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Journal of Contingencies and Crisis Management Volume 21 Number 3 September 2013

PublicPrivate Partnerships for


the Development of Disaster
Resilient Communities
Justine Chen*, Ted Hsuan Yun Chen**,
Ilan Vertinsky***, Lilia Yumagulova**** and
Chansoo Park*****
*The Institute of Asian Research, University of British Columbia, V6T 1Z4, Canada. E-mail:
justine.iarapps@gmail.com
**Department of Political Science, Pennsylvania State University, 16802, USA. E-mail: thc126@psu.edu
***The Sauder School of Business and the Institute of Asian Research, University of British Columbia,
V6T 1Z4, Canada. E-mail: ilan.vertinsky@ubc.ca
****School of Community and Regional Planning, University of British Columbia, V6T 1Z4, Canada.
E-mail: lily.yumagulova@gmail.com
*****Faculty of Business Administration, Memorial University of Newfoundland, A1B 3X5, Canada.
E-mail: cpark@mun.ca

Increasingly, countries around the world are adopting policies that emphasize the impor-
tance of partnerships for disaster resilience. The overarching questions that this paper
investigates are how to form and sustain (1) effective collaborative arrangements involving
governments, businesses, non-governmental organizations and communities to ensure
development of disaster resilient communities, and (2) governance institutions that can
effectively mobilize geographically dispersed disaster response resources with fragmented
ownership. We have reviewed case studies of alternative inter-sectoral collaborative
arrangements that were formed to (1) promote the development of resilient communities
and critical physical and social systems; (2) mitigate or respond to emerging crises; or (3)
facilitate post-disaster recovery and learning.We have developed grounded propositions
articulating the antecedents of performance of inter-sectoral collaborative arrangements.

1. Introduction of critical infrastructures, supply chains and economic


and social systems allow relatively small disturbances

A mong the most difficult challenges that govern-


ments currently face is the accelerated need to
increase the resilience of communities1 to disasters,
to rapidly escalate into compound crises (Boin and
McConnell, 2007, p. 50). Numerous scholarly papers
reflected on Hurricane Katrina and other disasters
and the ability to respond effectively and recover from highlighted the need for governments to develop a
them when disasters occur. Munich RE (2012) named managerial framework that can mobilize, through a
2011 as the costliest year on record for natural collaborative network, private and public resources to
disaster-induced financial losses worldwide ($380 cope with large-scale disasters (e.g., Waugh & Streib,
billion, $105 billion of which were insured). The inten- 2006; Mitchell, 2006; Kapucu, 2006). Hurricane Sandy
sity of natural disasters is expected to grow as a con- reignited the debate in the media (Klein, 2012;
sequence of climate change. Threats of terrorism Revkin, 2012; Lavelle, 2012) around the promise and
persist. Increases in the complexity and tight coupling potential pitfalls of long-term impacts of publicprivate

2013 John Wiley & Sons Ltd DOI: 10.1111/1468-5973.12021


PublicPrivate Partnerships for Resilient Communities 131

partnerships (PPPs) on the ability of communities to of the discourse of a growing spectrum of partnership
cope with disasters. for resilience.
Internationally, the key United Nations document We start in Section 2 with a brief review of the role
for disaster risk reduction, the Hyogo Framework for that inter-sector collaborative arrangements play in
Action (2005), recommended the establishment of PPPs disaster management. We follow with the articulation
in order to better engage the private sector in reducing of key characteristics of collaborative arrangements
the underlying risk factors that contribute to disasters. and the key performance attributes of such collabora-
Increasingly, countries around the world are adopting tions required to effectively meet the challenges of
policy frameworks that emphasize the importance of disaster management. This initial framework is used
partnerships for disaster resilience (e.g., Australian to interpret the case studies presented in Section
Government, 2010, 2011; Public Safety Canada, 2009, 3. Section 4 discusses our findings from the cases
2011).While there are multiple competing definitions of reviewed, specifically focusing on the critical success
resilience, we take resilience to be the ability of a factors of PPPs.
community, an organization or a system to reduce the
impact of a threatening event, and bounce back to an
2. Inter-sectoral collaboration
acceptable equilibrium. Resilience building may thus
and partnership
include improvements in the ability to prevent shocks,
to absorb them when they occur (Timmerman, 1981; Mitchell (2006, p. 237) asserts partnership has long
Birkmann, 2006), to respond effectively and quickly been a central motif of U.S. public policies formulated in
contain their damage, to have the capacity to response to natural hazards, disasters and catastro-
effect quick recovery (Bruneau, Chang, Eguchi, Lee, phes. He argues that the need for partnership is a
ORourke, Reinhorn, Shinozuka, Tierney, Wallace, & function of societal complexity and the requirement to
von Winterfeldt, 2003) and to promote learning coordinate actions of formal and informal groups in
(UNISDR, 2005; Cutter, Barnes, Berry, Burton, Evans, preparing and responding to hazards. May and Williams
Tate, & Webb, 2008). (1986) contend that the fragmented social respon-
The overarching question this paper investigates is sibility for developing and implementing hazard
how to form and sustain effective collaborative arrange- policies compels the use of partnership mechanisms.
ments to ensure the development of resilient commu- Christoplos (2003) suggests that partnerships emerged
nities that are less prone to large-scale disasters. Our as a response to a broader trend that sees a smaller
objective is to develop a preliminary taxonomy and a role for the public sector. He asserts that behind the
grounded theoretical framework that helps understand discourse on disasters, neoliberal policies have taken
potential outcomes of different attributes of collabora- hold and pressured states to assume a narrower set of
tive arrangements. We examine the performance of responsibilities (p. 95), without articulating clearly who
collaborative arrangements when the functional, social will shoulder responsibilities for disaster mitigation and
and physical contextual variables related to both the preparedness. Although consensus remains about the
nature of the disaster and the social and physical policy leadership role that governments must assume,
systems in which resilience development and disaster there is a realization that they lack adequate resources
response activities take place vary. We derive our and capabilities to handle even recurring natural hazards
hypotheses from a review of case studies, surveys and that are geographically dispersed. Some forms of inter-
institutional documents.The case studies were selected sector collaboration and resource pooling are, there-
on the basis of a comprehensive literature review. The fore, inevitable.
selection criteria attempted to provide representation Arrangements between governments and private
in the space defined by the following dimensions: part- sector entities where traditionally public activities are
nership governance structures, types of partners, objec- performed partially or wholly by the private sector,
tives and phases of disaster management. Our selection defined by Savas (2000) as PPPs, are ubiquitous. They
was constrained by the availability of published case are embraced by a wide range of constituencies and
studies, especially from developing countries. Each of increasingly have become the default solutions to gov-
the case studies serves as a distinct experiment in ernment problems and needs in an era of scarce public
which a particular form of collaboration was used to resources. The trend to download and share respon-
increase resilience towards, to respond to or to facili- sibilities by governments with other sectors of society
tate recovery from a disaster. Examined together, reflects a variety of motives and beliefs. There is an
the series of case studies provide for replication or ongoing debate about the reality of the promise of
contrasts, contributing to an emergent theoretical PPPs (Hayllar & Wettenhall, 2010; Siemiatycki, 2011)
framework. We focus mainly on organizational and and the challenges of measuring the benefits of col-
administrative matters and conclude the paper with laboration (NRC, 2011; RECIPE, 2011). Some suggest
some implications of our findings for future broadening that partnerships can enhance production, increase

