Abdul-Akeem Sadiq and Jenna Tyler
Despite myriad descriptions and indicators used to define a fragile state, the international community has come to an agreement that a fragile state lacks the ability to maintain physical control of its territorial boundaries, provide basic public services, facilitate economic growth, and interact as a full member of the international community. Fragile states have historically experienced a disproportionate amount of natural disaster-related losses. For example, from 2005 to 2009, more than 50% of those impacted by a natural disaster lived in a fragile state, resulting in over $200 billion in losses. When natural disasters occur in such areas, they exacerbate already weak governance structures and further undermine their governments’ capability to respond to the crisis while simultaneously addressing challenges related to poverty and conflict. To remedy these and other complex issues inherent in fragile states, scholars are beginning to recognize the importance of investigating how fragile states can mitigate natural disaster losses through effective agency coordination and cross-sector collaboration. Agency coordination, in the context of natural disaster response, refers to the integration of facilities, equipment, personnel, and communication by public agencies for supporting incident response activities. Cross-sector collaboration refers to the sharing of information and resources by organizations in two or more sectors to achieve an outcome that cannot be produced by organizations in one sector alone. Because forecasts suggest that natural disaster-related losses will only increase in fragile states owing to population growth, urbanization, and climate change, there is a pressing need to understand the ways public organizations not only coordinate before, during, and after a natural disaster, but also how they collaborate across organizational sectors.
Rob A. DeLeo
Agenda setting describes the process through which issues are selected for consideration by a decision-making body. Among the myriad of issues policymakers can consider, few are more vexing than natural hazards. By aggregating (or threatening to aggregate) death, destruction, and economic loss, natural hazards represent a serious and persistent threat to public safety. While citizens rightfully expect policymakers to protect them, many of the policy challenges associated natural hazards fail to reach the crowded government agenda. This article reviews the literature on agenda setting and natural hazards, including the strain between preparing for emerging hazards, on the one hand, and responding to existing disasters, on the other hand. It considers the extent to which natural hazards pose distinctive difficulties during the agenda-setting process, focusing specifically on the dynamics of issue identification, problem definition, venue shopping, and interest group mobilization in natural hazard domains. It closes by suggesting a number of future avenues of agenda-setting research.
Bureaucratic politics, discretion, and decision-making for natural hazards governance present an important challenge of the use of autonomous bureaucratic discretion in the absence of political accountability. Understanding how these factors influence discretion and policymaking is of critical importance for natural hazards because the extent to which bureaucrats are able to make decisions means that communities will be safer in the face of disaster. But the extent to which they are held accountable for their decisions has significant implications for public risk and safety. Bureaucrats are unelected and cannot be voted out of office.
There are two significant areas that remain regarding the use of bureaucratic discretion in natural hazards policy. One key area is to consider the increasing emphasis on networked disaster governance on bureaucratic discretion and decision-making. The conventional wisdom is that networks facilitate disaster management much better than command and control approaches. However, the extent to which the use of bureaucratic discretion is important in the implementation of natural hazard policy, particularly for mitigation and preparedness, remains an open area of research.
The other key area is the influence of bureaucratic discretion and decision-making when communities learn after a disaster. The political nature of disasters and the professional expertise of public service professionals imply that in order to make communities safer, bureaucrats will have to use discretion to push forward more aggressive mitigation and preparedness policies. Bureaucratic discretion would need to be used for both political and policy purposes in order to engage in policy learning after disasters that produces a substantive change.
