Strengthening the Disaster Resilience of the Academic Biomedical Research Community Protecting the Nation's Investment (2017) / Chapter Skim
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3 Defining the Academic Biomedical Research Community in the Context of Disaster Resilience
3 Defining the Academic Biomedical Research Community in the Context of Disaster Resilience
Pages 85-134
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From page 85... ...
3 Defining the Academic Biomedical Research Community in the Context of Disaster Resilience FIGURE 3-1 University of Texas Medical Branch investigator checkpoint staffed by Environmental Health and Safety employees following Hurricane Ike. All returning research staff were required to check in for escort to their research laboratories.
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From page 86... ...
Academic research institution refers to any academic institution of higher education or research institute that supports multiple research projects. An academic research institution typically consists of the following key elements and personnel that support its research enterprise: research faculty, laboratory staff, and students and trainees; a president; a provost; a chief financial officer; a vice president for research; deans; an emergency management department; an environmental health and safety department; campus security and fire; capital planning and facilities services; human resources; grants management offices, legal department; a biological and radiological safety office; information technology; and governing boards and bodies.
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From page 87... ...
This chapter further describes the crosscutting work of the emergency management department, which is by definition charged to lead and coordinate institutional preparedness, response, and recovery activities. The discussions in this chapter provide the necessary background to understand the appropriate authorities and communication paths necessary for developing effective disaster planning and management and achieving resilience.
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From page 88... ...
This model may make it easier for disparate stakeholders to work together to build a strong culture of resilience. CORE STAFF FUNCTIONS OF AN ACADEMIC RESEARCH INSTITUTION In this section, the roles and responsibilities of departments or departmental functions and personnel relative to disaster resilience planning are delineated.
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From page 89... ...
The gray box highlights an example of the organizational structure of the research enterprise, the focus of this report. The committee acknowledges that the organizational structure can differ significantly between academic research institutions and that the degree to which an institution's research activities and finances are centralized or decentralized affects the feasibility of implementing various mitigation strategies.
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From page 90... ...
Each of these important functions will be discussed in more detail below. The Principal Investigator and Individual Research Laboratories For the purposes of this report, the committee considers the PI to be the key element of the academic biomedical research community around which the academic research institution must build its support structure.
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From page 91... ...
The PIs and their laboratory members are in the best position to under stand the specialized needs of their specific research as well as the most important and vulnerable reagents and other resources needed for their research. To promote a resilient laboratory, it is important for PIs to engage in disaster resilience planning with institutional leadership.
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From page 92... ...
As students and trainees gain experience conducting research in a laboratory, they can reflect an institution's commitment to disaster resilience by participating in disasterresponse training exercises that occur in the laboratory setting. They can also engage their peers in institutional training exercises and lead the student body in fostering awareness of disaster resilience planning efforts.
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From page 93... ...
Table 3-1 lists the suggested roles that individual research laboratories can take to promote disaster resilience. The Academic Research Institution Most institutions use some type of department structure to provide guidance and support to PIs, and the research department is the primary authority structure over PIs (see Figure 3-2)
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From page 94... ...
authorities • Define the characteristics of a resilient laboratory, assess vulnerabilities, and mitigate the deficiencies • Work with leadership to develop procedures to ensure controlled access to facilities after disaster • Participate in trainings and exercises Research students and • Promote awareness of institutional disaster planning efforts trainees • Participate in trainings and exercises Research animal care • Oversee the protection of animals staff • Participate in trainings and exercises university policies and procedures, and for promoting the development of the institution. The role of the president has expanded in recent decades, and, in addition to these stated responsibilities, the president also is responsible for representing the institution, for persuading faculty members to support the institution's mission and vision, for raising money, for organizing staff and administrators, and for presiding over ceremonial events (Bok, 2015)
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From page 95... ...
Because of the provost's oversight of research, a particular focus of his or her work could be to ensure that the institution's governing body considers the importance of preserving the research mission in the event of a disaster. The provost could participate in disaster resilience planning efforts either directly or by delegation of authority in order to ensure adequate engagement in these processes.