Journal of Contingencies and Crisis Management


2013 John Wiley & Sons Ltd Volume 21 Number 3 September 2013
132 Justine Chen, Ted Hsuan Yun Chen, Ilan Vertinsky, Lilia Yumagulova and Chansoo Park

quality and efficiency, provide access to new financial ment stage also requires ensuring political sustainability
resources and reduce exposure to risks (RECIPE, of long-term investments in resilience.
2011) by reconstituting the role of the state in gov- The response phase of disaster management is charac-
erning and regulating competitive market processes terized by a focus on response speed and efficiency,
(Siemiatycki, 2011). which requires effective coordination in an environment
Others argue that the benefits of PPPs are exagger- characterized by high levels of stress and uncertainty
ated and their consequences are unequally distributed and disruptions in the operations of critical communi-
(Siemiatycki, 2011) and are often damaging to the public cations and management systems. Response to a disas-
interest (Hayllar & Wettenhall, 2010). The empirical ter requires rapid mobilization and transfer of resources
evidence is mixed; however, there is a growing inter- to the location of the disaster. These coping resources
national repertoire of successful working models for and logistic capabilities are distributed among commu-
PPPs in disaster management context (UNISDR, 2008; nities, for profit and non-profit organizations, and gov-
NRC, 2011; Bajracharya, Hastings, Childs, & McNamee, ernments. Responder networks (Nowell & Steelman,
2012). 2012), typically consisting of members of affected com-
There is also a universal agreement that PPPs are munities, professional first responders, local organiza-
essential for preparing for, responding to and recovering tions and emergent informal community organizations,
from large-scale natural disasters (NRC, 2011). Such must act quickly and often in isolation or only with
disasters have catastrophic local consequences when access to overloaded communication channels.
they strike, but their occurrence is geographically dis- The recovery stage requires resource mobilization and
tributed with low probabilities of occurrence at a spe- pooling.This is when the sense of urgency is diminishing.
cific location at a given time. Management of such In this stage, local knowledge and ties to the community
disasters poses difficult economic, political, social and are paramount. This stage often presents an opportu-
organizational challenges.The roles of partnerships that nity for learning and reform. Recovery requires a sus-
emerge to cope with disasters vary as a function of the tainable collaboration between local communities and
distinct needs of the different (and often overlapping) organizations with external resources and know-how. It
phases of disaster management. requires dealing with individual and social trauma. Local
knowledge and specialized expert knowledge necess-
ary for reconstruction and healing, as well as other
3. Phases of disaster management resources that are scarce in affected communities, must
Building resilient communities and systems and increasing be combined to restore social, economic and physical
preparedness to disasters requires long-term commit- systems, and to facilitate a move to a more sustainable
ment to safety in the absence of immediate salient equilibrium.
threats and a willingness to invest resources that no The types of functions that inter-sector collabora-
single sector possesses. Such commitment demands tions fulfil in the three stages of disaster management
more than a marriage of interests that is easily sun- vary and so do key participants. Other variables that
dered by events by partners (Mitchell, 2006, p. 239). It might influence the nature of inter-sector collaborations
requires a society-wide commitment to a shared in disaster management include the type and scale of the
culture of preparedness (Kapucu, Hawkins, & Rivera, disaster, and the environment in which activities take
2012, p. 2). This involves partnerships of community place. Technological development is also expanding the
organizations, private (profit and non-profit) enter- opportunity for collaboration with communities by
prises and governments. allowing direct contact between individuals and govern-
In developing resilience and preparedness, the ment through a two-way communication.This presents
emphasis is on building soft and hard infrastructures for the practice of disaster management with advantages
preventing or reducing the probabilities of potentially and constraints of using Web 2.0 technology (Roberts,
disastrous events, as well as increasing the capabilities of 2011; Lindsay, 2011) for building resilience, response and
the system to respond to them once they occur. This recovery phases.Through the case studies described in
stage consists of building physical infrastructures with the following section, we will derive grounded proposi-
higher standards of safety, the ability to absorb shocks tions with respect to the relationships of some of these
and built-in redundancies that offer alternative means of attributes and the effectiveness of partnerships in devel-
continuing essential services. Building a resilient soft oping resilient communities, responding to disasters
infrastructure includes the development of institutions when they strike and facilitating recovery.
that allow effective mobilization of coping resources
when disasters strike, as well as building social and
4. Case studies: common PPPs
human capital, such as social trust and know-how, the
essential ingredients in ensuring mobilization and coor- For each phase of disaster management, we have iden-
dination of first level responses. This disaster manage- tified the most commonly observed cross-sectoral

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Volume 21 Number 3 September 2013 2013 John Wiley & Sons Ltd
PublicPrivate Partnerships for Resilient Communities 133