Collaboration and Cross-Sector Coordination for Humanitarian Assistance in a Disaster Recovery Setting
While known to be important and essential for improved effectiveness and efficiency, cross-sector coordination and collaboration among different actors engaged in postdisaster recovery is fraught with complications. Among the challenges are (a) who leads, and how; (b) the capacity and roles of the host government; (c) governance structures within organizations (which may differ a great deal); (d) assumptions of power; (e) the trade-off between valuing relationships and “getting the job done”; and (f) the varying constraints (and opportunities) of accountability. Recognizing the need to improve joint actions for a better response, the Humanitarian Reform Agenda (HRA), begun in 2005, led to the remolding of collective models of disaster response and the adoption of the global cluster system, which is essentially organized around the delivery of goods and services (sectors) by traditional aid actors such as the United Nations (UN), nongovernmental organizations (NGOs), and the International Red Cross and Red Crescent Movement. While the cluster system has largely been acknowledged as an improvement in collaboration among actors, a perennial challenge of cross-sector coordination remains. One of the opportunities for improvement lies in better and more predictable leadership, one of the key areas identified by the HRA. Another opportunity lies in changing the focus from a supply-driven approach of prioritizing what aid providers deliver to a demand-driven understanding, such as that offered by area-based approaches, wherein sectors are more closely aligned.
A common form of collaboration within aid is partnership between various actors (e.g., the United Nations or NGOs). Partnerships assume more than a constructing relationship: Effective partnerships emphasize the need for transparency and equity, along with being results-oriented and competent. Recognizing this, the Grand Bargain, resulting from the World Humanitarian Summit, noted that aid providers should engage with local and national responders in a spirit of partnership and aim to reinforce rather than replace local and national capacities.
Partnerships, however, fall short all too often, especially when one partner has power over the other, which is often the case. The report Time to Let Go, by the Overseas Development Institute (ODI), notes, for instance, that “the relationships between donor and implementer, aid provider and recipient, remain controlling and asymmetrical, and partnerships and interactions remain transactional and competitive, rather than reciprocal and collective.” The challenge remains to achieve the task at hand, while at the same time engaging in effective collaborative mechanisms that value the nature of the relationship. If this is not achieved, effective postdisaster recovery can be jeopardized.
Community-based approaches existed even before the existence of the state and its formal governance structure. People and communities used to help and take care of each other’s disaster needs. However, due to the evolution of state governance, new terminology of community-based disaster risk reduction (CBDRR) has been coined to help communities in an organized way. Different stakeholders are responsible for community-based actions; the two key players are the local governments and civil society, or nongovernment organizations. Private sector and academic and research institutions also play crucial roles in CBDRR. Many innovative CBDRR practices exist in the world, and it is important to analyze them and learn the common lessons. The key to community is its diversity, and this should be kept in mind for the CBDRR. There are different entry points and change agents based on the diverse community. It is important to identify the right change agent and entry point and to develop a sustainable mechanism to institutionalize CBDRR activities. Social networking needs to be incorporated for effective CBDRR.
This article considers how corruption affects the management of disaster mitigation, relief, and recovery. Corruption is a very serious and pervasive issue that affects all countries and many operations related to disasters, yet it has not been studied to the degree that it merits. This is because it is difficult to define, hard to measure and difficult to separate from other issues, such as excessive political influence and economic mismanagement. Not all corruption is illegal, and not all of that which is against the law is vigorously pursued by law enforcement. In essence, corruption subverts public resources for private gain, to the damage of the body politic and people at large. It is often associated with political violence and authoritarianism and is a highly exploitative phenomenon. Corruption knows no boundaries of social class or economic status. It tends to be greatest where there are strong juxtapositions of extreme wealth and poverty.
Corruption is intimately bound up with the armaments trade. The relationship between arms supply and humanitarian assistance and support for democracy is complex and difficult to decipher. So is the relationship between disasters and organized crime. In both cases, disasters are seen as opportunities for corruption and potentially massive gains, achieved amid the fear, suffering, and disruption of the aftermath. In humanitarian emergencies, black markets can thrive, which, although they support people by providing basic incomes, do nothing to reduce disaster risk. In counties in which the informal sector is very large, there are few, and perhaps insufficient, controls on corruption in business and economic affairs.