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From page 96... ...
Working with the provost and the leadership of facilities services, the vice president for research could develop plans for the preservation of an institution's research mission. Because the loss of or damage to research materials due to a disaster could have extensive negative effects, the vice president for research could work with research faculty and staff to assess research facilities; develop plans for the protection of research materials, animals, and equipment; and develop contingency plans for the continuation of research in case of a disaster.
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From page 97... ...
The vice president for research also ensures compliance of the institution's research enterprise with state and federal regulations and ensures compliance with grant and contract obligations. The vice president for research has oversight of the institutional review board and ensures the humane use and treatment of animals used in research.
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From page 98... ...
Emergency Management Department Emergency management departments play an integral role in an institution's vision for disaster resilience. Working with the president to set the direction of disaster resilience efforts, emergency management departments are responsible for planning for disasters by developing, testing, and implementing effective protocols and procedures that protect employees, students, animals, and research in an institution.
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From page 99... ...
In the event of a disaster, emergency management departments will facilitate the activation of the institution's crisis management team, ensure an ICS structure is in place that is able to communicate with internal partners and establish a unified command with external partners, and coordinate institutional response with the aim of protecting lives and property, limiting the disruption of the institution's mission and operations, and guiding recovery efforts in concert with local, state, and federal agencies. The closer the emergency management department is to senior leadership, the more effective it can be in engaging personnel and departments in disaster resilience efforts (see Box 3-1)
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From page 100... ...
Emory University and Johns Hopkins University are both national research institutions and academic health centers comprising multiple schools, research centers, and hospitals conducting biomedical research. Their central and highly placed emergency management departments provide enterprise-wide coordi nated disaster planning and response capabilities in a multidisciplinary environ ment with complex structure and governance.
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From page 101... ...
Finally, these entities become essential in implementing these response plans during and after actual disasters. Office of Risk and Insurance Services The office of risk and insurance services is responsible for securing robust insurance policies that protect the academic research institution as a whole as well as policies that protect the research enterprise (including, when possible, securing insurance for research samples)
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From page 102... ...
Human Resources Human resources departments often have a variety of responsibilities. Generally in an academic research institution, human resources staff are responsible for the administrative and operational tasks of training and career development for employees; the management of employee performance, selection and staffing, and compensation and benefits; employee assistance; and union and labor relations (Gilley and Gilley, 2006)
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From page 103... ...
provide ongoing assistance to departments and investigators in managing employees in order to maintain a suitable workspace that is in compliance with regulations. Human resources departments can facilitate disaster resilience planning by organizing response training programs within the institution and in collaboration with local areas.
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From page 104... ...
There are often separate offices to oversee the use of radiation, chemicals, and infectious agents. The radiation safety office is responsible for training all investigators who can potentially be exposed to radiation in the research environment, for monitoring the purchase and receipt of radio ctive compounds, and for assisting in the safe disposal of used radio a active compounds.
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From page 105... ...
Governing Bodies Governing bodies of institutions, whether at the state or the institutional level, are primarily responsible for gathering resources and working to fulfill the research mission of the institution. Governing bodies typically have oversight of the broad goals of the institution.
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From page 106... ...