Table 1. Common Types of Partnerships by Phase of Disaster Management

1. Building resilience 1. Publicprivate contractual partnerships for critical infrastructure


2. Publicprivate non-contractual partnerships for critical infrastructure
3. Governmentcommunity collaborative resilience building
2. Responding 1. For-profit, NGOs and government partnerships
2. Governmentcivil society partnerships
3. Government as one of many actors in a many-to-many network partnership
3. Recovering 1. Publicprivate partnerships for physical reconstruction
2. Inter-sectoral partnerships for learning
NGOs, non-governmental organizations.

partnership configurations in our sample (Table 1). Each ability of the nation to recover from disasters (Stewart
type of collaboration is briefly introduced and then et al., 2009, p. 343).Therefore, they are of prime impor-
illustrated. For each case, we examine, where data are tance to governments, which have the responsibility of
available, the structure of the existing partnership, ensuring public safety (Boin, Comfort, and Demchak,
including the division and assignment of tasks, source of 2011). Yet, in most market economies, a large portion
motivation and authority, degree of integration and of the critical infrastructure, and with that the exper-
channels of communication. Following that, where appli- tise of its development and management, exists primar-
cable, we describe the results of the collaboration.This ily in the private sector (Boin and McConnell, 2007;
section is primarily descriptive. It presents key facts Rothery, 2005). There is therefore a need for strong
about the cases from which we later inductively derived publicprivate collaborative arrangements to ensure
pertinent characteristics of cross-sectoral partnerships effective investment in resilience given the shared
and some performance parameters (such as the ability responsibility between governments and owners of
of the partnership to fulfil its missions and fidelity of infrastructure to provide safety and security (RECIPE,
partners to their commitments). It should be noted that 2011; TISP, 2011).The portfolio of these collaborations
many collaborative arrangements are interdependent typically includes a selection of tasks, such as design and
and play a role in more than one phase of disaster construction of infrastructure, financing and opera-
management. In our overall analysis, we consider explic- tions, varying in combination based on the needs and
itly the influence of the cyclical relationships between obligations of the governments. Such collaboration
resilience building, response and recovery activities, occurs through contractual relations between the gov-
as well as their effects on the evolving patterns of ernment and private sector corporations, whereby the
collaborations. latter is compensated for their provision of goods or
services in one of a variety of ways. These contractual
partnerships range from the traditional design-bid-
4.1. Publicprivate contractual partnerships for build-transfer arrangements to various other more
critical infrastructure
creative arrangements such as the build-own-operate-
Critical infrastructures are assets and services essential transfer common in Australia and the Public Finance
to the functioning of a system. Ensuring their safety and Initiative in the United Kingdom (Ribeiro & Dantas,
capability to withstand shocks is a key to the develop- 2006; Vining & Boardman, 2008; Jefferies, 2006; Hayllar
ment of disaster resilience (Stewart, Kolluru, & Smith, & Wettenhall, 2010).
2009, 344; Chang & Shinozuka, 2004; McDaniels, Chang, The uncertainty involved in many of these projects
Cole, Mikawoz, & Longstaff, 2008; Rinaldi, Peerenboom, requires more flexibility in the partnership to permit
& Terrence, 2001; RECIPE, 2011; TISP, 2011). Increas- adaptation to information revealed during the project.
ingly, critical infrastructure protection policies are being In these cases, or when the operational expertise
replaced by critical infrastructure resilience policies comes from the private sector and not the government,
(Australian Government, 2011; UK Cabinet Office, PPPs involve a significant degree of joint strategic
2013; National Infrastructure Advisory Council, 2009). decision-making and delegation of operational respon-
These policies recognize that preventing breakdowns sibility to the private sector enterprises involved. Stra-
to critical infrastructures during disasters cannot be tegic decisions often include choices of trade-offs
assured even with investment levels exceeding the between costs, risks and benefits, as well as key design
capacity of most economies; hence, they focus on risk specifications. While governments retain the ultimate
reduction rather than risk prevention. An emphasis on decision as to what is safe enough, i.e., the minimum
partnerships for resilience is another common feature of safety standards, through interactions with their private
these policy frameworks. sector partners, they can fine-tune safety decisions
As critical infrastructures are highly embedded in so as to achieve maximum benefits within budget
communities, their breakdown greatly impacts the constraints.

Journal of Contingencies and Crisis Management


2013 John Wiley & Sons Ltd Volume 21 Number 3 September 2013
134 Justine Chen, Ted Hsuan Yun Chen, Ilan Vertinsky, Lilia Yumagulova and Chansoo Park