Corruption is a major factor in weakening efforts to bring the problem of disasters under control. The solution is to reduce its impact by ensuring that transactions connected with disasters are transparent, ethically justifiable, and in line with what the affected population wants and needs. In this respect, the phenomenon is bound up with fundamental human rights. Denial or restriction of such rights can reduce a person’s access to information and freedom to act in favor of disaster reduction. Corruption can exacerbate such situations. Yet disasters often reveal the effects of corruption, for example, in the collapse of buildings that were not built to established safety codes.
Deserai A. Crow
As with countless other policy areas, natural hazard policy can be viewed as a jurisdictional competition between executive and legislative branches. While policymaking supremacy is delegated to the legislative branch in constitutional democracies, the power over implementation, budgeting, and grant-making that executive agencies enjoy means that the executive branch wields considerable influence over outcomes in natural hazards policymaking. The rules that govern federal implementation of complex legislative policies put the implementing agency at the center of influence over how policy priorities play out in local, county, and state processes before, during, and after disasters hit.
Examples abound related to this give-and-take between the legislative and executive functions of government within the hazards and disaster realm, but none more telling than the changes made to US disaster policy after September 11th, which profoundly affected natural hazards policy as well as security policy. The competition and potential for mismatch between legislative and executive priorities has been heightened since the Federal Emergency Management Agency (FEMA) was reorganized under the Department of Homeland Security. While this may appear uniquely American, the primacy of terrorism and other security-related threats not only dwarfs natural hazards issues in the United States, but also globally. Among the most professionalized and powerful natural hazards and disaster agencies prior to 9/11, FEMA has seen its influence diminished and its access to decision-makers reduced.
This picture of legislative and executive actors within the natural hazards policy domain who compete for supremacy goes beyond the role of FEMA and post-9/11 policy. Power dynamics associated with budgets, oversight and accountability, and relative power among executive agencies are ongoing issues important to understanding the competition for policy influence as natural hazards policy competes for attention, funding, and power within the broader domain of all-hazards policy.
Natural disasters cause massive social disruptions and can lead to tremendous economic and human losses. Given their uncertain and destructive nature, disasters invariably induce significant governmental responses and typically pose severe financial challenges for jurisdictions across all levels of government. From a public finance perspective, disasters cause governments to incur additional spending on various emergency management activities, and by disrupting normal business activities they also affect tax base robustness and cause revenue losses. The question is: How significant are these fiscal effects and how do they affect hazards governance more generally? Understanding the fiscal implications of natural disasters is essential to evaluating the size of the economic costs of disasters as well as forecasting governments’ financial exposure to future shocks. Furthermore, how disaster costs are shared among different levels of government is another important question concerning the intergovernmental dynamics of disaster management.
In the U.S. federal system, the direct fiscal costs of natural disasters (i.e., increased government expenditures due to disaster shocks) are largely borne by the federal government. It is estimated that Hurricane Katrina cost the federal government approximately $120 billion while Hurricane Sandy cost $60 billion. Even in the years without large-scale disaster events, federal disaster spending is between $2 billion and $6 billion annually. Under the Stafford Act, the federal government plays a critical role in funding disaster-related programs (e.g., direct relief, mitigation grants, and subsidized insurance programs) and redistributing the actual costs of natural hazards, meaning that a considerable portion of the local disaster burden is shifted to all U.S. taxpayers. This raises a set of issues concerning the equity and efficiency of the U.S. disaster policy framework.
Managing disasters involves multiphased activities to mitigate, prepare for, respond to, and recover from disaster shocks. There is a common belief that the federal government inappropriately spends far more on ex post disaster response, relief, and recovery than what it spends on ex ante mitigation and preparedness, often driven by political motivations (e.g., meeting voters’ preferences for postdisaster aid) and the current budget rules. As pointed out by many others, federal disaster relief and assistance distort the subnational incentive to invest in local disaster prevention and mitigation efforts. Furthermore, given the mounting evidence on the cost-effectiveness of disaster mitigation programs in reducing future disaster damages, the current practice of focusing resources on postdisaster assistance means substantial public welfare losses. In recent years there has been a call for the federal government to shift its disaster policy emphasis toward mitigation and preparedness and also to facilitate local efforts on mitigation. To achieve the goal requires a comprehensive reform in government budgeting for emergency management.