106 PROTECTING THE NATION'S INVESTMENT TABLE 3-2 Suggested Roles of Key Institutional Personnel in Disaster Resilience Key Component of the Academic Biomedical Research Community Suggested Roles in Disaster Resilience President • Identify and support leaders responsible for institutional disaster preparedness and response • Give priority to disaster resilience planning • Preserve the research mission through supporting policies founded in risk management • Empower individuals to direct institutional emergency response efforts • Support partnership with local, state, and federal entities to foster disaster resilience efforts • Participate in trainings and exercises Provost • Work with the president and institutional governing bodies to preserve the research mission • Ensure a resilience function for the research enterprise (chief resilience officer and research enterprise planning committee) with sufficient staff and resources and ensure coordination with institutional resilience efforts • Support disaster resilience planning efforts • Augment the president's efforts to create partnerships outside the institutional community that can aid in disaster resilience • Participate in trainings and exercises Chief financial officer • Work with institutional leaders to preserve the research mission • Give priority to the creation of a business continuity plan • Anticipate critical financial needs of the institution and the institution's research enterprise in the event of a disaster • Participate in disaster resilience planning activities • Participate in trainings and exercises Vice president for • Work with institutional leaders and key stakeholders in the research research enterprise and participate in processes that develop plans to protect human life, protect research animals, protect property and the environment, and maintain the integrity and continuity of research • priorities and champion funding for the rehabilitation of Set facilities that do not meet established performance goals • Give priority to and fund the repair and reconstruction of damaged facilities • Participate in trainings and exercises Deans • Work with individual departments, department heads, and chairs to promote disaster resilience efforts • Support disaster resilience efforts at the department level • Participate in trainings and exercises
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From page 107... ...
DEFINING THE COMMUNITY IN THE CONTEXT OF DISASTER RESILIENCE 107 TABLE 3-2 Continued Key Component of the Academic Biomedical Research Community Suggested Roles in Disaster Resilience Development office • Obtain financial support for disaster resilience efforts for the research enterprise Emergency • Lead institutional multidisciplinary disaster preparedness management planning department • Conduct threat and hazard identification and risk assessments • Understand local and regional hazards • Develop, test, and implement effective emergency operations plans and recovery plans • Maintain primary responsibility for disaster response and recovery efforts • Develop and execute institutional disaster exercises and drills Environmental health • Ensure implementation of appropriate safety precautions and safety department • Work with emergency management and other partners to ensure the security of biological, chemical, and radiological stock and to develop emergency-response plans and recovery plans • Participate in trainings and exercises Campus life, housing, • Plan to provide housing and food for the institution in the and food services event of a disaster • Participate in trainings and exercises Government affairs • Solicit, coordinate, and disseminate information to local, state, and federal agencies before, during, and after a disaster • Participate in trainings and exercises Health services • Provide care, services, and support to students and the institution in the event of a disaster • Provide triage and supportive care, assist with evacuation, and coordinate with institution and community resources • Participate in trainings and exercises Campus security and • Work with emergency management to develop emergency fire response and recovery plans • Coordinate with community police and fire rescue services to develop joint response plans • Participate in trainings and exercises continued
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From page 108... ...
• Participate in trainings and exercises Legal department • Ensure compliance with local, state, and federal regulations • Participate in trainings and exercises Biological and • Train researchers in exposure prevention and protocol and in radiological safety safe handling of hazardous materials offices • Monitor radioactive compounds • Dispose of hazardous material safely • Participate in trainings and exercises
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From page 109... ...
Institutional Governing Bodies Institutional governing bodies (e.g., boards of trustees, regents, visitors, directors, or supervisors) often have fiduciary responsibility over an institution and are often responsible for creating a strategic approach that enables an institution to achieve its goals (Dunlop et al., 2011)
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From page 110... ...
. The responsibilities of institutional governing bodies differ according to the policies and procedures delineated in each organization's bylaws; however, because of the fiduciary responsibility they possess, these governing bodies naturally have a role in overseeing disaster resilience planning efforts within institutions and surrounding local areas.
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From page 111... ...
. Research Space Research Campus In the same way that the organizational structure differs widely among academic research institutions, the physical structure and layout of campuses also varies.
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From page 112... ...
It may be difficult to coordinate cross-disciplinary research, and it may be even more difficult to coordinate disaster resilience planning efforts. An academic research institution having multiple campuses, or satellite campuses, increases the need for the planning process to cover all locations and to facilitate communications between the campuses.
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From page 113... ...
Smaller liquid nitrogen Dewar storage tanks are more common and typically only need replenishment once per month. Research spaces are often customized to facilitate specific projects.
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From page 114... ...