The high degrees of uncertainty and discretion pro- of representatives of the founding organizations) and
vided to project implementers in these cases mean that the governance committee (consisting of senior man-
contracts are incomplete and potentially involve fre- agers from the NJ Business Force organizations), which
quent future renegotiations. Such contracts create high are responsible for overseeing its policies and acting as
risks of opportunism and transaction costs (e.g., moni- the institutional channel of communication to its public
toring, enforcement and conflict resolution). Joint ven- sector partners.The second level is organized horizon-
tures with incomplete contracts require high levels of tally based on a distributed nodal network structure
trust, the development of which requires long-term that aligns itself with a [community of practice and
relationship building and incentive structures that align community of interest] model (BEOC, 2011c). Within
the interests of public and private collaborators. this level, there is a system of tiered membership based
on a tiered fee structure that determines the degree
of access to benefits, effectively creating a market-
4.2. Publicprivate non-contractual partnerships like structure. For example, at the highest tier,
for critical infrastructure
Organizational Gold Members are physically repre-
While contractual forms of publicprivate collaboration sented in meetings with public sector organizations
are a characteristic of large construction projects and such as the DHS and DOD (BEOC, 2011d).The tiered
provision of disaster-related services, non-contractual membership fees, which fund the governance commit-
forms of inter-sectoral collaboration have emerged to tee and the general functioning of the Alliance, are not
facilitate the inter-sectoral coordination of resilience uncommon to these types of partnerships (Pacific
development activities and provide overarching institu- Northwest Economic Region, 2012).
tional structures for information sharing and inter- and The existing architecture of publicprivate collabo-
intra-sectoral policy dialogues. ration discussed previously provides a variety of func-
In the aftermath of the 9/11 attacks and Katrina, the tions that support the development of resilience. From
United States developed complex and sophisticated net- the policy development perspective, the architecture
works of such governmentprivate collaborations. An facilitates publicprivate consultation; it provides a
example of this type of partnership is the New Jersey- mechanism to co-opt private sector organizations
based Business Emergency Operations Center (BEOC) and increase legitimacy of resilience policies. From an
Alliance, which is designated a national partnership operational perspective, it enhances information sharing
under the FEMA umbrella. The partnership was jointly within and across sectors and helps to create capacity
developed through a collaborative effort between the for increased coordination during disasters. Commit-
New Jersey Institute of Technology, businesses who are ment to the Alliance tends to grow during the period of
members in the New Jersey Business Force, and the domestic and high-impact salient foreign disasters, but
Armament Research Development and Engineering the Alliance faces challenges in motivating participants
Center (ARDEC), Picatinny Arsenal, NJ. It is an organi- in other times. Lack of trust (especially among private
zation that exists mainly as a research and communica- sector participants and between these participants and
tion nexus for private sector organizations, primarily government agencies) may also present significant bar-
businesses, to interface with public sector emergency riers to information sharing, despite institutional devel-
operations centres, other emergency management opment that ought to facilitate communications.
agencies [e.g., the Department of Homeland Security
(DHS)] and non-governmental organizations (NGOs).
4.3. Governmentcommunity collaborative
Through their membership with the BEOC Alliance,
resilience building
private companies seek to build resilience through
mutual information sharing with the public sector The coordination structures described earlier are pri-
(BEOC, 2011a).The Alliance has also developed the marily limited to collaboration among the government,
capacity to serve as a mobilization hub for the pro bono businesses and larger NGO groups. However, attempts
provision of material and human resources during dis- are being made to increase the coordination of
aster response. However, the Alliance is careful to limit community-based resources with public and profes-
the scope of its responsibility, stating that it intend[s] to sional organization. Part of this stems from the under-
be an additional level of support to the Public Sector and standing that local communities play an integral part of
not to intrude upon the incident management respon- disaster resilience.
sibilities at play during response scenarios . . . (BEOC, Hurricane Katrina highlighted the importance of
2011b).The Alliance also facilitates collaboration among the coordination of community-based and govern-
its private sector members, regularly hosting inter- ment organizations and the effective utilization of
sectoral emergency exercise drills. local informal social networks. During the response
The organizational structure of the Alliance com- to Hurricane Katrina, community-based organiza-
prises two levels. At the top are the Board (consisting tions, particularly faith-based organizations (religious

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PublicPrivate Partnerships for Resilient Communities 135

congregations), played a crucial part in providing relief tic manner. As a result, when a hurricane strikes, the
in the form of shelter and other basic life necessities community structure shifts seamlessly from its day-to-
to those affected (Trader-Leigh, 2008). day function to emergency disaster response measures.
However, despite the resources available at the com-
munity level, integration between the government di-
4.4. For-profit, NGOs and government
saster management systems and local community-based
partnerships
organizations tends to be weak due to geographical,
cultural and institutional distances. This was evident in Response to a disaster once it has struck requires
the response to Hurricane Katrina. Testimonies from mobilizing local resources and maintaining continuity of
local churches in Baton Rouge and its surrounding areas critical supply chains. It is often assumed that in
indicate that there was no prior formal disaster training, advanced market economies, private sector companies
no clear division of tasks and no institutionalized com- have the logistical capability to ensure the flow of sup-
munication network (Cain & Barthelemy, 2008; Pipa, plies to first responders. This assumption was sup-
2006; Trader-Leigh, 2008). As a result, the churches felt ported by reports that during Hurricane Katrina,
that there was a great degree of uncertainty as to what companies like Wal-Mart and Home Depot were organ-
their roles were in relation to FEMA and the American izing important distribution points for food, water and
Red Cross (Pipa, 2006, pp. 1516). Contrasting the other supplies, while truckloads of ice contracted by
US model for governmentcommunity collaborative FEMA were stranded for days without direction on
resilience with the Cuban model provides important where to go (Flynn & Prieto, 2006, p. 9). The case of
insights. First, the Cuban system is marked by extremely Wal-Mart in Hurricane Katrina highlights both the
high levels of political commitment to developing com- important contributions and the challenges that public
munity resilience. Disaster response training starts in private collaboration in response to a disaster can face.
childhood as a part of school curriculum and continues In 2003, Wal-Mart founded its emergency operations
with adult education at the community level. Every year centre (EOC) that oversees the coordination, response
in May, this education is put to the test as the commu- and recovery for business disruptions ranging from tor-
nities and government agencies participate in Meteoro, nadoes to terrorism to epidemics. Since 2004, the EOC
a 2-day simulation in preparation for the hurricane has held an annual Hurricane Class, which trained more
season.Through these investments, the central govern- than 100 managers developing local response capabili-
ment fosters a culture of preparedness (Kapucu et al., ties (Rosegrant, 2007a).
2012) and facilitates trust between authorities and the Wal-Marts EOC had been closely following the
community by sharing the decision-making appara- development of Katrina before it became a Category
tus concerning disaster management with community Five Hurricane and had been adjusting its emergency
leaders at the local level. In turn, this effectively response accordingly.As part of the mobilization of the
increases the communitys stakes in the resilience EOC, Wal-Mart invited a senior official of the Red
system and increases its local legitimacy. Cross with whom it had collaborated previously in
Secondly, integral to the Cuban model is its Civil other occasions to sit in on its EOC team. Experiences
Defense system, through which local informal systems previous to Hurricane Katrina suggested that it was
are integrated into the formal hierarchical system difficult to coordinate Red Cross and Wal-Mart efforts
(Reed, 2008). Whereas in Hurricane Katrina, response to support communities.The invitation of a Red Cross
efforts were uncoordinated and ineffective due to representative proved to be important to serve as a
the lack of institutionalized communication systems conduit, where the retailer and the aid agency were able
between various responders and the community, in to effectively coordinate aid relief resources and
Cuba, the coordination and integration of activities is responsibilities (Rosegrant, 2007a).
achieved through a fish-scale role structure in which During the hurricane, Wal-Mart provided and
members of the community, apart from fulfilling their exchanged daily situation reports with federal (DHS
daily roles, have well-defined roles in the formal Civil and the National Infrastructure Coordination Centre)
Defense system. For example, community members, and state authorities, which used these reports as a
such as local officials, health workers and teachers, also main source of information. It and other private sector
serve as evacuation coordinators responsible for resil- advisers also worked with FEMA to develop an evacuee
ience planning at the local level. Essentially, the partner- debit card for emergency purchases (Rosegrant, 2007a,
ship between the local community-based resilience p. 20). Attempts to collaborate with relevant municipal
system and the formal top-down command-and- and federal emergency management authorities were
control system is integrated virtually through the minds met with communicative and operational challenges.
of individual responders who operate in dual capacities. For example, Wal-Marts offer of relief aid remained
This affords them the capability to draw upon both unanswered by the DHS outpost in Baton Rouge
their formal training and local knowledge in a synergis- and attempts to send aid to New Orleans did not