In the context of this article, risk governance addresses the ways and means—or institutional framework—to lead and manage the issue of risk related to natural phenomena, events, or hazards, also referred to popularly, although incorrectly, as “natural disasters.” At the present time, risk related to natural phenomena includes a major focus on the issue of climate change with which it is intimately connected, climate change being a major source of risk.
To lead involves mainly defining policies and proposing legislation, hence proposing goals, conducting, promoting, orienting, providing a vision—namely, reducing the loss of lives and livelihoods as part of sustainable development—also, raising awareness and educating on the topic and addressing the ethical perspective that motivates and facilitates engagement by citizens.
To manage involves, among other things, proposing organizational and technical arrangements, as well as regulations allowing the implementation of policies and legislation. Also, it involves monitoring and supervising such implementation to draw further lessons to periodically enhance the policies, legislation, regulations, and organizational and technical arrangements.
UNISDR was established in 2000 to promote and facilitate risk reduction, becoming in a few years one of the main promoters of risk governance in the world and the main global advocate from within the United Nations system. It was an honor to serve as the first director of the UNISDR (2001–2011).
A first lesson to be drawn from this experience was the need to identify, understand, and address the obstacles not allowing the implementation of what seems to be obvious to the scientific community but of difficult implementation by governments, private sector, and civil society; and alternatively, the reasons for shortcomings and weaknesses in risk governance.
A second lesson identified was that risk related to natural phenomena also provides lessons for governance related to other types of risk in society—environmental, financial, health, security, etc., each a separate and specialized topic, sharing, however, common risk governance approaches.
A third lesson was the relevance of understanding leadership and management as essential components in governance. Drawing lessons on one’s own experience is always risky as it involves some subjectivity in the analysis. In the article, the aim has, nonetheless, been at the utmost objectivity on the essential learnings in having conducted the United Nations International Strategy for Disaster Reduction—UNISDR—from 2001 to around 2009 when leading and managing was shared with another manager, as I prepared for retirement in 2011.
Additional lessons are identified, including those related to risk governance as it is academically conceived, hence, what risk governance includes and how it has been implemented by different international, regional, national, and local authorities. Secondly, I identify those lessons related to the experience of leading and managing an organization focused on disaster risk at the international level and in the context of the United Nations system.
This is an advance summary of a forthcoming article in the Oxford Research Encyclopedia of Natural Hazard Science. Please check back later for the full article.
Natural hazards risk management has developed in conjunction with broader risk management theory and practice. Thus, it reflects a discourse that has characterized this field, particularly in the last decades of the 20th century. Effective implementation of natural hazards risk management strategies requires an understanding of underlying assumptions inherent to specific methodologies, as well as an explication of the process and the challenges embodied in specific approaches to risk mitigation.
Historical thinking on risk, as it has unfolded in the last few hundred years, has been exemplified by a juxtaposition between positivist and post-positivist approaches to risk that dominated the risk discourse in the late 20th century. Evolution of the general concept of risk and the progress of scientific rationality modified the relationship of people to natural hazard disasters. The epistemology, derived from a worldview that champions objective knowledge gained through observation and analysis of the predicable phenomena in the world surrounding us, has greatly contributed to this change of attitude. Notwithstanding its successes, the approach has been challenged by the complexity of natural hazard risk and by the requirement for democratic risk governance. The influence of civic movements and social scientists entering the risk management field led to the current approach, which incorporates values and value judgments into risk management decision making. The discourse that generated those changes can be interpreted as positivist vs. post-positivist, influenced by concepts of sustainability and resilience, and generating some common principles, particularly relevant for policy and planning. Examples from different countries, such as New Zealand, illustrate the strengths and weaknesses of the current theory and practice of natural hazards risk management and help identify challenges for the 21st century.