Strengthening the Disaster Resilience of the Academic Biomedical Research Community Protecting the Nation's Investment (2017) / Chapter Skim
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5 Prevention, Protection, and Mitigation Planning
5 Prevention, Protection, and Mitigation Planning
Pages 165-198
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5 Prevention, Protection, and Mitigation Planning FIGURE 5-1 Example of a NYU Langone preparedness initiative.
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While prevention is largely the responsibility of law enforcement, academic research institutions and their research enterprises also have a role to play. The National Prevention Framework is rooted in three important principles: engaged partnerships; scalability, flexibility, and adaptability; and readiness to act (FEMA, 2016b)
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; • The theft or diversion of mission-critical or high-value equipment; • Threats from activist groups; • The intentional release of, or exposure to, hazardous materials; • Sabotage or vandalism of chemicals or high-value equipment; • The loss or release of sensitive information; and • Rogue work or unauthorized laboratory experimentation. FEMA's National Prevention Framework suggests academic research institutions and their research enterprises should consider maintaining situational awareness of the current threat environment and should assist in preventing terrorism by identifying and reporting potential terrorism-related activity to law enforcement (FEMA, 2016b)
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Global Threat N Reduction Initiative has collaborated with academic research institutions
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. PROTECTION PLANNING The FEMA National Protection Framework describes what the whole community can do to safeguard against acts of terrorism, natural disasters,
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Academic research institutions and their research enterprises should identify relevant coordinating structures locally, regionally, and nationally to facilitate the sharing of timely information and best practices and to coordinate planning and response activities for the research enterprise. For example, under the Emergency Planning and Community Right-to-Know Act, local emergency planning committees (LEPCs)
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The affiliated DRU grant program was short-lived, lasting only one funding cycle, and fewer than 20 schools received grant funding for campus mitigation planning (National Disaster Resilient Universities Network, 2015)
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. Cybersecurity One core capability for the protection of academic research institutions and their research enterprises is cybersecurity (FEMA, 2016c)
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FEMA's National Protection Framework suggests academic research institutions and their research enter prises should ensure that physical, technological, and cyber measures are in place to control admittance to critical locations and systems within the research enterprise before, during, and after a disaster. If an academic research institution is used as a shelter, evacuation center, or first-responder staging area during or after a disaster, it is even more important to ensure measures are in place to control admittance to research facilities.
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Physical Protective Measures Developing the physical protective measures capability requires academic research institutions and their research enterprises to implement and maintain risk-informed actions and policies to protect researchers, research-related assets, and systems associated with key operational activities (FEMA, 2016c)
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Having robust procedures in place pre-disaster to identify and protect critical research-related assets, including data, samples, reagents, and specialized research equipment, is a key factor determining whether research can be conducted after the disaster (protection of research animals is discussed in more detail in Chapter 7)
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The sharing of best practices among laboratories regarding recordkeeping and the security of research data should be encouraged. Yale University developed the following checklist of business continuity considerations for critical documents and information technology (IT)
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. Yale University developed the following checklist of business continuity considerations for a loss of power (Yale University, 2016)
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Contact the facilities manager or superntendent if i unsure about backup power for the location. • Verify that freezers, refrigerators, incubators, and other tempera ture-sensitive equipment holding critical materials are connected to an emergency power supply, if available for the lab.
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Risk Management for Protection Programs and Activities The risk management for protection programs and activities core capability requires academic research institutions and their research enterprises to identify, assess, and prioritize risks in order to inform activities and investments (FEMA, 2016c)
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. ERM is discussed in further detail in the mitigation planning section below.
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By pre-identifying critical resources and having a plan to access them immediately after a disaster, research enterprises increase the likelihood that they will be able to procure these resources in a timely fashion. The University of California (UC)
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MITIGATION PLANNING This section will focus on some of the long-term actions that academic research institutions and their research enterprises can implement to enhance resilience. FEMA defines hazard mitigation planning as "any sustained action taken to reduce or eliminate long-term risk to people and property from natural hazards and their effect" (FEMA, 2015, p.
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. To help fund the mitigation planning process, qualifying institutions may be able to apply for funds through FEMA's Flood Mitigation Assistance Grant Program or Pre-Disaster Mitigation Grant Program.
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The PDMP is not an emergency plan, and it is not intended to be used to respond to emergencies when they occur. The PDMP is instead a structured document based on a risk assessment of all disasters that could affect the university, including the research enterprise, and it reviews mitigation actions that could be implemented before a disaster to make the university more resilient.
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(Klein, 2016) Emory University describes an ERM process, tailored to the needs of the academic institution, as enabling the institution to "manage its risk, prepare for adverse occurrences, and ensure that senior management is communicating with those in the field about key issues facing the university" (Klein et al., 2008)
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By examining the risks and weighting them based on a scheme that estimates the likelihood of occurrence as well as the impact on the institution's operations, the top risks are identified and presented to the executive committee. To prepare for an executive presentation, a risk management process owner (RMPO)
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The ERM process is an effective adjunct to other activities (e.g., emergency management and business continuity planning) aimed at mitigating the effects of a disaster.
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. The business continuity planning process informs disaster recovery strategies and potential investments in prevention and mitigation strategies, such as the relocation of critical infrastructure from high-risk areas.
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. The following factors have been cited as influencing the success of business continuity planning (Hanover Research, 2010)
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• A communications plan that reinforces the importance of the busi ness continuity planning process for broadly pursuing the institu tion's academic mission. • Clear and straightforward documentation of the plan that is acces sible to all participating operating units, avoiding overly burden some and complex structure and language.
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. Northwestern University's research continuity planning is facilitated by subject matter experts housed within the university's Office of Business Continuity Planning working closely with research department chairs, faculty, students, and staff.
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To address the prevention area, academic research institutions and their research enterprises should have a mechanism in place for developing relationships with local, state, and federal law enforcement and emergency management agencies in order to facilitate the smooth passage in either direction of information that could prevent a terrorist act that threatens the research enterprise or broader community. Academic research institutions and their research enterprises should plan to protect (and, if needed, restore)
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One of the primary functions of mitigation planning is to enable the academic research institutions and their research enterprises to identify and diminish risks prior to a disaster and to directly limit the impact of a disaster should one occur. Hazard mitigation planning, enterprise risk management, and business continuity are all approaches to mitigation planning that the academic research institution should consider implementing.
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Conclusion: As the individual most knowledgeable about the critical functions within the research laboratory environment, it is important for the PI to consider participating and providing leadership in the development and implementation of disaster resilience policies, plans, and procedures, such as BCPs. Ensure the Preservation of Research Data, Samples, and Reagents RECOMMENDATION 4: Principal investigators should work with their academic research institution to safeguard and preserve critical research data, samples, and reagents.
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2015. Hazard mitigation assistance guidance: Hazard mitigation grant program, pre-disaster mitigation program, and flood mitigation assistance program.
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2010. Best practices in business continuity planning in higher education.
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2017. Business continuity planning: Plan development.
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