Journal of Contingencies and Crisis Management


2013 John Wiley & Sons Ltd Volume 21 Number 3 September 2013
136 Justine Chen, Ted Hsuan Yun Chen, Ilan Vertinsky, Lilia Yumagulova and Chansoo Park

materialize due to the lack of directions from the grated. In 2010, FEMA and the Red Cross signed a
mayors office. Request by FEMA to place a representa- Memorandum of Agreement (MOA) that recognizes
tive in Wal-Mart EOC were rejected, reflecting its lack the American Red Cross as a key member of Americas
of trust in big government (Rosegrant, 2007a). national emergency management team. The MOA also
Wal-Marts relief efforts during Hurricane Katrina set the framework for the Red Cross and FEMA to
attracted attention from state governments and federal jointly lead the planning and coordination of mass care
agencies who sought to develop more permanent part- services [during disasters] (FEMA, 2010). Further-
nerships with it. Wal-Mart accepted an invitation from more, within the National Response Framework, the
the state of Texas to station two representatives at the Red Cross is designated as a support agency for mass
Texas EOC to help the state respond to Hurricane Rita, care, emergency management, and long-term commu-
but declined several states contract offers to act as nity recovery and mitigation, among other emergency
their emergency merchandise supplier, explaining that support functions.
working with governments in such capacity is not com- In other parts of the world, similar organizations have
patible with its interest and expertise (Rosegrant, emerged, forming their own collaborative arrangements
2007b, p. 1). Instead, Wal-Mart proposed a broader with their national governments. In Taiwan, the Tzu Chi
collaboration among big-box retailers to serve as the Foundation, the largest Buddhist organization, has devel-
states primary supply anchor. oped both expertise and capacities to respond to
This perhaps was due to the risks they may have disasters. While Tzu Chi is a fully autonomous organi-
perceived from formal collaboration with powerful gov- zation, it maintains strong ties to the official response
ernment agencies and recognition of fundamental dif- efforts working closely with the government and
ference in cultures and strategies. In particular, FEMAs responding to specific demands for support from the
idea of maintaining large inventories was incompatible government ministries (e.g., responding to the Ministry
with the lean just-in-time system that is critical for of Education in the aftermath of 921 earthquake to aid
Wal-Marts competitive advantage. Arguably, collabora- to rebuild 293 collapsed schools) (Roney, 2011,
tion frameworks with a focus on expertise-based infor- p. 94; Tzu Chi, n.d.).
mation sharing, consulting and technical support are In contrast, in China, NGOs are usually subject to
more attractive to corporations than contractual stringent regulations regarding their legal status. Follow-
arrangements, which may hinder their operational ing the Wenchuan earthquake, likely out of necessity,
autonomy or increase business risks. local governments turned a blind eye to these regula-
tions. Indeed, an NGO reported that when it asked for
permission to act, the government officials told it to
4.5. Governmentcivil society partnerships Stop asking and we wont have to tell you no (Roney,
There is a long history of collaborative arrangements 2011, p. 85).With the temporary relaxation of oversight,
between governments and civil society groups.This cat- NGOs were afforded the space to collaborate with
egory encompasses a range of partnerships formed local governments in an informal partnership. Their
between the government and organizations such as most significant contribution was to coordinate partici-
international and national NGOs, faith-based organiza- pation of the individual volunteers. Unfortunately, these
tions, local non-profit aid agencies and communities. efforts were largely ineffective.These grass-roots emer-
The most prominent among these partnerships of gent responders, who constituted the second type of
organizations are large-scale NGOs, such as the Inter- civic engagement, arrived in large numbers to aid the
national Federation of Red Cross and Red Crescent relief efforts, but, likely because of their distrust and
Societies (IFRC), which have traditionally played an unfamiliarity with NGOs, many attempted to partici-
important role in disaster relief activities.These organi- pate directly.This resulted in an imbalance of aid across
zations often recognize disaster management as a part various regions, which often led to the delay of resource
of their central mandate and develop a core of profes- distribution due to congestion (Roney, 2011, p. 88).
sional disaster management responders backed by large
numbers of well-trained volunteers.
4.6. Government as one of the many actors in
The ability of the IFRCs national societies to act as
a many-to-many network partnership
first responders and to connect with communities, cor-
porations and governments has made them a critical With the advancements in information communication
part of community resilience building (e.g., providing technology (ICT) and the new channels of communi-
extensive training for volunteers), as well as disaster cation these advancements afford, we witness the
response and recovery (e.g., providing emergency emergence of new forms of partnerships between the
shelter and health care). Within the post-Katrina government and various sectors of society. Most signifi-
American context, the collaboration between the Red cantly, there has been a shift in Internet use from what
Cross and the government has become more inte- was simply a much more rapid channel of the traditional