These facilities are specifically regulated through the Federal Select Agent Program and are additionally regulated by some state and local regulations in some areas, which mandate that there are specific disaster preparedness procedures in place. Equipment and Expertise Cores Modern biomedical research often requires the use of equipment that is either too expensive or too complex for a single laboratory to operate.
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. For example, following Hurricane Sandy, ensuring that core resources were operating in the immediate aftermath was an efficient method to help laboratories recover research capacity (Mische and Wilkerson, 2016)
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Research Involving Animals Research involving animals requires special attention in this report because research animals are sentient beings that are totally dependent upon humans for their care and welfare. Their presence within a disaster impact area markedly influences the character and intensity of necessary response efforts.
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Detailed discussions about disaster resilience and animal research can be found in Chapter 7. Data There are many reasons why biomedical research institutions need to protect the integrity of the data they have already collected.
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From page 118... ...
Hazardous Reagents and Select Agents There are a number of types of reagents that pose hazards to anyone handling them, including the investigators themselves or emergency personnel returning to a laboratory environment following a disaster. All research laboratories are monitored to ensure appropriate training for staff and
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From page 119... ...
. FINANCIAL ASPECTS OF AN ACADEMIC RESEARCH INSTITUTION Academic research institutions receive funding from various sources, including tuition and fees, sales and service, grants and contracts, facilities and administrative cost reimbursement, charitable giving, athletic revenues, federal and state governments, and clinical practice.
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From page 120... ...
Though institutions may draw funding from these sources, each institution should maintain a dedicated budget for disaster resilience planning efforts. Insurance and Clinical Practice Academic research institutions that have health centers can generate revenue through clinical practice.
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From page 121... ...
may find the overall financial benefits of this strategy to be fewer than expected. In addition to their funding contributions, athletics departments can potentially have a direct role in disaster response, as was demonstrated
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. Disaster resilience planning efforts require effort at all levels and from all areas of an academic research institution.
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. Revenue received for indirect costs is a possible source to strategically fund resilience efforts that contribute to the mitigation of the potential disaster impacts on an institution's research enterprise.
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138) noted that while most royalties and intellectual property rights provide only a "relatively small income" for research centers, successful research enterprises benefit the reputation of a university and can create jobs within the local community.
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From page 125... ...
Many of the support services critical to the research process are also on alternate report ing structures. From an administrative perspective, only an individual higher in the administration at the academic research institution is most appropriate to lead disaster resilience planning efforts for the research enterprise because it will ensure resilience planning efforts extend directly to all components of research activity and support.
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From page 126... ...
The key takeaway is that this function resides at a high level within the institutional research leadership and integrates with the framework for institutional disaster preparedness. The chief resilience officer for the research enterprise should focus on plans specific to the research enterprise and complement the broader resilience efforts conducted by the institution.
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From page 127... ...
In order to ensure integration within the framework for institutional disaster preparedness, the chief resilience officer for the research enterprise should become part of the institution-wide planning committee (see Box 3-2) , typically chaired by emergency management, and work with the various stakeholders described in this chapter to explore strategies that can
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From page 128... ...
The emergency management leadership will also engage community partners in public safety, fire, emergency medical services, public health, and emergency management to ensure alignment of plans and unity of effort. The chief resilience officer for the research enterprise will serve on the institution-wide planning committee to ensure the considerations of the academic research enterprise are represented and coordinated with the overall institutional disaster resilience efforts.
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From page 129... ...
Designate a Qualified, Senior Individual with Oversight of Disaster Resilience Efforts for the Research Enterprise RECOMMENDATION 1: Academic research institutions should des ignate a qualified, senior individual with oversight of disaster resil ience efforts for the research enterprise. The qualified, senior individual should be integrated within the framework for institutional disaster preparedness to ensure that the research enterprise is represented in and coordinated with overall institutional disaster resilience efforts.
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:1–143. FEMA (Federal Emergency Management Agency)
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2015. The transformation of academic health centers: Meeting the challenges of healthcare's changing landscape.
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:1234. NCCPS (National Center for Campus Public Safety)
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2008. Towards a virtuous cycle: The changing face of academic health centers.
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