principles, 1:350–351
participants and players, 1:331 response, 1:352
phases, 1:328–329 strategy, logistics, tactics, 1:349–350
practical drift, 2:741–742 tools, 1:349
preparedness, 1:329 training, 1:351–352
professional, 1:331 triage a