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PublicPrivate Partnerships for Resilient Communities 137

one-to-one (e.g., letters, facsimile, telecommunication) Aside from knowing the coordinates of people
and one-to-many (e.g., newspapers, radio broadcasts) requiring aid, on-the-ground responders also needed
forms of communication to todays Web 2.0, the new the most up-to-date information of the situation in the
many-to-many communication social media platforms affected areas. Based on an unprecedented release of
(e.g. Twitter). This has led to the emergence of new aerial imagery from GeoEye and Google under an open
coordination structures crucial to PPPs, especially as it license (Burq, 2010), the OSM platform enabled volun-
concerns the direction of communication from societal teers to quickly update the map of Port-Au-Prince and
partners to the government.While we present success- surrounding areas. The type of crowdsourcing that
ful examples, the potential drawbacks of the use of Web these efforts relied on proved to be extremely effective
2.0 technologies also need to be considered.These may compared to other forms of mapping.This was primarily
include high monitoring costs on the part of the gov- a result of the high degree of participation that the
ernment, inaccurate or misleading information (inten- open-source platform afforded to individuals who
tional and unintentional), privacy concerns for data wanted to help. OSMs wiki-platform allowed each indi-
stored in the public domain, and overreliance on tech- vidual volunteer to input a small amount of data onto
nology during the periods of prolonged power outages the map based on the aerial images made available.
(Lindsay, 2011). Figures show that over the course of the mapping
What Web 2.0 platforms do is shift the primary initiative, more than 1,000 volunteers contributed data
means of coordination away from hierarchical forms of in varying amounts (Johnson, Crowley, & Erle, 2010).
organization to a network-based coordination struc- While most of these inputs would otherwise be insig-
ture, where the government is just one of the many nificant by themselves, as a collaborative effort, they
nodes within the network.Web 2.0 platforms provide a produced the most complete digital map of Haitis
constant flux of information from the masses to the roads, hospitals, triage centers and refugee camps
masses, much of it within the public domain. This has (Richmond, 2010, para 4).
many implications for the possibility of partnerships As evident from the two examples in the aftermath
during crises situations (Roberts, 2011). First, it facili- of the Haiti earthquake, many-to-many networks built
tates the overall coordination among responders, and, on rapid ICT platforms open new possibilities for
second, it results in the formation of new type of disaster response. In both cases, the speed of commu-
network partnerships that were previously unfeasible. nication afforded by the ICT was a key in the coordi-
The potential value of these many-to-many platforms nation of the response efforts. More ground breaking,
to crisis response has long been recognized, but it was however, is the mobilization that these platforms allow.
not until the 2010 Haiti earthquake that it was realized Traditionally, people had two ways of contributing to
on a large scale. Two Web 2.0 platforms in particular response efforts. First, they could travel to the affected
Ushahidi, a website and open-source software originally locale under the organization of various agencies.
launched in 2007 to track reports of post-election vio- Second, they could send monetary aid. There is a large
lence in Kenya (Roberts, 2011), and OpenStreetMap discrepancy in the level of commitment between these
(OSM), a wiki-based open-source mapping platform two possible ways to respond. The former takes an
regularly aimed at creating a database of free geographi- inordinate amount of commitment and resources. Indi-
cal data (OpenStreetMap, 2011) serve to illustrate the viduals who are unable to commit to that extent are
networking potential of many-to-many structures. relegated to donating money.Web 2.0 platforms bridge
Within 2 hours following the earthquake in Haiti on this gap. In as short as the 3 minutes spent learning
January 12, the team at Ushahidi started to mobilize about how to use the OSM technology and five more
Haitian diaspora to translate SMS,Twitter and Facebook inputting a small amount of data, individuals can actively
messages coming from people who were trapped and partake in response efforts, greatly increasing their
needed help. In conjunction with a team at the Fletcher willingness to volunteer (Johnson, Crowley, & Erle,
School of Diplomacy at Tufts University, they managed 2010).
to mobilize over 10,000 translators who contributed Crowdsourcing the gathering and compiling of geo-
via various forms of ICT (Meier, 2010). Through this graphic data, also known as participatory GIS (PGIS),
initiative (which came to be called Project 4636 after clearly has its applications in crisis response. Beyond
the code provided free of charge by Haitis largest this, however, PGIS also affords us a more democratic
telecommunications company Digicel for anyone on way of governance that facilitates better resilience
the ground needing to text for help), volunteers geo- building through empowering the grass-roots (McCall,
located the origins of these messages, tagged their 2003, 2008). For example, more than just gather local
location on the map and relayed the information to knowledge regarding risk sites (e.g., historical flooding
on-the-ground responders, such as the Red Cross and points along a river) through PGIS and act upon that
the US military (Roberts, 2011; Johnson, Crowley, & unilaterally, practitioners may ask locals to identify their
Erle, 2010). priorities in resilience building, which then allows for an

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2013 John Wiley & Sons Ltd Volume 21 Number 3 September 2013
138 Justine Chen, Ted Hsuan Yun Chen, Ilan Vertinsky, Lilia Yumagulova and Chansoo Park

allocation of resiliency resources that is more congru- 24-month periods, respectively (WEF, 2010, p. 44).Arup
ent with local needs (Maceda, Gaillard, Stasiak, & Berre, also received several paid commissions to provide tech-
2009; McCall, 2008). Such an endeavour would not nical services in the form of strategic advice and tech-
require much more technical start-up costs than other nical expertise (WEF, 2010, p. 45).
applications of PGIS, but affords local engagement in As already mentioned, the involvement of these con-
such a way that lends credibility to resiliency efforts struction companies tends to shift from ad hoc pro
(Maceda et al., 2009). bono collaboration to a contractual for-profit basis,
sometimes with a provision-at-cost stage in between
(WEF, 2010, p. 28).Testimonies from high-level managers
4.7. PPPs for physical reconstruction indicate that immediately following a disaster, non-
As noted in Section 4.4, in the immediate response to instrumental motivation for sending aid was strongest.
a disaster, for-profit enterprises often, in addition to Many of the staff secondments were provided on a
financial donations, make contributions in-kind based voluntary basis by the individuals, while other costs
on their expertise. Wal-Marts provision of logistical were covered through internal fundraising, corporate
support and supplies is an example of this. Engineering donations and corporate social responsibility budgets
and construction companies, due to their prevalence, (WEF, 2010, p. 27). As time passed and the urgency of
and the high value of their expertise to disaster disaster relief started to wane, the companies began to
response, often make significant contributions as well.A face pressure to account for the costs of their opera-
review of cases during the 10-year period from 1999 to tions and the partnerships often needed to be sustained
2009 shows that in the immediate aftermath of a dis- through contracting. One should note that the distri-
aster, these companies often offered their services bution of flows of benefits and costs among the partici-
through informal ad hoc arrangements on a pro bono pants in such contracting depends typically on the
basis such as secondment of staff to government disas- players relative negotiating and bargaining powers, con-
ter response agencies or to large-scale NGOs of textual variables such as the political urgency of tasks to
a similar nature (World Economic Forum, 2010). be accomplished by the partnership, the availability of
However, as relief efforts become less urgent with the competitors, public opinion and scrutiny, reputational
shift from response to recovery, the nature of public concerns on both sides of the partnership, and the legal
private collaborations changes as well, and more-formal framework for government contracting.
arrangements become established.
In the aftermath of the 2004 Indian Ocean Tsunami,
4.8. Inter-sectoral learning initiatives
the activities of three construction companies, CH2M
Hill Companies, Arup Group and Halcrow Group, are Learning has been a focus of both scholarship and
illustrative of this type of arrangement. In the immediate practice of the hazards/disasters and the emergency
response phase, all three companies engaged in internal management fields. As OBrien et al. (2012, p. 439)
fundraising activities, raising over US$80,000, $370,000 suggest, Learning processes are central in shaping the
and $149,000, respectively. CH2M Hill provided profes- capacities and outcomes of resilience in disaster risk
sional support to large-scale international relief agen- management . . . The importance of organizational
cies. It also set up water treatment plants in Banda Aceh, (Comfort, 1994; Corbacioglu & Kapucu, 2006), institu-
Indonesia, and Potuvil, Sri Lanka, the former in partner- tional (Handmer & Dovers, 2007), social (Birkmann
ship with GE (WEF, 2010, p. 44).Arup, whose contribu- et al., 2010; Pelling & High, 2005) and policy-learning
tions came primarily as technical support, seconded two (Birkland, 2004) where collaboration, joint decision-
staff members to assist with logistics and water and making, and participation of multiple stakeholders con-
sanitation engineering (WEF, 2010, p. 45). Halcrow pro- tribute to the initiation of learning processes are
vided office space in its local agency to Oxfam for its frequently emphasized. Learning reduces uncertainty
operations. It also identified families in need and pro- (Moynihan, 2008), and mutual learning and action
vided relief where needed (WEF, 2010, p. 46). develop trust (Kapucu, Augustin, & Garayev, 2009).
As the focus of relief efforts shifted to recovery, Developing trust allows for overcoming one of the key
more-formal partnerships were established between challenges of privatepublic collaboration the incom-
the public sector and the construction companies. Just plete and ineffective sharing of information concerning
less than a year following the Tsunami, USAID con- threats and vulnerabilities (NRC, 2011).
tracted CH2M Hill for recovery support in Sri Lanka, Partnerships can become learning laboratories at
where 14 major projects were completed under the Sri the resilience building stage, during response to disas-
Lanka Tsunami Reconstruction Program, and in Mal- ters (Tomasini & Van Wassenhove, 2009) and during
dives, where two sea water treatment and supply facili- recovery (Birkmann, Buckle, Jger, Pelling, Setiadi,
ties were constructed (CH2M Hill, 2007; CH2M Hill, Garschagen, Fernando, & Kropp, 2010). For example,
2008). The contracted terms lasted over 39- and at the resilience building stage, collaborating with

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PublicPrivate Partnerships for Resilient Communities 139

local educational institutions increases access to local mation for resilience building (Rothery, 2005). It facili-
resources and capabilities (NRC, 2011), enhances the tates learning by developing a better understanding of
feedbacks between research and practice, and contrib- cross-sectoral issues such as interdependencies and
utes to building the culture of preparedness by engaging vulnerabilities on a national or cross-jurisdictional basis.
students from various educational institutions. Post- Developing organizational resilience is seen as an
disaster space offers opportunities for catalyzed learn- important new strategic imperative compared with the
ing, which can create tipping points for transformation more traditional approach of developing hazard-specific
(Pelling & Dill, 2010) for promoting pro-active resilience plans and response capabilities. The creation of this
building. network by the Australian Government required a
We provide two examples of learning platforms certain amount of legislative reform at the Common-
relating to different phases of disaster management that wealth State and Territory levels in order to provide
span varying temporal and spatial scales in terms of the secure channels for information sharing and research
size, length and distance from community: (1) university across publicprivate boundaries while ensuring its
learning initiatives through shared technology and (2) a confidentiality and excluding liabilities. Regular inter-
national resilience building network. action in a non-competitive environment allows for
An example of learning and information sharing plat- building trust among the stakeholders and deepens
form for building resilience at a community scale is the communication pathways. The network facilitates
Disaster Response Intelligent System (DRIS), a GIS- horizontal communication (e.g., across critical infra-
based mapping technology developed after Hurricane structure sectors) and also allows for vertical
Katrina for county-level emergency managers to plan, governmentindustry communication (a direct line of
respond, recover and mitigate the impact of disasters communication to the Attorney-General).
(Robinson & Dowty Beech, 2013).The system is adapt- Despite the spatial and temporal differences, the two
able for specific applications in the public and private examples of inter-sectoral partnerships highlight the
sectors and universities, regardless of hazard, given that importance of learning for building resilience through
all disasters are localized and require input of basic increased awareness of interdependencies and mutual
information for practical decision-support (Robinson & capacities. The presence of continuous sustained and
Dowty Beech, 2013). safe learning and information sharing platform can con-
The system has a strong educational objective in tribute to the culture of preparedness by providing a
building culture or preparedness (Kapucu, 2008). Incor- mechanism for regular interaction and facilitating part-
porated into the teaching curriculum, DRIS is con- ners buy-in. Joint learning also contributes to mutual
nected with the emergency management community in trust building, which is a key success factor for an
which each university resides. In addition to serving effective partnership (Kapucu, Augustin, & Garayev,
as an inter-sectoral learning platform for identifying 2009).
common interdependencies, the tool is also seen as a
potential partnership building and collaborative disaster
5. Discussion and conclusion
planning mechanism between communities, universities,
local non-profit organizations and businesses (Robinson In selecting the case studies we have described in the
& Dowty Beech, 2013). previous section, we have tried to provide represen-
An example of learning and information sharing plat- tation of the types of inter-sectoral partnerships that
form for building resilience at a national scale is the emerged to cope with disaster management in terms
Australian Trusted Information Sharing Network (TISN) of the variety of partners, types of governance struc-
for Critical Infrastructure Resilience (CIR).The network tures and the objectives. Each study represented a
functions as the primary mechanism to build a partner- unique experiment. The limited scope of the group of
ship approach between business and government for case studies in our sample and the enormous variety
CIR (Australian Government, 2011). Infrastructure of partnership types and their contexts have con-
resilience as a shared responsibility is a core founding strained the degree of replication and the inferences
principle of the network. we could draw from them. Despite these limitations,
The network includes (1) critical infrastructure we were able to gain from the study insights into some
owners and operators (such as communications, energy common operational and administrative issues associ-
and others, most of which are privately owned; Rothery, ated with disaster management partnership as well as
2005); (2) representatives from Australian, State and insights about the nature of the growing spectrum of
Territory government agencies; and (3) associations of partnerships.
industries or groups with allied interests (TISN, 2013). Examination of all our case studies reveals several
TISN is not an operational network but instead it common problems that disaster management partner-
focuses on medium- to-long-term policy issues and ships face. The severity of these problems and the
creates a secure environment for sharing critical infor- means of resolving them vary, in part, as a function of

Journal of Contingencies and Crisis Management


2013 John Wiley & Sons Ltd Volume 21 Number 3 September 2013
140 Justine Chen, Ted Hsuan Yun Chen, Ilan Vertinsky, Lilia Yumagulova and Chansoo Park

the uncertainty and complexity of the tasks they were that, ceteris paribus, the higher degree of institutionali-
formed to perform and the mix of partners character- zation, defined as established patterns of behaviour and
istics and inter-relationships. In complex, uncertain envi- interaction, the greater the likelihood of partnerships
ronments, flexible adaptive coordination and control being successful. Repeated collaborative interaction,
mechanisms are required. Formal mechanisms such as often facilitated by a high degree of institutionalization,
contracts and formal plans that may work well in part- creates personal relationships and informal lines of
nerships for construction of critical infrastructure and communication beyond those offered by formal struc-
post-crisis recovery restoration may fail to respond to tures.The lifelong socialization of Cubans to cope with
changing unanticipated conditions. Sole reliance on hurricanes and the consequent creation of a culture of
formal hierarchical controls and coordination mecha- preparedness are examples of community members
nisms, even in these partnerships, may involve prohibi- and government officials taking for granted the fulfil-
tive monitoring, enforcement and other transaction ment of their expected roles and actions taken in
costs. Our case studies highlight the critical roles played preparation and response to an approaching hurricane,
in ensuring alignment and coordination among partners even when left to act in isolation. In other situations
by (1) relational and social capital, and (2) social, such as those involving institutionalized collaborations
organizational and economic mechanisms. between the Red Cross and the US government agen-
Social capital (e.g. trust, reciprocity and commit- cies, the evolution of task-orientated informal channels
ment to the collective) is a significant factor to success of communication that can often bypass more rigid
in forming and sustaining disaster management PPPs. bureaucratic channels initiated a process of change, as
Social capital emphasizes the positive outcomes of well as lower transaction costs. Indeed, in partnerships
sociability and gives value to non-monetary forms of between governments and NGOs, governments bound
capital as sources of power and influence (Portes, by inflexible regulations use the flexibility of their part-
1998). As a by-product, it forms a resource that can be ners to respond when they are unable to do so
used for public good (Portes & Landolt, 1996) (e.g., at because of the regulations.The examination of the par-
a community level, the Disaster Response Intelligent ticipant make-up in the partnerships reviewed also sug-
System partnership building, United States; and, at gests that there are distance thresholds between
the national level, the Trusted information Sharing partners beyond which effective partnerships become
Network, Australia). A history of successful collabora- unlikely without employment of mechanisms to bridge
tion is likely to build social capital, increasing rapport these distances. Distance can be cultural, geographical
and trust between parties involved, both of which are or institutional. This phenomenon is most clearly illus-
highly likely to be conducive towards a well-functioning trated through partnerships between governments and
future partnership. We find evidence of this, e.g., from community-level actors because the various distances
our comparison of governmentcivil society relation- between them tend to be greater than the distance
ships in China and Taiwan. Whereas long-established between governments and larger, more established
Buddhist organizations with a history of successful col- private sector organizations. For example, because of
laboration with the government (e.g., Tzu Chi) were the institutional distance between FEMA and the FBOs
able to function effectively as the intermediary actors during Hurricane Katrina, established formal and infor-
responsible for coordinating official and private mal channels of communication were poorly devel-
responses in Taiwan, the lack of a pre-established oped, and information exchange took place on an ad
pattern of collaboration between the government and hoc basis. Ad hoc communication channels often lack
NGOs in China meant that when the latter was called legitimacy and are noisy and slow. In contrast, the
upon to take on the coordination role, results were Cuban Civil Defense system acts as an integrative
less successful than what could have been. The structure that overcomes the distance between the
repeated cooperation between USAID and construc- state and communities allowing the formation of a suc-
tion companies such as CH2M Hill and Arup following cessful partnership for disaster response and resilience
the Indian Ocean Tsunami and the relationships development.The fish-scale structure with overlapping
between Red Cross and Wal-Mart are other examples memberships of the Cuban Civil Defense leadership
of the importance of previous successful histories of and community leaders provides bridges between oth-
partnerships. Of course, not all partnerships enjoy high erwise distant social organizations. The findings here
degrees of social capital, and, as such, must instead rely suggest that, where distance between the government
on institutional design to counteract deficiencies in and the relevant community or private sector entities
trust, established channels of communication and com- is unavoidable, collaborative arrangements can be
mitment to partnerships. successful if there is an intermediary structure (or
Institutionalization of many of the routines and prac- partner) with strong ties to all partners. Examples
tices of a partnership and its values provides for include the Red Cross and the Red Crescent Societies
increased informal control and coordination. We find worldwide,Tzu Chi in Taiwan and Web 2.0 platforms, all

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PublicPrivate Partnerships for Resilient Communities 141

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